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ISSN - 0975-7058
CYCLEA BARBATA LEAF EXTRACT: LIPOXYGENASE INHIBITORY ACTIVITY AND PHYTOCHEMICAL SCREENING
Research Article
NADYA FEBRI HANDAYANI, BERNA ELYA*, NURAINI PUSPITASARI
Department of Phytochemical and Pharmacognosy, Faculty of Pharmacy, Universitas Indonesia, Depok, 16424, Indonesia. Email: email@example.com
Received : June 15, 2018, Revised : September 20, 2018, and Accepted : October 25, 2018
ABSTRACT
Methods: Enzyme activity assay was performed using colorimetric method with lipoxygenase from soybean and linoleic acid as a substrate. Absorbance was measured at 234 nm. The total flavonoid content of the most active extract was determined using a colorimetric method with AlCl3 and phytochemical screening.
Objective: The aim of this study was to test the anti-inflammatory activity of methanol, ethyl acetate, and n-hexane Cyclea barbata Miers. leaf extracts using a lipoxygenase inhibition method.
Results: The ethyl acetate extract had the highest lipoxygenase inhibiting activity, with an IC50 value of 0.267mg/mL. In addition, this extract had a total flavonoid content of 21.62 mgQE/g and contained flavonoids, glycosides, and terpenoids.
Keywords: Anti-inflammation, Cyclea barbata Miers. leaves, Flavonoid content, Lipoxygenase, Phytochemical screening.
Conclusion: This finding indicated that C. barbata provides a possible anti-inflammatory effect through the inhibition of lipoxygenase. However, further research is still needed to strengthen this result.
© 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.v10s1.22
INTRODUCTION Inflammation is a protective response to exogenous or endogenous stimulus that occurs to eliminate the initial cause of cell injury and to remove necrotic cells and tissues caused by cell damage [1]. The inflammatory response involves microvasculature damage, increased capillary permeability, and leukocyte migration into inflamed tissues. Localized symptoms of inflammation include redness (rubor), heat (calor), pain (dolor), and swelling (tumor).
leukotrienes, and other mediators of the inflammatory process, such as cytokines and chemokines. Therefore, the flavonoid compounds found in C. barbata leaves are predicted to inhibit leukotriene formation and thus have anti-inflammatory effects. Research on the ability of C. barbata extracts to inhibit lipoxygenase activity is still lacking. Therefore, the aim of the present study was to test the lipoxygenase inhibitory activity of methanol, ethyl acetate, and n-hexane C. barbata extracts and assay the total flavonoids and phytochemicals in the most active extract.
MATERIALS AND METHODS
The World Health Organization has stated that the use of traditional herbal medicine is very important in the maintenance of health and the prevention and treatment of diseases, especially chronic diseases [3]. One herb that has been shown empirically to have anti-inflammatory properties is Cyclea barbata Miers. C. barbata leaves are often used to treat diarrhea, abdominal pain, fever, inflammation, hypertension, and oral ulceration [4,5].
Cyclooxygenase and lipoxygenase are enzymes that play the key roles in inflammation. Although both enzymes have the same substrate, namely arachidonic acid, each has its own metabolic pathway and products. Leukotrienes are products formed by the lipoxygenase pathway in response to immunological stimuli and non-immunological pathway [2].
According to previous research, C. barbata leaves contain secondary metabolites, such as flavonoids, saponins, tannins, and steroids [6,7]. In medicine, flavonoid compounds have been proven to have many benefits, including antioxidant, hepatoprotective, antibacterial, antiinflammatory, anticancer, and antiviral properties. Some flavonoids, such as hesperidin, apigenin, luteolin, quercetin, and baicalein, are reported to have anti-inflammatory and analgesic effects [8,9]. Flavonoids have the ability to inhibit the expression of isoforms which induce nitric oxide, cyclooxygenase, and lipoxygenase that are responsible for the production of nitrate oxide, prostanoids,
Extract preparation The extract was prepared from 200 g C. barbata leaf powder by leveling extraction using a reflux method with a solvent ratio of 1:17. Three extracts were produced with a non-polar solvent (n-hexane), semipolar solvent (ethyl acetate), and polar solvent (methanol), respectively. The reflux time per cycle was 1 h. This extraction was performed in triplicate. Then, each extract solution was evaporated in a vacuum rotary evaporator at 60°C, the viscous extract was weighed, and the yield was calculated according to the following formula:
The 2
Materials C. barbata used in this study originated from Purwokerto and was obtained from the Laboratory of Pharmacognosy and Phytochemistry, Faculty of Pharmacy, Universitas Indonesia. Reference materials were baicalein (Sigma Aldrich-465 119, USA) as a standard to test the inhibitory activity of lipoxygenase, quercetin (Sigma-Aldrich-Q4951, USA) as a standard in the identification and assay of total flavonoids, beta-sitosterol (Sigma-Aldrich, USA) as a standard in the identification of terpenoids, and boldine (Sigma-Aldrich, USA) as a standard in the identification of terpenoids and alkaloids.
% yield = Final extract weight Weight of powder 100 ×
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Lipoxygenase activity test First, standard solutions of baicalein and C. barbata extract (n-hexane, ethyl acetate, methanol, and C. barbata leaves at concentrations of 60, 70, 80, 100, 120, and 140 μg/mL) were prepared. The effect of baicalein on lipoxygenase activity in three extracts was assessed according to the method of Choironi (2014), with some modifications [10]. Inhibition of lipoxygenase assay is shown in Table 1.
Determination of total flavonoid content Finally, a total flavonoid assay was conducted on the most active extract: Ethyl acetate. Total flavonoid content was measured using a colorimetric method, using aluminum chloride (AlCl3) as a reagent. Tests were carried out to samples with or without AlCl3, and the results were compared with those of a standard solution of quercetin with or without AlCl3. The results were plotted on a graph to obtain a calibration curve for quercetin (y = a + bx) which could then be used to determine the levels of flavonoids in the leaf extract. The value of x indicates the concentration of the sample (μg/mL) and y represents the absorption of the sample at 434 nm. Then, the flavonoid levels can be calculated by dividing CxDFxV with mass [11]. C is the concentration of samples obtained from the calibration curve (mg/mL); DF is dilution factor; V is volume of stock solution (mL); M is mass of extract used in the test (g). Levels of total flavonoid were expressed as an equivalent of the amount of quercetin in a 1 g sample (QE).
Phytochemical screening Phytochemical screening aimed to determine the content of the compounds contained in C. barbata leaf extracts with the smallest IC50 values. Identification was performed using color reagents to test for the presence of alkaloids, flavonoids, terpenoids, tannins, saponins, anthraquinone, and glycosides.
RESULTS
Lipoxygenase activity test
Extraction The yield obtained from the extraction process was 1.215% in the n-hexane extract, 1.905% in the ethyl acetate extract, and 8.365% in the methanol extract.
Preliminary test In the preliminary test, the optimization results indicated that pH 8.5 is the optimum condition for lipoxygenase to catalyze reaction, thus showing the highest absorption (Fig. 1).
highest percent inhibition, amounting to 53.76%, so that IC50 values obtained ethyl acetate extract of C. barbata leaf are 0.267 mg/mL (Fig. 3b).
Total flavonoid content Based on calculation as described before, 1 g of the ethyl acetate extract contains 21.62 mg of quercetin equivalents.
Phytochemical screening Ethyl acetate extract of C. barbata leaves contained flavonoids, glycosides, and terpenoids.
DISCUSSION
Lipoxygenase activity
Preliminary test A preliminary test was carried out to obtain the optimum conditions for enzyme activity, including pH, temperature, and concentration of the substrate [2]. Large changes in pH can alter the enzyme active site as well as the enzyme formation such that the bond between enzyme and substrate will be broken, which causes the reaction to slow down or cease altogether. In some cases, it can cause enzyme denaturation [2]. pH optimization is, therefore, important before testing and storage of an enzyme. Our optimization results showed that pH 8.5 provided optimum results, i.e., caused the linoleic
Fig. 1: Optimization of pH condition
Inhibition of lipoxygenase activity by baicalein and extracts The IC50 value obtained for baicalein was 0.153 mg/mL (Fig. 3a). Lipoxygenase activity assay was performed using three extracts at a concentration of 100 mg/mL. Ethyl acetate extract had the
A preliminary test of substrate concentration showed that absorption increased in line with increased linoleic acid concentrations. Significant increases occurred at the concentrations of 200 and 300 μM and absorption began to decline at 400 μM (Fig. 2).
Table 1: Inhibition of lipoxygenase assay in a baicalein (as positive control) and sample extract
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Absorbance measured at 234 nm
The concentration of linoleic acid substrate was also optimized. Various concentrations were tested: 100, 200, 300, 400, and 500 μM (final concentrations 25, 50, 75, 100, and 125 mM). Selection of the substrate concentration was based on previous research. The absorption of linoleic acid increased in line with increased linoleic acid concentrations (Fig. 2). Significant increases occurred at concentrations of 200 μM and 300 μM and absorption began to decline at 400 μM because the enzyme active sites were then filled with substrate so that there was no free enzyme remaining to form additional complexes. Therefore, further increases in linoleic acid concentration will neither increase the reaction rate nor significantly affect absorption [2]. Thus, it can be concluded that the optimum substrate concentration is 300 μM (final concentration 75 mM).
acid substrate and lipoxygenase enzymes to produce the highest absorption (Fig. 1).
In the lipoxygenase inhibition test, it was found that the ethyl acetate extract had the highest percentage inhibition (53.76%), so IC50 values were obtained for the ethyl acetate extract (0.267 mg/mL; Fig. 3b). When compared to the positive control, baicalein was shown to have an IC50 value lower than that of the ethyl acetate extract. This shows that baicalein is more able to inhibit the formation of lipoxygenase products with a linoleic acid substrate.
Lipoxygenase concentrations were also optimized. Various enzyme concentrations were tested: 400, 800, and 1000 units/mL (final concentrations 30, 60, and 75 units/mL). The enzyme reaction rate is directly proportional to the concentration of the enzyme: The higher the concentration of enzyme, the faster the reaction and the higher the resulting absorption, because when more enzyme active sites are present, more substrate can bind to the enzyme and form a complex. An increased absorption indicates that more products were produced [15]. The enzyme used in this assay is 1000 units/mL. Selection of a concentration of 1000 units/mL is also supported by data from a previous study [12,13,14,16,17].
Based on previous research, the C. barbata ethyl acetate extract contains some secondary metabolites, such as flavonoids, glycosides, and terpenoids [6,7]. Flavonoid compounds are able to inhibit lipoxygenase activity by donating electrons from their OH groups to reduce the active site of the lipoxygenase so that the bond between the lipoxygenase substrate is being weakened [18]. Flavonoids, glycosides, and terpenoids in the C. barbata ethyl acetate extract also have very important roles in the inhibition of lipoxygenase activity [19].
Optimization of the stop methanol solution was performed to ensure that the reaction between linoleic acid and lipoxygenase was completely stopped on addition of methanol. Various incubation times were tested: 0, 5, and 10 min. No significant changes in absorption were noted with variations in incubation time. At 0 min, absorption was measured at 0.249; at 5 min, absorbance was measured at 0.240; and at 10 min, absorption was measured at 0.228. This indicates that methanol is effective in stopping the lipoxygenase reaction. Researchers used methanol in stop solutions in similar experiments in a previous study [13,14,20,21].
Determination of total flavonoid content The extract used for this test was ethyl acetate as it was shown to be the most active of all extracts produced in the present study. Determination of total flavonoid content was done by colorimetric methods using AlCl3 and quercetin as a standard. Standard solution of quercetin measured with various concentrations of 3.03, 4.04, 5.05, 6.06, 7.07, and 8.08mg/mL measured at a wavelength of 434 nm. Absorbance values of the ethyl acetate extract quercetin plotted against a standard curve which has been obtained and calculated the total flavonoid content. The content of total flavonoids of ethyl acetate extract is 21.62 mg QE/g.
Inhibition of lipoxygenase activity by baicalein Baicalein is a natural flavonoid derived from Scutellaria baicalensis roots. It is a lipoxygenase inhibitor that possesses a catechol group that chokes the iron on the lipoxygenase and reduces its active site, preventing the substrate and enzyme from reacting [9]. The IC50 value obtained for baicalein in the present study was 0.153mg/mL (Fig. 3a), whereas it was 0.237 in a previous study [14]. Different IC50 results can occur due to differences in measurement conditions, such as temperature, incubation time, and instruments used.
Phytochemical screening Phytochemical screening was performed on the most active extract, the ethyl acetate extract, which was shown to contain flavonoids, glycosides, and terpenoids.
CONCLUSION Ethyl acetate extracts of C. barbata leaves have the highest lipoxygenase inhibitory activity of all extracts tested with an IC50 of 0.267 mg/mL. Secondary metabolites contained in the ethyl acetate extract were flavonoids, glycosides, and terpenoids. The level of flavonoids in the ethyl acetate extract was 21.62 mgQE/g. This finding indicated that C. barbata provides a possible anti-inflammatory effect through inhibition of lipoxygenase. However, further research is still needed to strengthen this result.
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ACKNOWLEDGMENTS The authors would like to express gratitude and appreciation to Universitas Indonesia for financing this study through PITTA Research Grants Universitas Indonesia 2017.
CONFLICTS OF INTEREST Authors declare no conflicts of interest in this research.
REFERENCES
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4. Perta, R. Benefits cincau and cincau manufacturing base in region Koto Baru. Jurnal Nasional Ecopedon JNEP 2016;1:84-7.
6. Farida YG. Toxicity test leaf extract and fraction in cincau black (dazzling B. palustris) and cincau leaf green (Cyclea barbata L. Miers). J Bahan Alam Indones 2012;2:1-6.
5. Kusmardiyani S, Insanu M, Asyhar M. Effect of glycosidic flavonols isolated from green grass jelly (Cyclea barbata Miers) leaves. Procedia Chem 2014;13:194-7.
7. Kumar S, Pandey AK. Chemistry and biological activities of flavonoids: An overview. ScientificWorldJournal 2013;2013:162750.
9. Choironi NA. Activity Inhibition of Lipoxygenase (LOX) by Tribe Zingiberaceae Plant Extracts and Isolation of Selected Plant Secondary Metabolites. Thesis of Pharmacy. Bandung Institute of Technology: Unpublished; 2014.
8. Deschamps JD, Kenyon VA, Holman TR. Baicalein is a potent in vitro inhibitor against both reticulocyte 15-human and platelet 12-human lipoxygenases. Bioorg Med Chem 2006;14:4295-301.
10. Bhaigyabati T, Devi P, Bag G. Assessment of total flavonoids content and antioxidant activity of aqueous extract of rhizome three Hedychium species of Manipur Valley. Int J Pharm Sci Rev Res 2014;30:154-9.
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of Averrhoa carambola L. leaves extract. Int J Chem Tech Res 2017;10:342-7.
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12. Prakash H, Shailasree S, Sampath-Kumara K, Niranjana S. In vitro antioxidant activity, lipoxygenase, cyclooxygenase-2 inhibition and DNA protection properties of Memecylon species. Int J Pharm Pharm Sci 2013;5:257-62.
14. Puri D. Textbook of Medical Biochemistry. 3 rd ed. India: Elsevier; 2011.
16. Kumazawa S, Suzuki S, Ahn M, Kamihira M, Udagawa Y, Bang K, et al. A new chalcone from propolis collected on Jeju Island, Korea. Food Sci Technol Res 2006;12:67-9.
15. Bisswanger H. Enzyme assays. Perspect Sci 2014;1:41-55.
17. Chedea VS, Jisaka M. Inhibition of soybean lipoxygenases-structural and activity models for the lipoxygenase isoenzymes family. In: Recent Trends for Enhancing the Diversity and Quality of Soybean Products. Rijeka, Croatia: InTech; 2011. p. 113-5.
19. Sauriasari R, Azizah N, Basah K. Tyrosinase inhibition, 2,2-diphenyl1-picrylhydrazyl radical scavenging activity, and phytochemical screening of fractions and ethanol extract from leaves and stem bark of matoa (Pometia pinnata). Asian J Pharm Clin Res 2017;10:85-9.
21. Avelia S, Mauldina MG, Elya B. Antioxidant activity and lipoxygenase inhibitory assay with total flavonoid content of Garcinia lateriflora Blume leaves extract. Asian J Pharm Clin Res 2017;10:163-5.
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18. Paguigan N, Chichioco-Hernandez C. 15-Lipoxygenase inhibition of selected Philippine medicinal plants. PHCOG J 2014;6:43-6.
20. Elya B, Puspitasari N, Sudarmin AC. antioxidant activity and inhibition of lipoxygenase activity ethanol extract of endosperm Arenga pinnata (wurmb) Merr. Asian J Pharm Clin Res 2017;10:76-80.
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KAPSARC Oil Market Outlook
KAPSARC Oil Market Outlook (KOMO)
Q1, 2023
Summary
This quarter's highlights:
On the demand side, seasonality tends to play an important role as it keeps oil demand growth stagnating or in decline relative to its previous quarter. However, this quarter will also witness an added layer of downward pressure as several European Union (EU) countries, among others, are expected to see their second or third consecutive gross domestic product (GDP) quarterly declines. Indeed, Brazil, Canada, Malaysia, Mexico, and the United Kingdom are all expected to have their second to third consecutive declines in GDP this quarter. Furthermore, although 2023 may witness a deceleration/decline in inflation, there is still the expectation of continued persistent inflation in several commodities, particularly energy. However, despite all these variables, Asia is expected to see healthy demand for energy, counteracting the other negative factors.
As a result, quarter-on-quarter (QoQ) growth for oil demand is expected to reach 150 thousand barrels per day (Kb/d), with OECD countries witnessing a decline of 220 Kb/d and non-OECD growing by 370 Kb/d. Overall, OECD Americas and Europe are expected to witness declines of 190 Kb/d and 320 Kb/d, respectively, whereas OECD Asia is expected to witness an incremental rise, driven by Japan and South Korea's high winter oil demand of 280 Kb/d.
A silver lining for non-OECD countries in demand this quarter is China's easing of its zero-COVID-19 policy. China tends to witness demand declines in its first quarter every year. However, this year, it is expected to see growth in its f rst quarter. Hence, despite declines from both Eurasia and the Middle East, Asia will grow by around 1.01 million barrels per day (MMb/d) followed by 160 Kb/d from Africa.
Surprisingly, supply-side growth is also expected to be at a similar level as demand at roughly 160 Kb/d. While OPEC members will gradually increase production by roughly 360 Kb/d, followed by 255 Kb/d from non-OPEC+ countries, we expect the sanctions and price cap on Russian oil to start taking effect around February, or as early as January, leading to a quarter-on-quarter (QoQ) production decline of roughly 500 Kb/d - 600 Kb/d.
All eyes will be on supply chain resilience. Supply will be assisted by the recovery from the initial shock of the crude price cap, and developing alternative insurance, tankers, routes, and buyers for Russian supply. It is also expected that Russian diesel exports will also increase in the short term, before further actions are taken against Russia. Shale producers and OPEC+ are the only entities that could balance a potential demand shock to the upside. Nevertheless, shale supply has limited upside potential due to various constraints, and OPEC+ will only balance the market incrementally.
As such, supply/demand balances will remain in deficit this quarter by around 1.1 MMb/d. Since this figure is similar to Q4 of 2022 and Europe stocks are abundant, we should not expect severe changes in the price environment. However, it is also noteworthy that winter has been late this year, and a stronger winter or a prolonged one can create a change in demand.
Summary continued...
Total global oil consumption is expected to increase year-on-year (YoY) by 1.80 MMb/d in 2023 to 101.95 MMb/d (roughly 100 Kb/d less than our estimation last quarter). In 2024, however, demand is expected to experience a spring effect, with slightly higher growth of 2.07 MMb/d.
YoY, the OECD is expected to witness limited growth of 310 Kb/d, while non-OECD countries should represent 83% of the demand growth in 2023 (1.49 Kb/d). This figure is expected to decline in 2024 to 69% as OECD countries recover from the expected economic deceleration in 2023. Indeed, the KOMO model indicates that OECD countries should witness an overall decline in demand growth over the first two quarters of 2023, and non-OECD countries should carry the growth. However, in the second half of 2023, it is expected that OECD countries will start recovering economically, translating into higher demand, while non-OECD countries stagnate.
Non-OECD countries have regularly witnessed continual demand growth in each quarter of the year except the first, where it either declines or stagnates. However, non-OECD Q1 demand will be different this year for two reasons. The first is China easing its lockdowns. We are not sure how the relaxation of its zero-COVID-19 restrictions will unfold, but we remain hopeful that China's demand will not follow its regular seasonal path and will grow in the coming two quarters. Indeed, the manner in which the Chinese New Year plays out could indicate China's oil demand trajectory in 2023. However, on the upside, Chinese refiners are expected to increase crude oil demand and oil product exports in early 2023 after receiving a generous allocation from Beijing. Several outlooks are expecting China to carry a significant portion of oil demand growth this year, but we are capping it at 540 Kb/d, with the possibility of revisions throughout the year. The second and most significant aspect of oil demand this year has to do with the energy transition. Historically, a Q3 demand surge for electricity and cooling generation in the Gulf Cooperation Council (GCC) countries has offset a seasonal slowdown in non-OECD countries, despite India and China's declines in demand. However, the impact of the energy transition, including switching to gas and having energy efficiency programs, is starting to show. It is capping peaks in oil demand and, as a result, capping total demand growth for the Middle East region.
KOMO's latest survey results show a pessimistic view of demand in 2023, which ameliorates over time. Indeed, there is a high consensus on an economic slowdown and continued inflation in 2023, with 87% of our respondents believing that a recession is likely in 2023. Eighty-seven percent of the respondents also believe that social unrest is likely as inflation persists, while only 53% believe that tourism levels will return to pre-pandemic levels. Although one can look at these numbers negatively, they can also be seen as an indicator that the demand growth risk for 2023 and 2024 is to the upside. While several factors could cap growth, such as inflation, interest rate hikes, a rising United States (U.S.) dollar, reemergence of restrictions in China due to COVID-19, the ongoing conflict between Russia and Ukraine, protectionist policies, the risk of other geopolitical crises, recession, etc., a short-lived period for any of these variables, or the possibility of them not happening at all, could increase our current demand projections.
Risk
Summary continued...
Nevertheless, economic growth expectations remain the greatest driver of KOMO's oil demand projections. The International Monetary Fund (IMF) predicts global economic growth of around 2.7% in 2023 and 3.2% in 2024. The OECD has maintained its global growth forecast of 2.2% in 2023 and expects 2024 to witness growth of 2.7%.
The December 2022 outlooks by OPEC and the U.S. Energy Information Administration (EIA) estimate demand growth for 2023 to be 2.22 MMb/d and 1 MMb/d, respectively. Other agencies' projections for 2023 range between these two. A great part of that divergence has to do with the outlook for China. Just like in 2022, China's demand projections remain opaque, so all eyes will be on the deflating measures of its construction sector, its economic projections for 2023 and 2024, its travel polices and, last but not least, the lifting of its COVID-19 restrictions.
Total global oil supply is expected to grow by about 2.68 MMb/d in 2023 (about 40 Kb/d more than our Q4 2022 forecast), and by 2.31 MMb/d in 2024. In Q3 of 2022, spare capacity from OPEC+ members represented roughly 3.47 MMb/d, with Saudi Arabia and Russia representing 3.3 MMb/d of that. This means that the November OPEC cuts and maintaining the status quo up to February was a necessary move, as most OPEC+ members were probably estimated to be producing at full capacity and it was only a matter of time before they would run out. Although the United Arab Emirates (UAE) and Iraq have pledged to increase production by the late 2020s, these countries' projects are expected to grow gradually, with estimated increments realized after 2025 at the earliest.
As a result, 2023 should witness a modest increase from OPEC members of around 1 MMb/d. However, the price cap and sanctions on Russia should see OPEC partners' production declining by roughly 730 Kb/d. As a result, most of the growth that we expect to witness in global production for 2023 should come from non-OPEC+ countries.
The main production story this quarter, in addition to shale production and investments, as we have focused on in previous reports, is the normalization of the parallel oil market. A couple of years ago, Iran stood alone under sanctions before Venezuela and now Russia joined that group. Our previous reports focused on upstream and downstream, but we will likely add a focus on midstream in 2023 and 2024. Will Russia find alternative insurance provisions? Will additional oil be sold in non-dollar denominations such as Indian rupees, Chinese yuan or Russian rubles? And how will Türkiye enforce seaborne tankers passing through the Bosporus Strait? All these questions come to mind when forecasting supply.
Past OPEC+ agreements to cut production were intended to revert by the end of 2022, with all members producing at pre-agreement levels. However, given the lack of investment and prolonged periods of low prices, some members have witnessed deteriorating levels of production. Indeed, in our latest survey results, we asked if Nigeria or Angola would reach pre-pandemic levels of production and 80% of respondents answered "no." As a result, OPEC+ cuts are expected to continue throughout 2023. If energy markets wish for more muted volatility, then the need for more capital investment will continue to take center stage.
Summary continued...
The 27th Conference of the Parties to the United Nations Framework Convention on Climate Change (COP 27) statement this year shied away from addressing the apparent need to mitigate fossil fuel use as boldly as they did in Glasgow last year, with heads of state seeming to have re-discovered the importance of energy security. Nevertheless, 2022 has sent mixed signals to investors, with policies such the windfall tax in the United Kingdom (U.K.) and the re-emergence of the No Oil Producing and Exporting Cartels Act (NOPEC) in the U.S.
Shale production, the main driver of growth from non-OPEC+ members, seems to have recovered in 2022. However, producers are expected to continue to focus on financial discipline. Hence, it is expected that shale production will grow by roughly 60%-70% of what it did in 2022, at around 600 Kb/d-700 Kb/d for 2023 and 2024, respectively, and possibly higher if energy prices increase further.
The supply/demand balance is expected to reach equilibrium in 2023, with a minor surplus of roughly 40 Kb/d overall. Although we expect Q1 of this year will continue to see a deficit, mostly from Russia as the price cap for fuels takes effect, we expect the following quarters to be in surplus. 2024 is also expected to witness a surplus of 270 Kb/d. However, this expected surplus is not enough to replenish inventories nor the strategic petroleum reserves (SPR). This indicates that decisions about storage may continue to influence prices outside of what fundamentals might otherwise indicate. The price risk may be mitigated to some extent by the U.S. proposal to allow fixed-price forward purchases of crude oil. These forward purchases will help to replenish the U.S. SPR and encourage short-term production.
Under these assumptions, target inventory levels for the OECD would be expected to increase by 378 MMb to 4,557 MMb in 2023 and by an additional 36 MMb in 2024. However, with limited output from Russian liquids, these target levels are unlikely to be achieved. Hence, we expect the refilling of inventories to be gradual, despite target inventories needing to increase proportionately to offset the rising economic and geopolitical risks. Real inventory levels are expected to grow gradually from Q2 2023, remaining below the new target levels over the next two years. This indicates that inventories may be insufficient to address future shocks, adding another layer of price risk to oil markets beyond the fundamentals throughout this period.
| 2019 | 2020 | Growth | 2021 | Growth | 2022 | Growth | 2023 | Growth | 2024 |
|---|---|---|---|---|---|---|---|---|---|
| 101.1 | 92.2 | (8.8) | 98.1 | 5.9 | 100.2 | 2.0 | 102 | 1.8 | 104 |
| 99.8 | 93.5 | (6.4) | 95.2 | 1.7 | 99.3 | 4.1 | 102 | 2.7 | 104.3 |
| (1.2) | 1.3 | | (3.0) | | (0.8) | | 0 | | 0.3 |
Summary (Prices)
The confidence interval is derived from options market prices and the futures curve, which represent the views of a wide array of market participants, such as producers, refiners, airlines, speculators, and others.
Brent crude oil price and 68% confidence intervals US$/b
180
Source: KAPSARC calculations based on NYMEX data, CME Group, FINCAD, December 2022.
| Q1 2023 | Q2 2023 | Q3 2023 | Q4 2023 | Q1 2024 | Q2 2024 | Q3 2024 |
|---|---|---|---|---|---|---|
| 81.44 | 76.94 | 76.74 | 76.12 | 75.48 | 74.92 | 74.31 |
| $76.27 - $87.24 | $62.55 - $94.70 | $58.18 - $101.24 | $54.53 - $106.28 | $51.52 - $110.61 | $49.04 - $114.47 | $46.78 - $118.05 |
| $74.03 - $90.25 | $56.71 - $104.53 | $51.02 - $115.48 | $46.55 - $124.53 | $42.98 - $132.60 | $40.11 - $139.98 | $37.56 - $147.05 |
Note: CI = confidence interval.
Key Issues for the Oil Market in 2023 and 2024
When it comes to the key issues impacting the oil markets and the patterns of supply and demand over the next two years, there are a plethora of factors impacting demand, while on the supply side the dominant uncertainty is Russia. Demand is expected to be driven by the prospects for the global economy. Several countries are expected to face declining gross domestic product (GDP) growth during 2023. Whether the current economic situation will officially be called a recession or an economic deceleration, we can be certain that GDP growth will be smaller in 2023 than in previous years.
secure oil supplies, there are also calls for investments to secure the supplies of all other commodities. However, these calls remain ignored. While the profits of publicly traded oil and gas companies rose by a significant 76% in 2022, these are being returned to investors through dividends and stock buybacks, not used for increased investment.
The questions that accompany every economic slowdown is, "how long will it last and how steep will the recovery be?" Unlike the 2008 financial crisis, institutions, people and governments have been warned of the impending downturn and have acted accordingly. The fall in stock markets suggests that investors are holding on to their money so that they can buy when prices are lower. Hence, there is increasing liquidity, but the question on everyone's mind is where to put it, given the risk of a recession and the ever-increasing interest rates to address inflation. Bonds tend to be the safest bet, but are they the right bet?
"The composite rate for bonds issued from November 2022 through April 2023 is 6.89%." (U.S. Treasury) While everyone is focused on maintaining financial discipline due to the wealth effect, bond yields are at recent historic highs. However, the mismatch we find between supply and demand, which we see as caused by inflation, and rising interest rates to adjust prices and reduce demand, do not encourage investors or households to invest in anything but bonds at the moment. While most policies are geared toward addressing spending and demand, we seem to forget that supply is the second half of this conundrum. Just like the calls for investments to
Nevertheless, whether the wealth effect will impact spending or people are just waiting for the right opportunity to spend, demand for commodities will fall, bringing prices down. Whether commodity prices will start to decline in 2023 or 2024 remains to be seen. However, we are optimistic that they will start to decline this year (see Figure 1).
The OECD projections for this year are similar to the ones presented last year, with the expectation that inflation rates will decline. The OECD believed in 2022 that the market would self-correct. However, commodity price inflation only exacerbated as the Ukrainian conflict began and as China continued its stringent COVID-19 policies, impacting supply chains. The reason we remain optimistic that inflation will decelerate and eventually decline is due to the added layer of pressure from increased interest rates, which will act as a catalyst in correcting the market. Hence, just as commodity prices will self-correct gradually, so will the economic situation as liquidity remains available, wages continue to do well, and China no longer implements any further COVID-19 measures.
Under these circumstances, it becomes evident that muted demand growth for 2023 and 2024 entails several simultaneous negative factors. This is why we reiterate that the upside risk to our forecast is higher than the downside risks.
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Supply
Demand
Key Issues for the Oil Market in 2023 and 2024...
Figure 1. OECD's outlook on inflation 2020-2024.
Source: OECD (2022), inflation forecast (indicator). doi: 10.1787/598f4aa4-en (accessed December 13, 2022)
Note that ex-USSR countries faced/continue to face the highest inflation rates and a pattern of declining rates as distance from Moscow increases.
Balances
Risk
Prices
Jan-20 Apr-20 Aug-20 Nov-20 Mar-21 Jun-21 Oct-21 Jan-22 May-22 Sep-22 Dec-22 Apr-23 Jul-23 Nov-23 Feb-24 Jun-24 Oct-24
Key Issues for the Oil Market in 2023 and 2024...
Despite several economic challenges going forward, the real risks lie in the geopolitical domain, which could produce significant effects. Indeed, economies have always recovered and downturns have remained simple blips. However, the appearance of concepts such as protectionism, populism, post-globalization, vertical globalization, and shifting alliances have more than doubled in the media throughout the past year. According to our analysis using the Meltwater Media Monitoring Platform, the use of some of these phrases in the media more than quadrupled in 2022.
Whether or not geopolitical changes that solidify new alliances or enhance regional supply chains become the status quo remains to be seen. Diversification and creating new markets are healthy practices. Indeed, since 1990, trade has cut the number of those living under extreme poverty by half (World Bank). The basis of trade back in the 1990s was finding win-win solutions to ameliorate the living and working conditions of all citizens. However, regionalism, or securing supply chains from politically affine countries, seems to come with a different perspective.
There is no doubt that there has been a blip in global supply chains due to COVID-19, and there is no doubt that economies are facing hardships with many factors exacerbating these challenges. However, it takes two to tango in a postglobalized world. While new alliances might be forming or expanding, the fear of future anti-market measures by the G7 is leading many players to secure a 'plan B' via diversifying their trade options. Calling for 'NOPEC' every time the OPEC makes an unpopular, yet necessary, action does not promote either market stability or confidence. The United States (U.S.) imposing trade embargos while simultaneously opening up a TSMC factory defies economic sense, although it does make geopolitical sense. The future remains opaque, and leaders will have to decide whether they are looking for their individual or collective wellbeing. However, seldom in the history of mankind has the individual wellbeing approach succeeded.
On the supply side, the key focus area will be on Russian oil. A price cap was placed on Russian oil on December 5, and a further cap on refined products is expected to begin in February. All eyes will be on how the implementation of the price cap will unfold, but we should also be looking at how Russian oil will seek markets for its oil, despite these restrictions. Will Türkiye, China, or India be the next maritime insurance providers? The midstream developments taking place will eventually determine how fast Russian oil production will rebound.
Another factor that has the potential to influence the supply side of oil markets is shale production. After the financial instability of the 2010s, international oil companies (IOCs) seem to have finally appreciated the security that financial discipline brings. Hence, we do not expect significant growth from them, but private firms may continue to prioritize production. Oil prices are expected to be volatile and carry a risk premium, which provides opportunities for private companies and independent producers. We therefore expect the latter to carry most of the growth in tight oil this year. However, the financial risk of doing this is great, given that inflation has also hit capital expenditure (capex) and operating expenditure (opex), and that Russian oil continuing to reach world markets could create a downward pressure on prices and hence tight oil company earnings.
OPEC and SPR decisions are expected to have minimal influence on markets for now as inventories are low and OPEC+ spare capacity, with the exception of Saudi Arabia and Russia, remains below its average. This suggests risks for greater oil price volatility in the short term.
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Demand
Demand Forecast
We project global oil consumption will grow by 1.80 MMb/d in 2023 and increase by an additional 2.07 MMb/d in 2024 YoY. As the drivers of demand are similar to those in the previous report, we have maintained our previous demand forecast for 2023. However, economic indicators now show several OECD countries are at a higher risk of an economic slowdown starting this quarter, so we have revised demand growth down slightly by 100 Kb/d for 2023. Nevertheless, a rebound in 2024 is likely if the economic situation improves quickly, if aviation activity resumes, or if China maintains the lifting of all its COVID-19 restrictions.
An interesting factor for 2023 demand projections is seasonality. OECD countries are expected to witness oil demand declines in the first two quarters of this year due to the anticipated economic slowdowns, before rebounding positively as GDP growth increases, summer and vacation season hits and Europe tries to rebuild its stocks ahead of the next winter season. Non-OECD countries, on the other hand, are expected to grow in the first two quarters and stagnate in the second half of the year. Non-OECD countries usually tend to grow each quarter, albeit gradually. However, given several factors impacting the dynamics of seasonality, and with the energy transition capping peak demand, particularly in the Middle East, we expect muted demand in Q3, and Q4, as demand from Asian countries, including China and India, tends to slow during these quarters.
As a result, we expect oil demand in the OECD countries to grow by 310 Kb/d in 2023, then double to 640 Kb/d in 2024. The U.S. and Japan are expected to represent one third of total OECD demand growth this year and possibly next year. South Korea is a runner-up and has the potential to increase its growth, but for now we will watch it closely. Furthermore, the non-OECD countries are expected to grow by 1.49 MMb/d in 2023, then by an additional 1.43 MMb/d in 2024. Most of the non-OECD countries will not be severely impacted by the anticipated economic slowdown. As such, China and India will continue to carry a significant portion of growth over the next two years. Eurasia's demand is expected to decline during this period, but if Russia maintains its production capacity as it did in 2022 and finds a way to continue exports, then there is the chance of higher demand growth.
Demand Levels, MMb/d
2020
Q1 Q2 Q3 Q4 2020
OECD
Non-OECD
46.1
48.3
38.9
48.9
42.1
50.3
43.3
51.0
42.6
49.6
Global demand 94.4 87.8 92.4 94.3 92.2
| 2021 | Q1 | Q2 | Q3 | Q4 | 2021 |
|---|---|---|---|---|---|
| OECD | 43.5 | 44.9 | 46.4 | 46.4 | 45.3 |
| Non-OECD | 51.5 | 52.7 | 53.5 | 53.6 | 52.8 |
2022
Q1 Q2 Q3 Q4 2022
OECD
Non-OECD
Global demand
2023
OECD
Non-OECD
Global demand
2024
OECD
Non-OECD
Global demand
46.1
53.4
99.5
Q1
47.0
54.5
101.5
Q1
46.9
56.0
102.9
45.1
54.0
99.0
Q2
45.8
55.7
101.4
Q2
46.6
57.0
103.7
46.6
54.1
100.7
Q3
46.3
55.7
102.0
Q3
47.3
57.2
104.5
47.2
54.2
101.4
Q4
47.2
55.7
102.8
Q4
48.0
57.0
105.0
46.3
53.9
100.2
2023
46.6
55.4
102.0
2024
47.2
56.8
104.0
Non-OECD countries are expected to retain a 54% share of global oil consumption in 2023, rising to 55% in 2024. They are also expected to account for 83% and 69% of growth in 2023 and 2024, respectively. Asia-Oceania is expected to witness the largest quarter-on-quarter (QoQ) growth of around 1.4 MMb/d, with OECD Asia, China, and India all expected to increase their consumption this quarter. Eurasia and the Americas are expected to witness the strongest decline next quarter, as the former faces sanctions and the latter reduces its consumption due to seasonality.
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Balances
Risk
Prices
Demand
United States
| MMb/d | 2021 | Q1 | Q2 | Q3 | Q4 | 2023 | Q1 | Q2 | Q3 | Q4 |
|---|---|---|---|---|---|---|---|---|---|---|
| United States | 20.4 | 20.5 | 20.4 | 20.5 | 20.5 | 20.5 | 20.4 | 20.5 | 20.8 | 20.9 |
2023-2024
The KOMO model expects U.S. oil consumption to grow by around 50 Kb/d in 2023 and 140 Kb/d in 2024.
The modest growth for the U.S. this year correlates with its expected economic slowdown. The IMF estimates that U.S. GDP growth for 2022 will be 1.6%, 1% in 2023 and 1.2% in 2024.
Hence, we do not expect any significant shifts in its product demand. We expect very modest growth for motor gasoline and diesel, followed by liquified petroleum gas (LPG), with demand for all other products remaining stagnant.
Q1 2023
We expect U.S. demand to decline this quarter by 130 Kb/d. Although LPG demand is expected to increase by roughly 140 Kb/d followed by gas oil for heating by 50 Kb/d, gasoline demand is expected to fall by roughly 310 Kb/d. Nevertheless, the Annual Roadway Congestion Index for North America shows healthy activity, indicating that U.S. gasoline demand might not fall by as much as we expect in this report.
United States, MMb/d (L) and 2023-2024 growth Kb/d (R)
Growth
Risk
OECD Europe
| MMb/d | 2022 | Q1 | Q2 | Q3 | Q4 | 2023 | Q1 | Q2 | Q3 | Q4 |
|---|---|---|---|---|---|---|---|---|---|---|
| OECD Europe | 13.7 | 13.7 | 13.6 | 14 | 14.2 | 13.9 | 13.8 | 14.3 | 14.4 | 14.2 |
2023-2024
Despite the risk of OECD Europe having the lowest GDP growth among all regions, at around 0.5% in 2023 and 1% in 2024 (OECD Economic Outlook 2022), its oil demand is expected to improve, with a projected growth of 150 Kbd for 2023 and 290 Kb/d for 2024.
As expected, diesel is the dominant growth fuel, representing roughly one third of total growth this year. We expect fuel oil will take second place, at around 30 Kb/d, since maritime activity is expected to continue growing in the region to secure energy sources and other commodities. Facing an acute energy crisis, high natural gas prices and cold winter weather, the switch to gasoil for manufacturing has been quicker than expected and we could revise our estimations later this year.
Q1 2023
OECD Europe is expected to witness an economic slowdown this quarter, while seasonality adds another layer of downward pressure to its oil demand. We anticipate an overall QoQ decline of 320 Kb/d. Although LPG demand is expected to increase by roughly 90 Kb/d, followed by fuel oil for maritime activity and fuel switching, demand for all other fuels is expected to decline, with both jet fuel and diesel demand falling by roughly 120 Kb/d-180 Kb/d each.
OECD Europe, MMb/d (L) and 2023-2024 growth Kb/d (R)
China
| MMb/d | 2022 | Q1 | Q2 | Q3 | Q4 | 2023 | Q1 | Q2 | Q3 | Q4 |
|---|---|---|---|---|---|---|---|---|---|---|
| China | 15.1 | 15.3 | 15.4 | 15.2 | 15.7 | 15.4 | 15.8 | 15.7 | 15.6 | 15.9 |
2023-2024
China's oil consumption is expected to grow by around 550 Kb/d in 2023 and 300 Kb/d in 2024. Out of all the scenarios the KOMO model runs, China's forecast remains the most uncertain. As stated in our editorial by Dongmei Chen, stability will play the most important role in its economic growth while it focuses on increasing domestic demand.
Diesel demand is expected to represent roughly 32% of China's oil demand growth. However, if the Chinese government opens international travel and eases its long-haul travel restrictions, China could see additional demand growth for aviation fuels between 100 Kb/d-200 Kb/d. In all scenarios, growth is expected to be gradual this year.
Q1 2023
China's demand activity for Q1 2023 is a strong indicator of how the global oil demand outlook could shape up. Historically, the first quarters of each year for China have seen modest growth. However, we are expecting growth of 140 Kb/d this quarter. Apart from demand for LPG and other heavier fuels used for infrastructure development, all other fuels are expected to witness demand growth, particularly transportation fuels as the government signals the easing of its containment policies. The preemptive actions we will
witness this January in the lead-up to the Chinese New Year could be indicative of how oil demand might shape up.
China, MMb/d (L) and 2023-2024 growth Kb/d (R)
India
| MMb/d | 2022 | Q1 | Q2 | Q3 | Q4 | 2023 | Q1 | Q2 | Q3 | Q4 |
|---|---|---|---|---|---|---|---|---|---|---|
| India | 5.2 | 5.5 | 5.6 | 5 | 5.5 | 5.4 | 5.7 | 5.9 | 5.2 | 5.7 |
2023-2024
Q1 2023
India's oil consumption is expected to grow by around 210 Kb/d in 2023 and 230 Kb/d in 2024. Despite India's continued economic growth and healthy demand, we do not expect its oil demand growth to reach the levels it did last year for two reasons. The first is that part of its demand went into filling inventories that are now at adequate levels, and the second reason is that if India does have an economic slowdown, it will have no need for excess energy.
Overall, diesel demand is expected to represent 35%-38% of India's demand growth this year, followed by LPG and heavier fuels used for infrastructure development (roughly 40Kb/d each)
Depending on the price cap/sanctions that are implemented on Russia and its exports, India and China could play an important role in addressing Europe's near-term product needs, particularly diesel demand. This means that demand growth for India and China could surprise to the upside.
As this coming quarter comes to an end, so does India's fiscal year (FY). The general practice is to stock up inventories in all shapes and forms to show healthy balances. This period also signals the seeding of new crops that will continue into the second quarter, meaning that diesel demand growth is expected to be high at around 110 Kb/d. Overall, demand for all products is expected to remain strong this quarter adding up to a QoQ growth of around 300 Kb/d.
India...
Growth
Risk
Saudi Arabia
| MMb/d | 2022 | Q1 | Q2 | Q3 | Q4 | 2023 | Q1 | Q2 | Q3 | Q4 |
|---|---|---|---|---|---|---|---|---|---|---|
| Saudi Arabia | 3.7 | 3.2 | 4 | 4.4 | 3.6 | 3.8 | 3.3 | 4.1 | 4.5 | 3.7 |
2023-2024
Saudi Arabia's oil consumption is expected to grow by 80 Kb/d in 2023 and 45 Kb/d in 2024.
Last year's significant GDP growth of 7.6% is expected to halve in 2023 to around 3.7% (IMF Data Mapper). We do not expect any deviations from historical patterns of fuel demand, and hence expect growth will be carried by transportation fuels followed by heavier fuels, if construction starts on the country's mega projects. Indeed, the mega projects and Saudi Arabia's target of having electricity generation fueled by 50% renewables and 50% gas is part of Vision 2030. Although we estimate the energy transition is taking effect in the Middle East, further gas penetration into the Saudi grid will take a few more years beyond this outlook. However, renewable generation is picking up fast.
Q1 2023
Saudi Arabia is expected to witness a QoQ demand decline of 300 Kb/d as demand for all fuels declines. Fuels such as diesel, fuel oil, and other heavier fuels are expected to represent most of the declines this quarter since they are not in high demand for electricity generation due to seasonality.
Saudi Arabia, MMb/d (L) and 2023-2024 growth Kb/d (R)
Growth
Discussion
"No nation has friends, only interests." – Charles de Gaulle
2023 will be a year of supply chain challenges and innovation. The 'one pool of oil' market theory will be tested by new obstacles, including price caps, insurance, tankers, etc. However, we expect the disruptions to be overcome by mid-year as alternative supply sources are arranged. What is worrying (or exciting depending on your perspective), are the unintended consequences of these actions. Will 2023 be the year when one pool becomes two streams?
Until now, oil sanctions were mostly an on/off valve. Buying sanctioned oil was prohibited according to the sanctioner, and there was little grey area. The problem with the price cap is that it is entirely grey, with only the degree of greyness under debate in the form of a price level. That it was so difficult to set the price level (and announced so late) shows that even within the alliance there is little agreement; so why should non-G7 nations go along with it? Stating that purchasing oil outside the price cap is also acceptable but cannot be done with western insurance cover (90%+ of the market) is a hard pill to swallow, and it seems to be begging for a sovereign wealth fund or another major player to step in and fill the gap. In addition, the financial weapons employed against Russia have fueled discussions around banking alternatives to the SWIFT payments system and trading oil in currencies other than the U.S. dollar. Dollar-denominated sales and the SWIFT network are major features of the energy system and the global economy.
The oil market is an efficient machine and has developed specialized functions to support that efficiency. Trying to use those functions as levers of control is only going to force the system to change, and only in ways that undermine those levers. There has been growing debate around the possibility of deglobalization and a multipolar world for several years now, spurred on by small indications here and there. However, there may be bigger shifts afoot as the rules of the system are changed. The G7 is squeezing the oil markets hard, and one potential outcome is that it fractures into a bipolar pool. They could take a note from the OPEC+ playbook and use a gentle but steady hand to influence, not force, an outcome.
Highlights from this edition are:
* Russian supply disruption: likely temporary, but for how long?
* OPEC+ is holding steady, and for good reason.
* Shale upside is half what it once was, but maybe so is the downside.
Supply Forecast
Global liquids supply is expected to grow by about 2.68 MMb/d in 2023 to reach an average of 102 MMb/d for the year. We expect 2024 to see a further 2.31 MMb/d increase in supply, with an average of 104.3 MMb/d for the year. This is a fall from the ~4 MMb/d of rebound growth in 2022, with uncertainty around the nexus of Russia, OPEC+, and the G7 offering up- and downside possibilities.
The imposition of the price cap on Russian crude that started on December 5 has led to some short-term supply-chain difficulties, specifically around transiting the Turkish straights to enter and exit the Black Sea. We expect this to be a contributing factor into Q1 as the price cap is extended to refined fuels. The extra assurances demanded by the Turkish authorities, along with their continued purchases of Russian energy, indicate that it would not be surprising if Türkiye began to offer alternative insurance cover to the tankers, possibly in conjunction with Russia/China/India, etc. This, along with other workarounds, would ease the supply chain difficulties and lead to a slow rebound of Russian supply from H2 of 2023.
OPEC+ efforts to balance the market and hold their 2 MMb/d cut agreed at the December 4 meeting looks like a reasonable measure so far. Market pricing was generally on a downslide, but there has been some price volatility as competing news reports ping-pong expectations up and down. Our assumption is that OPEC+ will look to fundamental balances and largely match the demand curve as it slowly increases supply with a minor surplus. This would end its current cut at the end of 2023, while allowing for today's spare capacity to respond to major disruptions.
The decisions of third parties in the G7 and European Union are more difficult to predict, as they are not operating solely economically. SPR outflows and inflows could create some odd behavior, along with bi-monthly meetings to adjust the level of the price cap. They could also influence sanction adjustments and legislation, which could complicate the outlook.
U.S. shale will most likely continue operating in a twotier system, with private firms pushing for more wells and public firms maintaining discipline. This leads to our relatively modest outlook for 600 Kb/d-700 K/d of crude and condensate supply in 2023 and 2024; half the growth rate of 2019.
Minor seasonality in the oil sands has some influence on our model from quarter to quarter. However, their production has been mostly flat, with modest growth on average. This has been the case for the last several editions of the KOMO.
The major story for this quarter is still a political one, with a more technical edge. Supply chain issues, conflicting regulatory priorities and paperwork all combine to form our view that the oil market is in the hands of technocrats now.
Supply forecast...
OPEC+
The behavior of OPEC+ as a group is always additional to the individual issues its members may experience. The most obvious example today would be Russia and the oil price cap. However, ongoing problems with the exempt members (the Joint Comprehensive Plan of Action for Iran is currently stalled, Venezuela is slowly re-engaging with the U.S., and Libya is experiencing national political troubles), and strengthening alliances with the BRICS nations (Brazil, Russia, India, China, and South Africa) should be taken into account.
In addition to this, there are other external forces to manage. The NOPEC Act is under consideration in the U.S. Congress again, vague threats of using a similar price cap on all OPEC+ exports have been mentioned, and the architects of the price cap plan to meet on the same bi-monthly schedule as OPEC+ to adjust their maximum price for Russian crude and crude products.
Even with these issues swirling around, OPEC+ members are looking calm under pressure, with a generally united front. The reason for this calmness is likely rooted in energy security concerns from consumers and faith in an efficient market – China will eventually reopen, and Russian liquids will find a way to the market. In the meantime, OPEC+ need only pull one lever to calm and balance the market (production), but the trick will be to do it smoothly to prevent or counteract disruptions.
Factors to watch in the coming year are:
1. Russian liquids making it to market.
3. OPEC+ actions to balance geopolitical disruptions.
2. Western efforts to manage Russian flows.
OPEC production (L) and OPEC partners production (R) MMb/d
OPEC and partners supply changes for 2023-2024, Kb/d
| | 2023 | 2024 |
|---|---|---|
| Mexico | 132.4 | (20.8) |
| South Sudan | 18.4 | 6.2 |
| Equatorial Guinea | (16.1) | (7.9) |
| Sudan | (19.0) | (10.4) |
| Brunei | (6.6) | (3.3) |
| Bahrain | 9.7 | (1.4) |
| Gabon | (10.5) | (16.1) |
| Malaysia | 63.9 | (44.9) |
| Congo | (22.3) | (20.1) |
| Azerbaijan | 1.2 | 1.4 |
| Oman | 17.3 | 21.5 |
| Algeria | 16.5 | 28.3 |
| Nigeria | (5.4) | 10.9 |
| Kazakhstan | 78.5 | 63.6 |
| Kuwait | 1.4 | 97.1 |
| Iran | 59.1 | 145.7 |
| Venezuela | 106.4 | (9.2) |
| UAE | (47.4) | 37.0 |
| Saudi Arabia | 340.7 | 177.9 |
| Iraq | 50.9 | 84.2 |
| Libya | 235.7 | 80.9 |
| Russia | (820.4) | 268.1 |
| OPEC | 750.5 | 506.3 |
| OPEC partners | (524.7) | 279.9 |
| OPEC+ TOTAL | 225.9 | 786.2 |
OPEC+ Spare Capacity
In Q3 of 2022, OPEC+ spare capacity was almost exhausted. Excluding Russian supply and Saudi Arabia's reserves, it is possible that less than 200 Kb/d was available. The group's decision to create a larger buffer was understandable, given the uncertainty surrounding the price cap and other geopolitical issues. Declining prices in Q4 may be divorced from some of the fundamentals (probably driven by demand worries). However, that the price did not rise significantly is a strong market vote in favor of the action of OPEC+, despite western protestations.
As we mentioned in the last edition of the KOMO report, the more irrational the market, the larger the influence of reserves. Low levels of spare capacity lead to anxiety and increased risk premiums, while higher levels calm the animal spirits by petting them with an invisible hand.
The group's current plan to review the market and make adjustments on a bi-monthly basis continues the management style they employed during the pandemic. In our model, this translates to a smooth relaxation over time that follows demand and provides balance to the market. There is some short-term disruption visible in Q4 2022 and Q1 2023, but it is primarily supplychain driven as the price cap is imposed and some ambiguous enforcement measures surrounding the cap are resolved.
Repeated discussions on the definition of spare capacity in the KOMO has led to some secondary analysis within KAPSARC's Oil and Gas team concerning total market capacity. The latter includes traditional OPEC+ spare capacity, but also sanctioned capacity, drilled but uncompleted wells (DUCs) in the shale sector, SPRs, industrial inventories, and any other means of increasing capacity quickly through decisions by market players or governments. An initial discussion of this topic may be available as an editorial in the next edition of the KOMO and could become a regular portion of the supply discussion if it proves useful.
Source: Rystad; KAPSARC, December 2022.
Non-OPEC+
Non-OPEC production and Brent crude oil prices
Source: International Energy Agency (IEA), December 2022; KAPSARC, December 2022.
Non-OPEC+ growth:
*
*
In 2024, the outlook for global tight oil is another rise of 1 MMb/d (including NGLs), with unconventional gas liquids growing by 250 Kb/d, and oil sands almost flat on average.
In 2023, the supply of global tight oil is expected rise by 1 MMb/d (including natural gas liquids [NGLs]), and we expect unconventional gas liquids to rise by 300 Kb/d, with oil sands reclaiming 60 Kb/d.
* Key issues for non-OPEC+ producers are de-risking, and ensuring the long-term resilience of their supply in the face of regulatory pressure while meeting security needs.
Non-OPEC (Tight Oil and Oil Sands)
"The house always wins." – Ocean's Eleven
The U.S. shale sector has hit its pre-pandemic highs by relying on DUCs and other short-term strategies, but constraints in investment, employment, and materials is flattening its growth rate. Large public players are more risk averse and are, so far, sticking to more modest growth plans and focusing on returning value to investors. Private players, on the other hand, are betting on continued elevated oil prices to support their drilling campaigns. This two-speed market for tight oil is resulting in about half the historic production growth we saw before the pandemic. What is interesting is that the use of DUCs as a buffer may lead to a less volatile sector overall, with less prominent decline rates as well.
Counter-cyclical investment has been a common strategy among large NOC players that take advantage of lower development costs during downcycles. By maintaining consistent drilling budgets instead of responding to prices, the economics of drilling should improve and allow for better control of production and cashflows. Add to this the assets acquired when private firms overextend themselves and go bankrupt, and public firms will likely dominate the future of shale.
Private shale firms will always exist, and fortunes will still be won and lost by their bets on the oil market, but it appears that shale will be an increasingly smaller source of market movement. Instead, a drive for consistent returns and reduced risk may flatten the wild swings of the last decade into a more modest ripple in the future. For now, expect a taming of the shale market under new management, with some surprises (CCUS and related technologies) from the larger independents.
Non-OPEC (Tight Oil and Oil Sands)...
Ongoing regulatory pressure in Canada is leading to interesting results from the oil sands. Divestiture by risk-averse firms is nothing new, but the concentration of risk by some firms is becoming more pronounced. Suncor Energy, one of the four largest producers, is divesting from wind and solar assets to lean into hydrogen and renewable fuels as part of their drive for net-zero by 2050. This is an alternative risk-reduction strategy as part of the Pathways Alliance (including Suncor, Chevron, and the other major oil sands producers) to meet their emissions targets while still producing oil by means of carbon capture utilization and storage (CCUS).
Plans for the first large CCUS project in Alberta, aiming to capture carbon from the oil sands and reinject it into geologic storage, were released in October. For investors, this should provide more confidence to stay in the sector in the long term. However, there is still significant skepticism that these plans are technically or economically feasible. To address this, the announcement included requests for regulatory and funding cooperation from the federal and provincial governments of Canada and Alberta, respectively, in support of this initiative. While the provincial government has an inherent interest in maintaining the local economy, it may be a difficult request for the federal government to action.
In the meantime, Canadian production will continue to grow at a rate commensurate with the economics, transportation, and annual patterns (note the improved seasonality in our results) that have become the hallmarks of a resilient sector.
Oil sands, MMb/d
Risk Scenarios, January 2023
*The KOMO survey is conducted on a semi-annual basis in Q1 and Q3, with results holding over to the subsequent quarter.
KOMO uses the risk table to estimate potential impacts, taking two components into account: probability and impact.
KOMO's risk categories are based on current events impacting the oil industry.
Probability: A shaded chart at the top right of this slide shows the probability of a risk occurring (the darker the shade, the more likely it is to happen).
Impact: The impact is calculated as a percentage of exports (as domestic supply is often protected), or estimated into the demand model through a multiplier or a change in GDP.
For supply risks, we multiply the probability by the potential impact.
For demand risks, the model either (i) examines historical incidents as multipliers then applies a similar response to future demand, or (ii) estimates the potential impact on GDP and channels it through the model, via changes in the exogenous variables, to determine the implications for future oil demand.
The results are based on a survey conducted biannually.
2022 and 2023 Balances
Given the recent changes to KOMO's supply/demand balances and the current price levels, we estimate an average surplus of only 40 Kb/d in 2023, followed by an additional surplus of 270 Kb/d in 2024. We expect there to be a deficit during the first quarter of this year, similar to the levels of the previous quarter at around 1.1 MMb/d. However, we also expect little to no real change in oil balances this quarter due to several economies facing recession, low demand in winter, a general tightening in fuels such as diesel/gas fuel for heating when compared to previous years, and the price cap on Russia taking effect.
Nevertheless, going into the second quarter of this year until Q3 2024, we are expecting a surplus in each quarter, ranging from 100 Kb/d to 700 Kb/d.
As mentioned earlier, the difference in demand growth projections between the different agencies is in a range of 1.2 MMb/d, and the variance stems from divergent views over China's potential growth. The KOMO forecast assumes that demand will continue to grow modestly, despite the upside risk for demand from both China and the global economy if China's COVID-19 restrictions continue to be lifted. It also assumes that most of the oil supply will come from non-OPEC+ countries, as the production efforts of OPEC members will be overshadowed by the declines of its partners, particularly Russia.
Quarterly supply demand balance, MMb/d, Q1 2021 - Q4 2024
Demand
Supply
Price Fundamentals (Inventories)
Price movements for the foreseeable future will continue to be mainly influenced by speculation around evolving inventory levels, the risk of recession, and the RussianUkrainian conflict, and little to do with supply-demand trends. Indeed, although spare capacity among OPEC+ members could total 5.1 MMb/d in 2023, including sanctioned Russian oil, which is sufficient to address any downward shocks, and with supply-demand balances in perfect synergy, prices are not expected to decline significantly. In our latest survey, respondents anticipated Brent would average US$93.67/b for 2023 and US$88.40/b in 2024.
We anticipate a surplus starts to be generated in the second quarter of 2023 of 40 Kb/d a day. However, with demand anticipated to slow in OECD countries, refilling the SPR and other inventories will be challenging as 40 Kb/d a day is negligible. This means that, despite having a very modest growth in inventories, prices are likely to stagnate in 2023 since inventories will remain significantly low.
If this assumption is correct, then we also estimate that prices may fall gradually. However, they could decline at a faster pace if OECD SPR releases continue. So, will OECD countries deplete their inventories in the face of the current risks facing the global community? If this is the case, then shouldn't there be a cushion of spare capacity to address any future risk?"
However, a surplus of 40 Kb/d a day will hardly change anything. In this regard, target inventory levels for the OECD are expected to increase by 378 MMb to 4,557 MMb in 2023 and grow again by 36 MMb in 2024. Real inventory levels are expected to stagnate in 2023 and then increase by 109 MMb/d in 2024 to reach 4,205 MMb.
Target inventories vs. real inventories, MMb
As mentioned in our previous edition:
"the KOMO target inventory model is a theoretical construct reflecting the aggregated 'normal' level of inventories desired by the oil industry to meet contractual obligations, provide a cushion for the complex supply chain that tends to deliver the product in batches, and buffer unanticipated changes in the supply of and demand for crude oil. It is derived from OECD inventory data using a trend component reflecting longterm economic growth, and a seasonal component reflecting phenomena such as the winter heating season and summer driving and cooling seasons. In short, it suggests a reversion to a long-term trend that is almost linear. However, it also puts into question whether OECD inventories will return to their 2019 levels or continue their trend as if COVID-19 was a short-term supply disruption, as opposed to a long-term or permanent market disruption. In this forecast, we have it returning to its normal trend levels (a form of long-term mean reversion), but in a more gradual manner.
Source: EIA; KAPSARC, December 2022.
www.kapsarc.org
Price Fundamentals (Brent)
| | Q1 2023 | Q2 2023 | Q3 2023 | Q4 2023 | Q1 2024 |
|---|---|---|---|---|---|
| Bloomberg | 92.02 | 95 | 90.96 | 91.67 | 95.33 |
| Market sentiment | 93.53 | 91.49 | 91.42 | 92.5 | 95 |
| Bloomberg | 96.25 | 88.00 |
|---|---|---|
| Market sentiment | 92.2 | 91.8 |
*Market sentiment is based on publicly available forecast data.
Source: Bloomberg, December 14, 2022.
Balance
Forward curve
Brent
Source: CME Group , KAPSARC, December 2022.
Price Fundamentals (Forward and Future Curves)
The graph at right depicts confidence intervals at the 50%, 68%, and 95% levels derived from options market information for at-the-money options contracts.
Prices
Brent crude oil price and 50%, 68%, 95% confidence intervals US$/b
Lower/upper confidence interval (95%)
Source: KAPSARC calculations based on NYMEX data, CME Group, FINCAD, December 2022. Note: As seen from this illustration, the bulk of the price risk appears to be squarely to the upside.
Price Fundamentals (Markets)
Hedging pressure (HP): The graph at right shows the settlement price for Brent against hedging pressure. Hedging pressure is a measure of physical commercial (producers/ merchants/processors/users) net-short positions relative to net managed-money long positions. It indicates a negative relationship between Brent prices and market hedgers. The falling hedging pressure, despite elevated prices in 2022, could either mean that there are declines in the number of long positions or that short positions are on the rise. The numbers indicate that both are happening simultaneously, which indicates hedgers are expecting prices to stagnate or even decline, and producers are trying to pin a price on their sales. Indeed, the financial markets are wary of finding themselves in an underhedged position during a period of potentially falling market prices, but they are cognizant that oil markets are headed toward stability while the economy faces a slowdown, adding an additional downward pressure on prices.
Trader class shares: Despite the continued high prices of oil and other commodities, the overall number of trader positions declined until the middle of 2022 and has since stagnated. The number of daily trades between January 4, 2022, and December 13, 2022 shrank by roughly 15%. It is to no surprise that money managers have decreased their long positions by roughly 32% since the beginning of the year. This reveals either they are betting on stagnating/declining oil prices and holding on to their money and waiting for the markets to fall in order to buy at cheap prices.
Source: Bloomberg, December 14, 2022.
Note: ICE = Intercontinental Exchange.
Note: Refer to the glossary for abbreviations. Source: Bloomberg, December 14, 2022.
Price Fundamentals (Markets)
U.S. Dollar Index: Brent and the DXY have started to trend downward since November. This has been fueled by slowing economic growth worldwide that shifted the outlook for oil, currencies, and interest rates, despite the expectation that the U.S. Federal Reserve (Fed) will maintain its elevated interest rates throughout the coming months to combat inflation. Hence, although inflation has greatly impacted commodities since the beginning of 2022, it seems that in 2023, it will be impacted more by a potential economic slowdown.
Source: Bloomberg, December 14, 2022.
Editorial: India's Economy and its Oil Demand in 2023
Contributed by Jitendra Roychoudhury, KAPSARC
India's economy continues to remain resilient, with the Reserve Bank of India (RBI) projecting GDP growth for the fiscal year 2023 (FY23) at 6.8%, maintaining that India will continue to remain one of the fastest-growing major economies of the world. For the following two quarters of FY23, its projected growth rates for India are 7.1% and 5.9%, respectively. The Indian government estimates that oil prices next year, for the crude basket it predominantly buys, will be around $100/b with moderate inflation (The Economic Times 2022). By comparison, the Indian crude basket has seen a massive increase over the past couple of years, rising from an average of around $43.34/b in 2020 to reach a decadal high of $121/b in June of 2022, before declining to an average of around $78/b in early December 2022.
India's electricity demand is estimated to grow at over 7% in FY23 and remain strong in FY24, as per ICRA, an Indian investment information and credit rating agency. Plant utilization has also seen positive growth, from 58% in FY22 to 62% in FY23. Coal-fired electricity has maintained its generation share at 73% and continues to grow (Anand 2022).
Demand for crude has been growing, jumping 10.2% YoY in November 2022. Overall demand for crude and petroleum products has been resilient and growing in tandem with the economy as the last vestigial impacts of the pandemic seep away. Demand has also been boosted by the year-end holiday season, the end of a strong monsoon, and healthy industrial activity. Diesel sales, which account for almost 80% of India's refined fuel demand were up by almost 20% YoY. Gasoline sales also saw healthy growth of 8.1% during the same period, highlighting the robust return of demand for transport fuels.
Increasing crude imports from Russia have played a major part in supporting Indian economic growth. Russian oil supply has jumped from 0.2% of its imports share in FY22 to around 20%, vying with Iraq and Saudi Arabia to be among India's top three crude suppliers (PTI 2022). Indian Petroleum and Natural Gas Minister Hardeep Singh Puri and the Minister for External Affairs, Dr. Jaishankar, have reiterated that India will continue to buy crude oil from global sources, irrespective of the Russian price cap that the G7 has invoked.
The positive impact on growth from increased vehicle registrations can be observed in India's economy (Figure 2). A strong Indian economy, with growth rates returning to pre-pandemic levels, and moderate inflation support an overall increase in Indian oil demand.
Editorial: India's Economy and Its Oil Demand in 2023...
Figure 2. Trend in daily vehicle registrations.
120,000
Source: ICICI Direct Research - Macro Pulse.
References
Anand, Saurav. 2022. "Thermal power PLF estimated to improve to 63% in FY24: Icra." December 12. https://www.livemint.com/industry/energy/thermal-power-plfestimated-to-improve-to-63-in-fy24-icra/amp-11670840399154.html.
PTI. 2022. "Russia becomes India's top oil supplier in October." The Hindu, November 6. https://www.thehindu.com/news/national/russia-becomes-indias-top-oil-supplierin-october/article66103845.ece.
The Economic Times. 2022. "RBI pegs GDP growth at 6.8% for FY23, projects inflation to fall below 6% by March 2023." December 7. https://economictimes.indiatimes. com/news/economy/indicators/rbi-pegs-gdp-growth-at-6-8-for-fy23-projects-inflation-to-fall-below-6-by-march-2023/videoshow/96049599.cms.
Balances www.kapsarc.org
Editorial: A Forward Look into China's 2023
Contributed by Dongmei Chen, KAPSARC
As several developments take place in China at the end of 2022, three main issues can be highlighted when looking into 2023.
Economic stability will be China's top priority. Every December, the meeting of the Politburo of China's Communist Party Central Committee sets directions for the following annual Central Economic Work Conference, which decides on the economic, financial, and banking priorities for the year ahead. As with last year, stability appears to be China's top economic priority in 2023. Compared to 2021, its GDP growth was shockingly weak in 2022. It is expected to have fallen short of its official 5.5% target for 2022, as its growth in the first three quarters was only around 3%. To ensure economic stability, China will need to stimulate domestic demand and rebuild market confidence as external demand continues to face many uncertainties. Luckily, rising public calls to revive China's staggering economy and alleviate social concerns have resulted in a long-awaited relaxation of its zero-COVID-19 policy. The notice issued by the State Council on December 7 signals a shift away from the policy, allowing home quarantine for mild and asymptomatic cases, reducing the requirement of PCR tests in daily life and allowing public transport usage. Although it will take China several months to get back on track, it is a positive signal for 2023 and as of January 8 2023, the country has finally done a complete lifting of all its COVID-19 restrictions.
National security will take center stage, according to the 20th Party Congress. China's biggest political event of the year – the 20th Party Congress – has resulted in the reshuffling of the country's top leadership. The outcome of the Congress underlined that economic development tops other priorities, and underscored the need for national action on securing food, energy and supply chains, in the context of heightened geopolitical tensions. It suggests that the Party will seek to adjust China's economic structure, increase its domestic demand, and strengthen domestic supply chains to deal with a worsening external economic environment.
In its newly released National Security Strategy, the U.S. is focused on how to win a managed competition with China in a less confrontational manner and outlined a preference for dividing its economic and political partnerships into two different tracks. Ongoing Sino-U.S. tensions pose the risk of a technology supply chains decoupling first. To what extent this would impact economic growth in China and globally remains to be seen. However, there is also the chance that both countries maintain communication and deepen their constructive efforts on critical global issues where their interests align. These include climate change, global economic stability and food security. For example, at COP 27, following the meeting of Joe Biden and Xi Jinping in Bali, the U.S. and China announced a restart of their stalled climate negotiations.
China's Belt and Road Initiative (BRI) will remain expansive. China has been cautious about its outward investment as the world shows signs of increased economic volatility and political fragmentation. It has adjusted its approach to BRI investment and project implementation in light of the challenges of ensuring environmental, social and governance accountability in the context of rising competition from European Union and U.S.-led alliances on connectivity strategies. Earlier, China stated that the BRI will continue to be an important platform for deepening its connection with global economies. Recent events have supported this statement. On the sidelines of the Shanghai Economic Organization summit in Uzbekistan in September, China, Kyrgyzstan, and Uzbekistan signed a long-anticipated agreement to construct a shorter railway route to parts of Europe affected by the Russia-Ukraine war. This is a significant step to grow the BRI's connection to Central Asia and Europe. Furthermore, during the China-Arab Summit and the China-GCC Summit in Riyadh in December, the two countries signed a comprehensive strategic partnership agreement harmonizing the plans between the Kingdom's Vision 2030 and the BRI. This was another step by China to deepen its ties with the GCC region and Arab states through BRI cooperation.
Supply
37
www.kapsarc.org
Risk
Prices
Editorial: A Forward Look into China's 2023...
In summary, the lifting of China's zero-COVID policies is expected to drive domestic demand and revive its industrial activities in 2023. Achieving national security by increasing the resilience of critical supply chains will be a priority for China amidst heightened geopolitical tensions and external risks. While self-sufficiency in energy, food, and technological supply chains cannot be achieved in the near future, the continued and deepened cooperation with BRI partners may help in the interim.
Appendix
World oil demand, 2022-2024 (MMb/d)
| | | | 2022 | Q1 | Q2 | Q3 | Q4 | 2023 | Q1 | Q2 | Q3 | Q4 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Americas | OECD | United States | 20.4 | 20.5 | 20.4 | 20.5 | 20.5 | 20.5 | 20.4 | 20.5 | 20.8 | 20.9 |
| | | Canada | 2.4 | 2.4 | 2.3 | 2.4 | 2.5 | 2.4 | 2.4 | 2.4 | 2.5 | 2.5 |
| | | Mexico | 1.9 | 1.9 | 1.9 | 1.9 | 1.9 | 1.9 | 1.9 | 1.9 | 1.9 | 2 |
| | | Chile | 0.4 | 0.4 | 0.4 | 0.4 | 0.3 | 0.3 | 0.3 | 0.4 | 0.4 | 0.4 |
| | | Total | 25.1 | 25.1 | 25 | 25.2 | 25.2 | 25.1 | 25.1 | 25.1 | 25.6 | 25.7 |
| | Non-OECD | Argentina | 0.7 | 0.7 | 0.7 | 0.7 | 0.6 | 0.7 | 0.7 | 0.7 | 0.7 | 0.7 |
| | | Brazil | 3.1 | 3 | 3.1 | 3.2 | 3.2 | 3.1 | 3 | 3.1 | 3.2 | 3.2 |
| | | Venezuela | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 |
| | | RO Latin America | 2.4 | 2.3 | 2.4 | 2.4 | 2.4 | 2.4 | 2.4 | 2.5 | 2.5 | 2.5 |
| | | Total | 6.5 | 6.4 | 6.5 | 6.7 | 6.6 | 6.5 | 6.5 | 6.7 | 6.8 | 6.8 |
| | Total Americas | | 31.6 | 31.5 | 31.5 | 31.8 | 31.9 | 31.7 | 31.6 | 31.8 | 32.4 | 32.5 |
| Europe | OECD | Germany | 2.2 | 2.2 | 2.2 | 2.3 | 2.2 | 2.2 | 2.1 | 2.3 | 2.3 | 2.2 |
| | | France | 1.6 | 1.6 | 1.6 | 1.6 | 1.6 | 1.6 | 1.6 | 1.7 | 1.7 | 1.6 |
| | | United Kingdom | 1.4 | 1.4 | 1.4 | 1.4 | 1.5 | 1.4 | 1.5 | 1.5 | 1.5 | 1.5 |
| | | Poland | 0.7 | 0.7 | 0.7 | 0.8 | 0.7 | 0.7 | 0.7 | 0.7 | 0.8 | 0.8 |
| | | Türkiye | 1 | 0.9 | 1 | 1.1 | 1.1 | 1 | 0.9 | 1.1 | 1.2 | 1.1 |
| | | RO OECD Europe | 6.7 | 6.9 | 6.7 | 6.7 | 7 | 6.8 | 6.9 | 7.1 | 7 | 7 |
| | Total OECD Europe | | 13.7 | 13.7 | 13.6 | 14 | 14.2 | 13.9 | 13.8 | 14.3 | 14.4 | 14.2 |
| Asia-Oceania | OECD | Australia | 1.1 | 1.1 | 1.1 | 1.1 | 1.2 | 1.1 | 1.1 | 1.1 | 1.1 | 1.2 |
| | | Japan | 3.5 | 4 | 3.3 | 3.3 | 3.6 | 3.5 | 3.8 | 3.2 | 3.4 | 3.8 |
| | | Republic of Korea | 2.5 | 2.7 | 2.4 | 2.4 | 2.6 | 2.5 | 2.6 | 2.4 | 2.4 | 2.7 |
| | | New Zealand | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 |
| | | Total | 7.2 | 7.9 | 7 | 7 | 7.5 | 7.3 | 7.8 | 7 | 7.1 | 7.8 |
| | Non-OECD | China | 14.9 | 15.3 | 15.4 | 15.2 | 15.7 | 15.4 | 15.8 | 15.7 | 15.6 | 15.9 |
| | | India | 5.2 | 5.5 | 5.6 | 5 | 5.5 | 5.4 | 5.7 | 5.9 | 5.2 | 5.7 |
| | | Indonesia | 1.8 | 1.8 | 1.9 | 1.9 | 1.8 | 1.8 | 2 | 1.9 | 1.9 | 1.8 |
| | | RO Asia | 7 | 7.5 | 7.3 | 7.3 | 7.2 | 7.3 | 7.7 | 7.5 | 7.5 | 7.5 |
| | | Total | 28.8 | 30.1 | 30.2 | 29.3 | 30.2 | 30 | 31.2 | 30.9 | 30.1 | 30.8 |
| | Total Asia | | 36.1 | 38 | 37.2 | 36.3 | 37.7 | 37.3 | 39.1 | 37.9 | 37.3 | 38.6 |
| Middle East | OECD | Israel | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 |
| | Non-OECD | Bahrain | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 |
| | | Iraq* | 0.8 | 0.8 | 0.8 | 0.9 | 0.8 | 0.8 | 0.8 | 0.8 | 0.9 | 0.9 |
| | | Kuwait | 0.4 | 0.4 | 0.4 | 0.5 | 0.4 | 0.4 | 0.4 | 0.4 | 0.5 | 0.4 |
| | | Oman | 0.2 | 0.2 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 |
| | | Saudi Arabia | 3.7 | 3.2 | 4 | 4.4 | 3.6 | 3.8 | 3.3 | 4.1 | 4.5 | 3.7 |
| | | Qatar | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 |
| | | UAE | 1 | 1 | 1.1 | 1 | 1.1 | 1 | 1.1 | 1.1 | 1.1 | 1.1 |
| | | Total GCC | 6.5 | 6 | 6.9 | 7.5 | 6.5 | 6.7 | 6.1 | 7.1 | 7.6 | 6.7 |
| | | Iran | 1.8 | 1.9 | 1.9 | 1.8 | 1.8 | 1.9 | 1.9 | 1.9 | 1.8 | 1.9 |
| | | RO Middle East | 0.4 | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 |
| | | Total | 8.8 | 8.3 | 9.2 | 9.8 | 8.8 | 9.1 | 8.5 | 9.4 | 10 | 9 |
| | Total Middle East | | 9 | 8.6 | 9.5 | 10 | 9.1 | 9.3 | 8.8 | 9.7 | 10.2 | 9.3 |
| Africa | Non-OECD | Egypt | 0.8 | 0.8 | 0.8 | 0.8 | 0.8 | 0.8 | 0.9 | 0.8 | 0.8 | 0.9 |
| | | South Africa | 0.6 | 0.6 | 0.6 | 0.6 | 0.6 | 0.6 | 0.6 | 0.6 | 0.6 | 0.6 |
| | | Other Africa | 2.7 | 2.9 | 2.9 | 2.7 | 2.9 | 2.8 | 3.1 | 3 | 2.8 | 3 |
| | Total Africa | | 4.1 | 4.3 | 4.3 | 4 | 4.3 | 4.2 | 4.5 | 4.5 | 4.2 | 4.5 |
| Eurasia | Non-OECD | Russia | 3.7 | 3.6 | 3.5 | 3.7 | 3.7 | 3.6 | 3.5 | 3.6 | 3.9 | 3.8 |
| | | RO Eurasia | 2 | 1.8 | 1.9 | 2.1 | 2 | 2 | 1.8 | 2 | 2.2 | 2.1 |
| | Total Eurasia | | 5.7 | 5.4 | 5.4 | 5.9 | 5.7 | 5.6 | 5.3 | 5.5 | 6.1 | 5.9 |
| | Global Demand | | 100.2 | 101.5 | 101.4 | 102 | 102.8 | 102 | 102.9 | 103.7 | 104.5 | 105 |
World oil supply, 2023-2024 (MMb/d)
| | Q1 2023 | Q2 2023 | Q3 2023 | Q4 2023 | 2023 | Q1 2024 | Q2 2024 | Q3 2024 | Q4 2024 | 2024 |
|---|---|---|---|---|---|---|---|---|---|---|
| Africa | 7.43 | 7.62 | 7.72 | 7.76 | 7.63 | 7.75 | 7.70 | 7.65 | 7.57 | 7.67 |
| Americas | 35.94 | 36.74 | 37.45 | 37.60 | 36.93 | 37.43 | 37.84 | 38.18 | 38.07 | 37.88 |
| Asia | 9.04 | 9.09 | 9.14 | 9.17 | 9.11 | 9.17 | 9.16 | 9.14 | 9.13 | 9.15 |
| Eurasia | 13.30 | 13.03 | 12.94 | 13.04 | 13.08 | 13.24 | 13.38 | 13.50 | 13.62 | 13.43 |
| Europe | 4.21 | 4.33 | 4.44 | 4.50 | 4.37 | 4.54 | 4.58 | 4.62 | 4.68 | 4.60 |
| Middle East | 30.50 | 30.72 | 30.97 | 31.28 | 30.87 | 31.48 | 31.53 | 31.60 | 31.66 | 31.57 |
| Total | 100.42 | 101.54 | 102.66 | 103.35 | 101.99 | 103.60 | 104.19 | 104.69 | 104.71 | 104.30 |
| | Q1 2023 | Q2 2023 | Q3 2023 | Q4 2023 | 2023 | Q1 2024 | Q2 2024 | Q3 2024 | Q4 2024 | 2024 |
| Conventional | 71.06 | 71.35 | 71.66 | 72.00 | 71.52 | 72.16 | 72.10 | 72.06 | 72.06 | 72.09 |
| Extra heavy oil | 3.52 | 3.60 | 3.64 | 3.66 | 3.60 | 3.65 | 3.64 | 3.63 | 3.62 | 3.63 |
| Oil sands | 3.22 | 3.14 | 3.22 | 3.25 | 3.21 | 3.22 | 3.15 | 3.24 | 3.26 | 3.22 |
| Oil shale (kerogen) | 0.05 | 0.05 | 0.05 | 0.05 | 0.05 | 0.05 | 0.06 | 0.06 | 0.06 | 0.06 |
| Other liquids | 6.88 | 7.35 | 7.61 | 7.45 | 7.32 | 7.32 | 7.74 | 7.93 | 7.71 | 7.67 |
| Tight oil | 12.92 | 13.20 | 13.55 | 13.93 | 13.40 | 14.11 | 14.38 | 14.61 | 14.82 | 14.48 |
| Unconventional gas | 2.78 | 2.85 | 2.93 | 3.01 | 2.89 | 3.08 | 3.13 | 3.16 | 3.19 | 3.14 |
| Total | 100.42 | 101.54 | 102.66 | 103.35 | 101.99 | 103.60 | 104.19 | 104.69 | 104.71 | 104.30 |
| Q1 2023 Q2 2023 Q3 2023 Q4 2023 2023 Q1 2024 Q2 2024 Q3 2024 | | | | | | | | | | |
| | Q1 2023 | Q2 2023 | Q3 2023 | Q4 2023 | 2023 | Q1 2024 | Q2 2024 | Q3 2024 | Q4 2024 | 2024 |
| Algeria | 1.01 | 1.01 | 1.02 | 1.03 | 1.02 | 1.05 | 1.05 | 1.05 | 1.04 | 1.05 |
| Angola | 1.16 | 1.20 | 1.20 | 1.18 | 1.18 | 1.14 | 1.10 | 1.06 | 1.02 | 1.08 |
| Congo | 0.26 | 0.26 | 0.25 | 0.25 | 0.25 | 0.24 | 0.24 | 0.23 | 0.23 | 0.23 |
| Equatorial Guinea | 0.06 | 0.07 | 0.07 | 0.07 | 0.07 | 0.06 | 0.06 | 0.06 | 0.05 | 0.06 |
| Gabon | 0.19 | 0.19 | 0.19 | 0.19 | 0.19 | 0.18 | 0.18 | 0.17 | 0.17 | 0.17 |
| Iran | 2.55 | 2.56 | 2.61 | 2.67 | 2.60 | 2.70 | 2.71 | 2.76 | 2.79 | 2.74 |
| Iraq | 4.47 | 4.49 | 4.50 | 4.53 | 4.50 | 4.57 | 4.58 | 4.58 | 4.58 | 4.58 |
| Kuwait | 2.68 | 2.70 | 2.72 | 2.74 | 2.71 | 2.80 | 2.80 | 2.80 | 2.80 | 2.80 |
| Libya | 1.16 | 1.19 | 1.23 | 1.26 | 1.21 | 1.27 | 1.29 | 1.30 | 1.31 | 1.29 |
| Nigeria | 1.04 | 1.09 | 1.12 | 1.13 | 1.10 | 1.12 | 1.12 | 1.10 | 1.08 | 1.11 |
| Saudi Arabia | 10.48 | 10.56 | 10.64 | 10.71 | 10.60 | 10.77 | 10.77 | 10.77 | 10.77 | 10.77 |
| UAE | 2.98 | 2.97 | 2.99 | 3.08 | 3.00 | 3.04 | 3.04 | 3.04 | 3.04 | 3.04 |
| Venezuela | 0.78 | 0.80 | 0.81 | 0.81 | 0.80 | 0.80 | 0.79 | 0.79 | 0.79 | 0.79 |
| Oil field production | 28.80 | 29.08 | 29.35 | 29.62 | 29.21 | 29.76 | 29.72 | 29.72 | 29.68 | 29.72 |
| Other production | 5.28 | 5.37 | 5.42 | 5.46 | 5.38 | 5.48 | 5.50 | 5.51 | 5.52 | 5.50 |
| OPEC | 34.08 | 34.45 | 34.77 | 35.08 | 34.59 | 35.24 | 35.22 | 35.22 | 35.20 | 35.22 |
| Q1 2023 Q2 2023 Q3 2023 Q4 2023 2023 Q1 2024 Q2 2024 Q3 2024 | | | | | | | | | | |
| | Q1 2023 | Q2 2023 | Q3 2023 | Q4 2023 | 2023 | Q1 2024 | Q2 2024 | Q3 2024 | Q4 2024 | 2024 |
| Call on OPEC | 35.19 | 34.35 | 34.12 | 34.57 | 34.56 | 34.57 | 34.71 | 35.07 | 35.45 | 34.95 |
| OPEC | 34.08 | 34.45 | 34.77 | 35.08 | 34.59 | 35.24 | 35.22 | 35.22 | 35.20 | 35.22 |
| OPEC Partner | 15.18 | 14.91 | 14.81 | 14.89 | 14.95 | 15.06 | 15.18 | 15.29 | 15.39 | 15.23 |
| Non-OPEC | 51.16 | 52.18 | 53.09 | 53.38 | 52.45 | 53.30 | 53.78 | 54.18 | 54.12 | 53.85 |
| Total | 100.42 | 101.54 | 102.66 | 103.35 | 101.99 | 103.60 | 104.19 | 104.69 | 104.71 | 104.30 |
Glossary
About KAPSARC
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Disclaimer © Copyright 2023 KAPSARC Oil Market Outlook (KOMO)
This Report (and any information, data or materials contained therein) (the "Report") is based on KAPSARC models and data and the opinions of KAPSARC reseachers. The content of this Report is intended for public distribution. KOMO results are relatively smooth by design. Actual changes in supply demand are likely to be more volatile as certain geopolitical stress factors and other factors may arise at a moment's notice, which makes spontaneous incidents challenging to predict. KAPSARC makes no warranty, representation or undertaking, whether expressed or implied, nor does it assume any legal liability, whether direct or indirect, or responsibility for the accuracy, completeness, any actions taken on the basis of this Report, or the usefulness of any information contained in the Report. Nothing in the Report constitutes or shall be implied to constitute advice, recommendation for any particular investment strategy or option.
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Same information as of December 2022 was used in the preparation of this Report.
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REGENERATIVE MEDICINE
a Department of Ischemia Research, Fraunhofer Institute for Cell Therapy and Immunology, Leipzig, Germany; b Department of Radiology, McGowan Institute for Regenerative Medicine, University of Pittsburgh, Pittsburgh, Pennsylvania, USA; c NeuroRepair Department, Mossakowski Medical Research Centre, Warsaw, Poland; d Department of Neurology, Institute of Clinical Medicine, University of Eastern, Kuopio, Finland; e Translational Centre for Regenerative Medicine, Leipzig University, Leipzig, Germany; f Department of Translational Medicine and Cell Technology, Fraunhofer Research Institution for Marine Biotechnology and Institute for Medical and Marine Biotechnology, University of L€ ubeck, L€ ubeck, Germany
Correspondence: Franziska Nitzsche, M.Sc., Fraunhofer Institute for Cell Therapy and Immunology, Department of Ischemia Research, Perlickstr. 1, D-04103 Leipzig, Germany; or Department of Radiology, McGowan Institute for Regenerative Medicine, University of Pittsburgh, 3025 East Carson Street, Pittsburgh, Pennsylvania 15203, USA. Telephone: 49-341-35536-3150; Fax: 49-341-35536; e-mail: firstname.lastname@example.org
This is an open access article under the terms of the Creative Commons Attribution-NonCommercial-NoDerivs License, which permits use and distribution in any medium, provided the original work is properly cited, the use is nonommercial and no modifications or adaptations are made.
Received January 11, 2017; accepted for publication February 23, 2017; first published online in STEM CELLS EXPRESS March 18, 2017.
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http://dx.doi.org/ 10.1002/stem.2614
Concise Review: MSC Adhesion Cascade—Insights into Homing and Transendothelial Migration
FRANZISKA NITZSCHE , a,b CLAUDIA MU ¨ LLER, a BARBARA LUKOMSKA, c JUKKA JOLKKONEN, d ALEXANDER DETEN, e JOHANNES BOLTZE a,e,f
Key Words. Cell adhesion molecules • Cell migration • Chemokine receptors • Integrins • Mesenchymal stem cells • Stem/progenitor cell • Leukocytes
ABSTRACT
Mesenchymal stem cells (MSCs) are promising candidates for adult cell therapies in regenerative medicine. To fully exert their potential, efficient homing and migration toward lesion sites play an important role. Local transplantation deposits MSC in spatial proximity to the lesion, but often requires invasive procedures. Systemic administration routes are favored, but require the targeted extravasation of the circulating MSC at the site of injury. Transplanted MSC can indeed leave the blood flow and transmigrate through the endothelial barrier, and reach the lesion site. However, the underlying processes are not completely dissolved yet. Recent in vitro and in vivo research identified some key molecules scattered light on the extravasation mechanism. This review provides a detailed overview over the current knowledge of MSC transendothelial migration. We use the leukocyte extravasation process as a role model to build a comprehensive concept of MSC egress mechanisms from the blood stream and identified relevant similarities as well as important differences between the extravasation mechanisms. STEM CELLS 2017;35:1446–1460
SIGNIFICANCE STATEMENT
Our manuscript provides a concise overview on the current knowledge of the mesenchymal stem cell (MSC) extravasation and homing mechanisms. We highlight relevant similarities and important differences to leukocyte migration, which are important for research and potential downstream clinical implementation of MSC-based therapies.
INTRODUCTION
Mesenchymal stem cells (MSCs) are widely used for experimental therapies of neurodegenerative as well as immune disorders, diseases of the skeletomuscular system, and even tumors [1–4]. Moreover, first clinical applications are underway, attempting to capitalize on the cells' beneficial effects and immunocompatibility [5, 6]. A particularly interesting MSC ability is their homing capability, allowing the cells to navigate to sites of injury and inflammation [7]. MSCs are believed to exert migratory behavior resembling that of leukocytes [8–10] with respect to cytokine responsiveness and the ability for transendothelial migration (TEM, diapedesis). This distinct homing capability enables application of minimally invasive systemic delivery strategies in clinical practice, facilitating a widespread implementation of novel MSC-based treatment protocols. One the other hand, systemic MSC administration might lead to adverse events such as pulmonary [11] or (cerebral) microembolism
[12] under certain circumstances. While MSC homing behavior has been well described in numerous scenarios, clarity about definite mechanisms and regulation of MSC migration is still lacking [13–15]. Hence, detailed knowledge on the MSC migration process is needed to avoid potential adverse events in the clinical translation of systemic treatment protocols.
This review summarizes current knowledge on navigation, homing, and TEM mechanisms of MSCs after systemic administration.
MSC HOMING DEFINITION: WHERE DO W STAND AND WHAT DO WE NEED?
E
Most attempts to define "MSC homing" resulted in relatively vague, mechanistically oriented and descriptive definitions. Some approaches are simply equating it with migration, ultimately resulting in the delivery of cells to the site of injury [16, 17], and subsequent exertion of local effects [18]. Importantly, these definitions lack clarity about how and where homing starts as
Figure 1. Systemic and nonsystemic homing. Recruitment of local progenitors or transplanted mesenchymal stem cell (MSC) is based on a chemokine gradient released from the injured site. Systemic homing is inevitable after intravasal transplantation and requires active or passive MSC extravasation followed by chemokine guided interstitial migration toward the injury. Occasionally, endogenous MSCs are recruited to the injured tissue via the vascular system. Local transplantation circumvents the journey through the vascular system, so the nonsystemic homing is based on migration through tissue in spatial proximity to the injury. Abbreviation: MSC, mesenchymal stem cell.
well as when it is terminated, or its characteristics [15]. The most comprehensive definition so far was given by Karp et al. who called for a more nonmechanistic definition and determined MSC homing as the active or passive arrest of a MSC within the vasculature followed by transmigration across the endothelium [13].
As therapeutic MSC administration can be conducted either systemically or site-specific, it is necessary to extend the MSC homing definition to provide a global picture of enrolled processes and mechanisms. Homing from local clusters after sitespecific transplantation follows chemotactic principles whereas systemic transplantation also involves travel in and egress from the vascular system. Hence, there is a need to distinguish between systemic and nonsystemic homing.
Nonsystemic homing (Fig. 1) requires either recruitment of local MSC or transplantation of exogenous cells close to the target area. Directed migration follows activation and polarization of MSC, during which a front pole is formed. The front pole guides interstitial locomotion by sensing chemokines released from injured or inflamed tissue. Migration is terminated after reaching the target site.
Systemic homing is a multistep process composed of three distinctive phases: (a) direct administration into or cell recruitment and ingress to the circulation, (b) extravasation at the lesion vicinity, and (c) interstitial migration toward the target site (Fig. 1). In the first phase, MSCs are recruited to the circulation from endogenous depots such as the bone marrow, or exogenous MSCs are systemically administered. Of note, egress of endogenous MSC into the circulatory system is an active process involving an additional migration step. In the circulation, MSCs are transferred to the site of injury via the vascular system, a process which is guided by chemokine gradients (see below). The subsequent extravasation phase comprises capture of flowing MSC, rolling along, and adhesion to the endothelium, followed by TEM to reach the perivascular space. Arrest at the endothelium as well as TEM are determined by MSC and endothelial surface proteins. The homing process is finally concluded by the trans-tissue and/or -interstitial MSC migration phase to the lesion site [19], which is also navigated by chemokine gradient.
MSC EXTRAVASATION
It is considered that MSCs should exit the circulation to be effective in tissue regeneration and repair after systemic delivery or recruitment from remote sites. Similar to leukocytes, this initially involves formation of contact between the endothelium and the circulating MSC, tethering, and endothelial rolling [20].
Pioneering work to reveal mechanisms behind leukocyte TEM was performed by the Butcher and Springer groups, suggesting a multistep model of leukocyte extravasation [21, 22] (Fig. 2). The conceptional ideas behind these processes have significantly improved and historical definitions of rolling and adhesion were dramatically reshaped with the discovery of adhesion surface molecules and their respective ligands [23, 24]. The model of "combinatory specificity" [23] was established in the context of selectin-mediated rolling, chemokinetriggered activation, and integrin-dependent arrest. Conventional knowledge suggests that MSC TEM is initiated similarly to that of leukocytes and hematopoetic stem cells [23]. Leukocyte homing and arrest can indeed serve as the conceptual role model for MSCs as both cell populations share many similarities. However, striking differences with respect to these processes have also been described (Table 1).
Figure 2. Multistep model of leukocyte and mesenchymal stem cell (MSC) extravasation. Pro-inflammatory mediators initiate a cascade of endothelial and leukocyte/MSC adhesion and motility responses. Initially, the flowing cell is captured through the interaction of surface molecules and a low affinity contact to the vascular wall is established. The cell then slows down during rolling until arrest. Firm attachment and intraluminal crawling are mediated by interaction of adhesion molecules. During crawling, the cell polarizes and scans the endothelium for exit cues. At the right spot, the cell overcomes the endothelial barrier, the endothelial basement membrane, and the pericyte sheath before continuing chemokine guided interstitial migration.
Table 1. Comparison of leukocyte and MSC extravasation
Abbreviations: MMP, Matrix metalloproteases; MSC, mesenchymal stem cell; PI3K, Phosphoinositide 3-kinase; TIMP, Tissue inhibitor of metalloproteases.
As known from electron microscopy studies, leukocyte TEM is an active process, requiring structural modification of the transmigrating cell. In contrast, MSCs can also become passively arrested within capillaries, potentially representing an alternative to active adhesion. MSCs, being significantly larger than leukocytes, become entrapped in small-diameter vessels during passive arrest [13, 25]. It is unclear whether or not passive MSC arrest initiates TEM, and the fate of passively arrested MSCs is still undetermined. The only difference between active and passive arrest verified so far is the alteration of the local blood flow. During active stop, the cell flattens swiftly, preventing local blood flow disturbances. In contrast to selectin- and integrin-mediated capture, cell flattening is not observed during passive arrest, what can lead to local blood flow impairments. A particular risk is "nonspecific" passive arrest in pulmonary, hepatic, splenic, and cerebral capillaries, which can cause microembolism [26–29]. Understanding of passive arrest mechanisms is therefore essential for MSC therapy development and, potentially, optimization with respect to safety and efficacy.
Another remarkable difference between leukocytes and MSC was found in TEM duration. While leukocytes can complete diapedesis within 20 minutes, MSC diapedesis requires the three- to sixfold time [30, 31]. Although there seems to be a difference between duration of the migration itself, a long MSC presence in the circulation will not lead to an enhanced migration [30].
Previous studies to reveal the mechanisms of TEM were mainly based on MSCs from exogenous sources and involved in vitro cultivation and expansion [31–33]. Endogenous MSCs reside within the bone marrow or perivascular niche and migrate toward (lesion) sites after mobilization [34, 35]. Detection and studying of endogenous MSC migration is, however, challenging and resulted in controversial results, as their characteristics and immunophenotype might differ from culture-expanded MSCs [36]. Eggenhofer et al. presented two potential recruitment routes for endogenous MSCs. The first hypothesis describes the attraction and migration of MSCs from the bone marrow through the circulation. This process is guided by cytokines, chemokines, and growth factors such as
stem cell factor or stromal-derived factor 1 (SDF-1), all of which are released from the injury site. The second hypothesis assumes that local MSCs are recruited from within the injured tissue and migrate through the stroma or reach their destination via microcapillaries [36]. In contrast to migration of exogenous MSCs, however, reports on (transendothelial) migration mechanism of endogenous MSCs are scarce, not providing enough information to draw a comprehensive picture so far. One the other hand, there is no study indicating fundamental mechanistic differences between migration of endogenous and exogenous MSC toward a lesion site.
MOLECULAR SIGNALS CONTROLLING MSC EXTRAVASATION
A multitude of molecular signals and messengers including growth factors and chemokines [37] plays an essential role for the MSC homing process. Most of these trafficking signals also control the well-orchestrated sequential process of leukocyte extravasation. They were first identified to control neutrophil diapedesis before being later found to navigate lymphocytes extravasation in general [22]. This inspired the concept of a ubiquitous cell migration control system. In fact, MSC extravasation is governed by the same surface receptors and migratory cues, although MSC extravasation displays some important differences to leukocyte egress as shown above (Table 1). The most important molecules and events for leukocyte and MSC homing and extravasation are given in Table 2.
PRIMING AND REQUIREMENTS FOR EXTRAVASATION
Endothelial cells contribute to extravasation by eliciting crucial signal responses upon contact with the extravasating cell [69]. This requires endothelial activation being characterized by an upregulation of receptors on the endothelium in response to mediators released by inflamed tissue. Those mediators are soluble factors such as tumor necrosis factor alpha (TNFa) or histamine, with the latter inducing activation of P-selectin on the endoluminal surface within a few minutes [49]. E-selectin expression is increased by TNFa and interleukin (IL)-1b and peaks after 3–4 hours [49]. Inflammatory mediators also stimulate vascular cell adhesion molecule 1 (VCAM-1) and Intercellular adhesion molcule 1 (ICAM-1) expression [31, 70]. The upregulation "primes" the endothelium for transmigration by activation of intracellular signaling pathways.
On the side of the extravasating cells, the expression of ligands is relevant for TEM and includes the upregulation of CD44 (HCAM) and CD49d (Very late antigen 4; VLA-4) [26]. Adhesion receptors permit the circulating cell to scan "the endothelium." After the matching, endothelial "signal expression pattern" was found [71], and receptor activation leads to firm adhesion.
Breakdown of the basal membranes and extracellular matrices as well as local chemokines favor locomotion and tissue reconstitution. The migrating cell literally "blazes" its trail through the surrounding tissue by using proteases being produced after cytokine or chemokine stimulation.
Taken together, a set of preconditions including expression, upregulation, and activation of adhesion molecules have to be fulfilled for extravasation of circulating cells. All relevant processes are described in more detail in the following paragraphs.
Cell Capture and Rolling
Selectin-Mediated Rolling. Selectins are evolutionary highly preserved cell surface receptors, which are expressed in the vascular system. They are composed of a single transmembrane chain and a unique N-terminal extracellular domain. The N-terminus contains a Ca 2 1 -dependent lectin domain, an epidermal growth factor (EGF)-like domain, and short consensus repeat units, which control ligand specificity, receptor stabilization and oligomerization [72]. Interaction of P-, L-, and E-selectins with P-selectin glyocoprotein ligand 1 (PSGL-1) mediates tethering and rolling of leukocytes (Fig. 3). Although PSGL-1 is expressed on all leukocytes, it is only functional when it is glycosylated correctly [23, 73]. The establishment of low-affinity contacts followed by perpetual formation and breakup of bonds between leukocytes and endothelium contributes to the reduction in the velocity of passing leukocytes [74]. Formation of selectin bonds is dependent from shear stress, what can be related to a "catch-bond" phenomenon of selectins [75]. Furthermore, it is known that selectin-mediated leukocyte rolling and deceleration is supported by formation of slings (5 cell autonomous adhesive substrates) [76, 77] and microvilli flattening [47].
Contrasting leukocytes, selectin receptor expression is not observed on MSCs [26, 78]. While the coordinated rolling behavior of leukocytes is a prerequisite for adhesion, MSCs tethering and rolling cannot rely on selectin ligands. Selectinmediated rolling may not be decisive for establishing firm adhesion as long as MSCs are slowed down or become passively arrested by other means, potentially including passive arrest. Most interestingly, MSC rolling depends on P-Selectin expression on activated endothelium in vitro and in vivo [9]. Although neither P-selectin glycoprotein ligand 1 (PSGL-1) nor CD24 expression was found on MSCs; blocking experiments revealed that P-selectin controls rolling. This strongly suggests the existence and relevance of other ligands (Fig. 3). Indeed, MSCs have been shown to express glycoproteins [79] and galectin-1 [80], which may represent alternative P-selectin ligands. Furthermore, interaction of MSCs with P-selectin might be mediated by a bridging mechanism involving platelets. A recent study showed that platelet depletion in a murine model of dermal inflammation decreased MSC trafficking [27]. Spatial proximity or direct contact of MSCs to platelets or neutrophil-platelet clusters may arbitrate adhesion to endothelium. Dependence of MSC rolling from shear stress was also demonstrated, suggesting a catch-bond mechanism.
Integrin-Mediated Rolling. Integrins are heterodimeric transmembrane receptors consisting of an a- and b-subunit. They participate in leukocyte rolling and mediate firm adhesion. In addition, integrin heterodimers are able to induce selectinindependent rolling and strengthen cell binding to the endoluminal layer [81]. Three different conformations result in low, intermediate, or high activity of integrins. This is crucial for ligand binding and affinity [82, 83]. Next, a distinct change in the integrin distribution on the cell (valency) induces cytoskeleton adaptation and formation of signalosomes [23, 84], and in turn influencing binding strength of captured cells to the endothelium. Finally, the interplay between VLA-4 (a4b1) and VCAM-1 as well as the interaction of Lymphocyte functionassociated antigen 1 (LFA-1) or Lymphocyte Peyer patch
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adhesion molecule (LPAM) (a4b7) with MadCam-1, VCAM-1, or ICAM-1 induces rolling behavior of leukocytes [23]. b2Integrins are crucial, as they reduce leukocyte velocity following selectin-mediated capture [23, 84]. Binding of L- or Eselectin triggers the initial change in integrin affinity from low to intermediate state and allows transient binding of ICAM-1.
MSCs express a broad spectrum of integrins including b1, b2, a1, a2, a3, a4, a5, a6, and aV [85, 86]. Particularly, expression of a4 subunit varies under different isolation and cultivation techniques as well as between individual donors and, importantly, species. This resulted in different observations regarding MSC adhesion behavior [9, 30, 85]. Noncovalent assembling of a4 and b1 is necessary to form VLA-4, an important mediator of endothelial rolling and arresting at sites of inflammation. A few studies pointed out the importance of VLA-4 for MSC adhesion on inflamed endothelium, but it remains open what role naturally expressed integrins play in MSC rolling. Nevertheless, induced ectopic overexpression of the a4 subunit has been found to enhance bone homing and engraftment of transplanted MSCs in mice [87]. As the b1 subunit is abundantly expressed by MSCs, the subsequent assembling of both subunits resulted in increased expression of functional VLA-4 on the cells [87]. Interaction of b1 subunit with VCAM-1 and extracellular matrix (ECM) components is of particular importance for rolling and firm adhesion of MSC. Hence, blocking of b1 substantially decreases homing capabilities [88].
Cell Activation and Firm Adhesion to the Endothelium
Chemokine receptor interaction enables chemo- or haptotaxis of mobile cells. Once bound to their ligand, chemoattractant receptors direct migration, promote integrin adhesiveness, and stimulate degranulation as well as rearrangement of the cytoskeleton [22]. After initial endothelial activation, chemokines can be locally expressed at the vascular endothelial surface or in the ECM where they are bound to glycosaminoglycanes [89]. During slow rolling, the leukocyte is exposed to immobilized chemokines at the apical (endoluminal) site of endothelial cells [20]. Binding of the chemokines to leukocytic G protein-coupled receptors (GPCRs) induces downstream signaling, resulting in straightening of inactive integrin receptors and exposure of a binding pocket [82] (Fig. 3). Monocyte GPCRs can cause Phospholipase C (PLC) activation, resulting in an increase in intracellular Ca 2 1 -levels and triggering an enhancement of integrin affinity. Ca 2 1 -ions activate guanine-exchange factors which in turn activate small GTPases such as Rap1 or Rho a [23]. One of the targets from this downstream signaling is talin, an intracellular adapter protein that moves to the cell membrane and interacts with the b-subunit of the integrin receptor [81]. Distance widening between cytoplasmic tails of both subunits leads to straightened position of the integrin receptor, and thus, exposure of a binding pocket. The resulting affinity increase as well as further integrin recruitment is particularly important for establishing strong and shear-resistant leukocyte adhesion to the endothelial cells [23, 47, 90]. In addition, actin polymerization is enhanced after leukocyte activation, and thus, promotes formation of lamellopodia necessary for probing the endoluminal surface [91].
Active, surface molecule-mediated MSCs adhesion to the endothelium is discussed as a core mechanism of the homing process [13]. Expression of numerous chemokine receptors
Wiley Periodicals, Inc. on behalf of AlphaMed Press including C-C chemokine receptors (CCR)2, CCR4, CCR7, CCR10, CXCR5, CXCR6, and CXCR4 was already shown for MSCs [89, 92, 93]. It is still unclear how these chemokine receptors contribute to extravasation. Although expressed, CXCR4 for instance does not contribute to TEM in MSCs [86]. In contrast, other researchers presented evidence that CXCR4 plays a major role for MSC homing [39, 93–96]. It is not unlikely that those conflicting results simply derive from different handling, isolation, and cultivation conditions. In vitro assays and screenings have identified the cytokine receptor CCR2 as being necessary for organ-specific homing [97, 98].
It was reported that enforced hematopoietic cell E- and Lselectin ligand (HCELL) expression on human MSCs leads to robust osteotropism [99]. Expression of HCELL induces binding to endothelial E-selectin. Interaction of HCELL with selectin also affects adhesion of MSC to VCAM-1 and triggers activation of G-protein signaling while bypassing chemokine receptor signaling [100]. Blocking experiments showed that firm adhesion is established by VLA-4/VCAM-1 interaction which in turn is mediated by Rac1/Rap1 GTPase signaling [99]. So far, the full range of downstream mediators involved in signaling for MSC TEM has not been elucidated, with only a few signaling pathways being identified so far (Fig. 3). Phosphokinase C (PKC), for example, is upregulated in an IL-8 dependent manner in human MSCs [101] and Phosphoinositide 3-kinase (PI3K)/Act plays a corresponding role [30]. As integrins lack enzymatic activity, an intracellular adapter is required to transduce signals from outside or from the inside [102]. One of those adapters is the integrin-linked kinase (ILK). It is conceivable that ILK also plays a role for MSC TEM and signaling. Song et al. have shown that overexpression of ILK in MSC leads to their increased adhesion to the infarcted myocardium and to improved cell survival after hypoxia [103].
Endothelial Scanning, Crawling, and Cell Polarization
Leukocytes search for exit cues after establishing a firm endothelial adhesion [91]. To this end, the leukocyte "scans" the endothelium along chemotactic gradients and moves along the inner vessel walls (5crawling). Endothelial crawling requires integration of inside-out integrin activation upon chemokine binding, outside-in integrin signaling, and chemokine receptor-induced cytoskeletal remodeling [104].
Lateral movement is accompanied by formation of protrusions, lamellipodia, filopodia, and invadosomes for motility and pathfinding and is observed as soon as leukocytes are starting to polarize [31, 32] (Fig. 4). Signaling via src family kinases and activation of syk are crucial for cellular polarization and cell shape changes [105]. Chemokine-GPCR downstream signaling triggers reorganization of the leukocyte actin cytoskeleton, generating a protrusive front pole and a contractile uropod. Furthermore, Rho/ROCK signaling is linked to formation of protrusions and lamellipodia [65] in response to chemokine signals [24]. Crawling behavior was observed with or against the blood stream as well as perpendicular to it [47]. It is assumed that crawling allows the leukocyte to sense the best location for TEM but is not essential to the process itself because inhibition of crawling only prolongs, but not prevents TEM [106].
MSCs also require polarization before TEM. The intracellular adapter molecule FROUNT, linked to CCR2, is necessary to polarize MSCs, which is followed by CCR2 clustering and leads to cytoskeletal reorganization [97]. MSCs show little lateral
Figure 3. Rolling, cell activation, and firm adhesion of leukocytes and mesenchymal stem cell (MSC). Rolling along the inner vascular wall is mediated by selectins and integrins. Transitory bonds are established and dissolved between selectin receptors and their respective ligands. Tethering activates the integrin receptors. E-selectin and LFA1 play an important role in leukocyte rolling. MSC rolling is obligatory and is facilitated by galectin1 or platelet bridging that act as alternatives for selectin-mediated adhesion. Cell activation and firm adhesion to activated endothelium: A chemokine binds to its cognate G protein-coupled receptor. Small GTPases get activated and target the cytoplasmic domain of the VLA-4 receptor via the adaptor protein talin. This interaction causes an allosteric switch exposing the extracellular binding site. The erected form of the integrin receptor further facilitates receptor clustering, lateral movement, and triggers migration, adhesion, or diapedesis. While the contributing molecules and signaling pathways are relatively well investigated, their role in MSC activation is primarily derived from the leukocyte model. Abbreviations: ESL-1, E-selectin ligand 1; GEF, guanine-exchange factor; GPCR, G protein-coupled receptor; HCELL, hematopoietic cell E- and L-selectin ligand; IL-8, interleukin-8; PLC, Phospholipase C; PSGL-1, P-selectin glycoprotein ligand 1; s-LEx, sialyl Lewis x; VCAM, Vascular cell adhesion molecule 1; VLA-4, Very late antigen 4.
Figure 4. Leukocyte crawling versus mesenchymal stem cell (MSC) crawling. During crawling onto the endothelial layer, the leukocyte moves into various directions to find the optimal spot for transendothelial migration. The leukocyte polarizes and forms cytoplasmic extensions (filopodes and lamellipodes). Additional leukocytic membrane protrusions (invadosomes) are advancing into the endothelial cell body and are mediated by ICAM-1. MSC crawling does not occur in an extensive manner and lateral movement is reduced. The MSC advances against the endothelial barrier by the formation of blebs.
migration on the endothelium during polarization, which is in contrast to leukocytes (Fig. 4). However, MSCs are able to form filopodia after stimulation with CXCL-9 and crawl on endothelial cells. This is followed by formation of pseudopodia and spreading in vitro [26]. In distinction from leukocytes TEM, MSC TEM does not involve invadosomes or lamellipodia. Instead, MSCs share a number of interesting characteristics with the extravasation of germ cells or metastatic tumor cells including non-apoptotic blebbing [31, 107]. MSCs are supposed to form bleb-like protusions (cup-like structures) on the cell surface, particularly at sites of close contact with the endothelium [31].
surrounding the passing leukocyte. The leukocyte itself has to relocate integrin adhesion molecules when passing the endothelium, what comprises inactivation of GTPases, antagonizing Rho/Rap activities, as well as regulation by PI3K signaling and PKC [47]. In particular, PI3K signaling is associated with disruption of endothelial tight junctions [108].
Crossing the Endothelial Barrier
Overcoming the Endothelial Monolayer. Any transmigrating cell has to overcome three barriers: endothelial cells, the basement membrane, and the pericyte sheat [23]. The guidance of the leukocyte through endothelial junction (or pores) requires a strict coordination of the interaction between endothelial monolayer and the transmigrating leukocyte [47]. When the leukocyte has found an optimal spot for TEM, integrin binding to ICAM-1 or VCAM-1 activates signaling pathways that lead to high receptor trafficking in the endothelial cell (Fig. 5). Furthermore, ICAM-1 and VCAM-1 clustering facilitates the formation of transmigratory cups, which are finger-like protrusion surrounding the adherent leukocyte and providing directional guidance [90, 91]. The inter-endothelial cell–cell connections formed by adherens (Vascular endothelial cadherin, VE-cadherin), gap (connexins), and tight junctions (occludin, claudin, and junctional adhesion molecules) are disassembled upon activation and clustering of ICAM-1 or VCAM-1. This eases the leukocyte passage [24, 91]. Importantly, endothelial connections are subsequently recycled in the so-called lateral border recycling compartment providing new membranous components
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Also MSCs and endothelium actively cooperate to enable guidance by transmigratory cups, a form of endothelial protrusions [31]. It can be assumed that MSC-endothelial cooperation may induce similar endothelial signaling and reorganization as seen after leukocyte adhesion. However, in vitro life cell imaging studies on transmigrating MSCs suggested an important role of blebs that might mediate intercellular forces against endothelium [31, 109] (Fig. 5). Moreover, bone marrow-derived MSC TEM was shown to depend from PI3K and ROCK in knock down experiments [110]. In accordance to leukocytes, Rho was identified as a regulator of cytoskeletal activation and a modulator of MSC transmigration. Rho inhibition led to resolution of actin stress fibers and increased the amount of cytoplasmatic protrusions. Rho inhibition also enhanced chemotactic migration toward PDGF, HG, LPA, and S1P [111].
Overcoming the Basement Barrier and the Pericyte Sheat. Finally, migrating leukocytes enter the subendothelial space via a lamellopodial leading edge (Fig. 5). This movement is guided by platelet endothelial cell adhesion molecule (PECAM1, CD31), CD99, and junctional adhesions. The endothelial basal membrane consists of laminins and collagen type IV. Proteolytic cleavage by matrix-metalloproteinases or elastases facilitates leukocytic passing of this barrier. Beside degradation mechanisms, existence of leukocyte-permissive regions is discussed aligning with gaps between adjacent pericytes. Those gates show low matrix protein deposition and are enlarging in response to different inflammatory stimuli [112]. The leukocyte
Figure 5. Leukocyte and mesenchymal stem cell (MSC) crossing of endothelial barrier. Transendothelial migration (TEM) involves coordinated assembly and disassembly of adhesion molecules (VE-cadherin, integrins, connexins, and tight junctions). Endothelial adhesion molecules are temporarily occupied by the transmigrating cell addressing complex signaling pathways. Receptor internalization and recycling within the lateral border recycling compartment are mediated by phosphorylation and dephosphorylation, and can further involve proteolytic cleavage and alteration of cytoskeletal anchorage. Cytoskeletal remodeling facilitates opening of endothelial junctions and eases the passage of the transmigrating cell. As soon as the leading edge reaches the basal lamina, proteolytic enzymes are released for basal lamina breakthrough. An ICAM-1 interplay regulates the passage through the pericyte sheath. Of note, molecular signaling during TEM of MSC is not completely elucidated yet, leaving several ambiguities. Abbreviations: ICAM, Intercellular adhesion molecule 1; JAM, junctional adhesion molecule; LBRC, lateral border recycling compartment; LFA-1, Lymphocyte function-associated antigen 1; MMP, Matrix metalloprotease; PA, Plasminogen activator; PECAM, Platelet endothelial cell adhesion molecule 1; VCAM, Vascular cell adhesion molecule 1; VLA-4, Very late antigen 4; VE, Vacular endothelial cadherin.
is then attracted by pericytes expressing ICAM-1 and is further guided by pericyte-borne chemoattractants [113].
Urokinase-type plasminogen activator (PA) has been found in MSC protrusions (Fig. 5) and can support migration of MSCs under ERK 1,2 MAPK signaling [114]. Overcoming the endothelial basement barrier by MSCs involves proteases including collagenases and metalloproteinases such as Matrix metalloprotease 2 (MMP-2). MMPs are able to degrade the basal membrane collagen type IV, and Tissue inhibitor of metalloprotease 3 (TIMP3). MMP-9 seems to play a minor role [10, 32, 52], while knock down of MMP-2 severely impairs the migration of MSC over endothelial basement membrane [10].
Different Ways Trough the Endothelial Barrier
Two main routes for leukocyte TEM have been described [74, 115]. Paracellular migration between neighboring endothelial cells is used to pass endothelial cell junctions and accounts for the majority of extravasating leukocytes [23]. Besides that, a transcellular route directly through an individual endothelial cell was observed for 5%–20% of leukocytes and occurs especially after contact to ICAM-1 [90, 91].
Paracellular migration is also the main route observed for MSC TEM. Importantly, it does not induce morphological changes to the endothelial barrier. However, it decreases transendothelial electrical resistance and alters localization of endothelial tight junctions [116]. Formation of a gap between endothelial cells by dissolving of inter-endothelial cell contacts allows MSC to overcome the endothelial barrier [30, 110, 116]. Another mechanism called active vascular expulsion depends on endothelial pocketing. This extravasation process requires activity from endothelial cells to guide migrating cells though the endothelial barrier [117]. Integrins are required for pocketing while vascular breakdown necessitates MMPs. Of note, endothelial pocketing is so far described only for MSC forming multicellular spheres or cardiospheres after cultivation on ultralow attachment culture dishes [117] .
Transcellular diapedesis occurs by the formation of an intracellular window for cell passage in a tunnel-like manner, and was recently described for leukocytes [115]. It is unclear though whether this also plays a major role for MSC TEM as only a single publication [31] reported a route directly through the endothelial cell so far.
Furthermore, an integration process, defined by endothelial retraction as well as MSCs spreading and integration was described [30, 32, 118]. That mechanism is usually not considered a TEM process, but may involve similar induction mechanisms as "true" TEM.
STRATEGIES TO ENHANCE MSC HOMING, MIGRATION, AND TRAFFICKING
Recent advances in molecular biology have augmented the opportunities for adjustment and manipulation of stem cell functionality and are mainly exerted by means of genetic engineering [119]. Genetic engineering of MSCs can be realized by numerous methods including the use of integrating and non-integrating viral vectors as well as delivery of plasmid-DNA or mRNA [119]. The element of modification is of similar importance. Mobility and homing via the SDF-1 axis is enhanced by transfection of CXCR4 [39, 94]. Integrating vectors have been used to insert chemokine receptors to MSCs using lentiviral vectors to transfer CXCR4 to rat MSC [120]. Although lentiviral modifications rise safety concerns due to the nonspecific integration sites, the efficiency particularly in resting or slowly proliferating cells is high [119]. Furthermore, it has been described that lentiviral transfection does not relevantly affect the differentiation potential [121]. Moreover, ectopic expression of alpha4/beta1 integrin in MSCs mediated by adenoviral transfection enhances homing to the bone in mice [87]. Adenoviruses are suitable to infect a broad variety of stem cells while having a low immunogenicity. Modification with integrating viral vectors generates long-term expression of the transgene, what makes them a practical tool for proof of principle research, but not for clinical use.
Another approach is transgene delivery via plasmids. Translocation of plasmid DNA to the nucleus is required to produce mRNA for protein translation, but the DNA does not integrate into the host genome and is only transiently translated, increasing the methods safety. This is believed to facilitate clinical use, but currently comes at the cost of low efficacy. To address this problem, a broad variety of transfection kits is available, but need to be optimized for MSCs. For instance, Marquez-Curtis et al. achieved a maximum transfection efficiency of 40% for cord blood derived MSCs using IBAfect while maintaining differentiation capabilities but affecting proliferation rate [39] .
Transient overexpression of relevant cell surface receptors can be also achieved by mRNA. For example, human MSCs were transfected with mRNA carrying the CXCR4 gene for CXCR4 tagged with green fluorescent protein [122]. The greatest advantage of mRNA transfection is the bypass of the nucleus since cytoplasmic mRNA is directly accessible for translation [119]. Electroporation [122] and cationic lipids [123] have been shown to improve mRNA transfection efficacy. Transfection is transient due to cytoplasmic instability of mRNA [124], allowing the transfected cell to home within a certain time window.
Besides the cell surface modification by genetically induced receptor expression, enzymatic manipulation of endogenously expressed surface proteins can be used [125]. An example for enzymatic conversion was given by Kerkela et al., who showed that cleavage of cell surface structures can
Wiley Periodicals, Inc. on behalf of AlphaMed Press increase MSC targeting and decreases pulmonary entrapment [126]. In particular, use of pronase instead of trypsin for detachment of cultured MSC resulted in faster lung clearance due to cleavage of fibronectin-binding receptors. Instead of cleavage, enzymatic modifications can be used to create molecules on the cells' surfaces. Generation of HCELL as an Eselectin ligand is achieved by glycosyltransferase (d)-programmed stereosubstitution, converting naturally expressed CD44 into its sialofucosylated glycoform [127].
Direct MSC capturing from blood flow by interaction of endothelial adhesion molecules with selective ligands is of limited effectiveness [128]. It can be improved though by noncovalent coupling of a PSGL-1-IgG1 fusion construct to the MSC surface using palmitated protein G (PPG) [129]. PPGbased modification is also suitable to bind antibodies against adhesion receptors on the inflamed endothelium as shown for ICAM-1 [130]. Tethering and rolling to P- and E-selectin carrying endothelial cells can further be enhanced by MSC surface modification using conjugation of sialyl Lewis X (sLeX) moiety via Biotin–Streptavidin under optimized conditions [5]. Hydrophobic tails can serve as an anchor for ligands with lipid or alkyl chains [131], but have been shown to offer little resistance to mechanical forces occurring during rolling and adhesion. Firm adhesion under shear stress can be achieved by coupling peptides to membrane proteins with N-hydroxy-succinimide polyethylen glycol 2 (NHS-PEG2). This construct serves as a linker and does not affect cell viability as well as proliferation and differentiation potentials [132].
Improving endothelial adhesion properties is a valid strategy to improve MSC homing, but migration can also be addressed through the manipulation of other regulators. For instance, the phosphoprotein focal adhesion kinase (FAK) serves as a central downstream cytoskeletal regulator of several receptors and proteins such as aquaporin 1 (AQP-1) [55], platelet-derived growth factor receptor [133], or EGF [134]. Enhanced migration of MSCs was shown after AQP-1 overexpression in a femoral fracture model. Accordingly, FAK and bcatenin were upregulated [55, 135]. Transcription factors, such as T-cell factor/Lymphoid enhancer-binding factor (TCF/LEF) [136] or Sox11 [137] control central stem cell characteristics including migratory behavior. Sox11 upregulation activates BMP/smad signaling pathway and initiates MSC migration [137]. Nuclear receptor nurr77 and nurr11 genes are enrolled in the migration of active cell populations [138]. Migration depends on quantitative relationships among the constituents of several pathways [134], and can therefore be affected and potentially controlled by factor regulation on various levels of the respective intracellular signaling cascades.
The aforementioned methods for enhanced homing are based on artificial modifications and thus generally harbor the risk of undesired side effects. Culture conditions, cell source, and manipulation can induce endogenous expression of surface and adhesion receptors [139, 140]. Expression profiles for surface receptors and thereby homing capabilities change considerably with culturing over several passages, and are further influenced by medium composition and oxygen concentration [141] or pretreatment [142]. For example, protein C kinase inhibitor Ro-31-8425 increases adhesion to ICAM binding domains of MSCs in vitro and in vivo [143]. Furthermore, cytokine pretreatment/preconditioning can augment MSC
adhesion and homing to ischemic tissue as shown for TNFa [144] and IGF-1 [145].
In living organisms, MSCs are physiologically situated in hypoxic environments with an oxygen concentration between 2% and 9% [61]. Therefore, maintenance of low oxygen during MSC cultivation supports their physiological characteristics [139], including surface receptor expression and stemness [146]. Hypoxic preconditioning also induces the expression of prosurvival genes, decreases ischemic cell death and increases trophic activity [147] particularly favorable properties for therapeutic transplantation.
Another approach involves the application of stimulating agents or pharmaceuticals to increase proliferation and mobilization of endogenous MSCs from the bone marrow upon injury. G-CSF and VEGF were considered to have a stimulating effect on MSCs, increasing the number of circulating MSCs in the peripheral blood [13, 148, 149]. It is, however, unclear whether mobilized MSCs also home more efficiently toward injury, or if just their number increases.
CLINICAL RELEVANCE OF (IMPROVED) SYSTEMIC MSC TRANSPLANTATION
The benefits of using MSCs for regenerative medicine are numerous and have been proven in many studies [1, 2, 150]. A particular advantage of MSCs compared with the application of certain pharmaceuticals is their capability to secrete a cocktail of bioactive factors in response to their environment [151]. This flexibility circumvents several difficulties as seen, for example, with drug dosing [151] or monodrug treatments. However, the therapeutic impact of this flexibility relies on the presence of MSCs in close spatial proximity to the injury. The invasive character of local transplantation might be not feasible for widespread clinical application. This particularly applies to sites of injury that are hard to reach or to organs such as the heart and the brain, to which a local injection would provide a considerable risk. In this context, a successful systemic transplantation including efficient homing toward injury sites is of significant relevance. Long-term treatment without a stressful intervention further allows repeated transplantation through a remote artery and vein and would, thus, ease the application. Furthermore, conditions have identified that even allow systemic MSC transplantation with high viability and maintenance of a defined secretome [152]. Understanding the process of TEM and factors contributing to it may provide the tools for enhancing MSC homing after systemic transplantation.
AUTHOR CONTRIBUTIONS
F.N.: conception and design, collection and assembly of data, data analysis and interpretation, manuscript writing, conception of figures, final approval of manuscript; C.M.: conception of figures and graphical design of Figures 1–5, critical discussion of manuscript, final approval of manuscript; B.L. and J.J.: critical discussion of manuscript, final approval of manuscript; A.D.: conception and design, critical discussion of the manuscript, final approval of manuscript; J.B.: conception and design, collection and assembly of data, data analysis and interpretation, manuscript writing, final approval of manuscript.
DISCLOSURE OF POTENTIAL CONFLICTS OF INTEREST
The authors indicate no potential conflicts of interest.
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Overall heat transfer coefficients, pressure drop and power demand in plate heat exchangers during the ammonia liquor cooling process
Enrique T. Tamayo, Eduardo J. Díaz, María P. Cedeño, Carlos L. Vargas, Segundo G. Peralta, and Manuel A. Falconi
Abstract: In the Ammonia Recovery process of the nickel company the pressure drop of the Ammonia liquor cooling process, by means of the plate heat exchangers, is associated to the incorrect estimate of the overall heat transfer coefficients and fluid parameters: Water and ammonia liquor outlet temperature, Water and ammonia liquor mass flow. The above increases the consumption of water, the available energy in the system and the maintenance costs. The investigation was carried out in plate heat exchangers, with the objective of determining the overall heat transfer coefficients and the behavior of pressure drop and power required for the ammonia liquor cooling process. By means of an iterative procedure was determined the equation and behavior of the overall heat transfer coefficients and their dependence with the Reynolds and Prandtl, for it was used a multifactor experimental design and measurements of the installation work parameters in function of the time. The results predict the knowledge of the overall heat transfer coefficients for the calculation of the Nusselt number with the Reynolds and Prandtl values for both fluids (water and ammonia liquor). The comparison with other investigators shows correspondence with Thonon results. To the overall heat transfer coefficient values less than 2500 W/m 2 K, the outlet temperature of the ammonia liquor exceeds 40 O C so the maintenance of the installation is recommended in less than 27 days period. The behavior of pressure drop and power demand as a function of the Reynolds number was obtained. Values for cooling the liquor are diminished compared to the water, it is because more water is used.
The plate heat exchanger consists of a pack of corrugated metal plates with portholes for the passage of the two fluids between which heat transfer will take place. The plate pack is assembled between a fixed frame plate and a movable pressure plate and compressed by tightening bolts. The plates are fitted with a gasket which seals the inter plate channel and directs the fluids into alternate channels. The number of plates is determined by the flow rate, physical properties of the fluids, pressure drop and temperature program. The plate corrugations promote fluid turbulence and support the plates against differential pressure.
The plate heat exchangers are most efficient in comparison with the shell and tube exchangers. They achieve a high efficiency due to the great exchange surface that exists between the two fluids. The contact surface increase due to the circulate of the fluid for very narrow channels, but on the other hand they have an inlays problems and high loss of charge due to the use of ammonia liquor. The investigation was carried out in plate heat exchangers, with the objective of determining the transfer coefficients and the influence of the inlays in the efficiency loss of the installation.
Keywords: Overall heat transfer coefficients, Pressure drop, Plate heat exchanger
I. INTRODUCTION
The heat exchange processes between two fluids that are to different temperatures and separated by a solid wall take place in many applications in the nickel companies. The device that is used to carry out this process is denominated heat exchanger. The ammonia liquor cooling process takes place with the purpose to obtaining good ammonia and carbon dioxide absorption.
E. T. Tamayo is with, Cotopaxi Technical University, Latacunga City, Ecuador Republic (e-mail: firstname.lastname@example.org ).
M. P. Cedeño is with Equinoccial Technological University, Santo Domingo de los Tsáchilas City, Ecuador Republic (e-mail: email@example.com).
E. J. Díaz is with Equinoccial Technological University, Santo Domingo de los Tsáchilas City, Ecuador Republic (e-mail: firstname.lastname@example.org).
C. L. Vargas is with, Cotopaxi Technical University, Latacunga City, Ecuador Republic (e-mail: email@example.com).
M. A. Falconi is with Equinoccial Technological University, Santo Domingo de los Tsáchilas City, Ecuador Republic (e-mail: firstname.lastname@example.org)
S. G. Peralta is with Equinoccial Technological University, Santo Domingo de los Tsáchilas City, Ecuador Republic (e-mail: email@example.com)
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To obtain the heat transfer coefficients and thermal efficiency in the heat exchanger is necessary to take in consideration different concepts related to thermodynamic, fluids dynamic and experimental considerations. These coefficients are obtained between two fluids in terms of the total thermal resistance; it includes convection and conduction resistances for plane or cylindrical surfaces [1][4].
There have been many investigations regarding to evaluate the fouling influence on the heat exchanger efficiency. Suarez [9] established two three-dimensional numerical models, one single and another biphasic. He applied the models to the power plant condenser to assess the influence of the fouling accumulation on heat transfer surfaces. The behavior of the main parameters is analyzed and compared to traditional procedure.
The heat transfer coefficients obtained for different applications are exposed in the consulted literature [5]-[8]. The authors summarize the experimental techniques used to obtain the coefficients and their dependence on various dimensionless numbers: Nusselt, Reynolds and Prandtl. In all cases the results are applicable to the specific conditions, under which the experiments were conducted, so under different conditions are necessary experiments to determine the applicability of the results.
Evaluation of fouling in shell and tube heat exchangers without phase change used by Bonals [5] essentially comprises an algorithm or code based on the Bell-Delaware method. From process variables determine homogeneous fouling thicknesses of both currents corresponding to each
day of service. By adjusting the exponential asymptotic curve fouling of each stream is obtained. With this information is possible to estimate with greater precision the future behavior of changes in flow rates and temperatures.
Several research works developed in order to obtain mathematical models for the analysis of heat exchange processes [11]-[14]. They apply numerical methods for determining the basic parameters and make predictions of energy losses in the heat exchangers, and develop the finite difference method of irregular meshes with partial analytical solutions to predict the flow behavior using boundary conditions [15]-[18].
In plate heat exchangers is important the work done by Varona [10]. The author analyzes the incrustation influence caused by the deposition of calcium and magnesium salts in loss capacity of a cooler must exchanger. The author makes a comparative analysis of fouling resistance of the equipment before and after cleaning and its impact on the cost of beer production.
Pressure drop is defined as the difference in pressure between two points of a fluid carrying network. Pressure drop occurs when frictional forces, caused by the resistance to flow, act on a fluid as it flows through the tube. The main determinants of resistance to fluid flow are fluid velocity through the pipe and fluid viscosity. Pressure drop increases proportional to the frictional shear forces within the piping network. A piping network containing a high relative roughness rating as well as many pipe fittings and joints, tube convergence, divergence, turns, surface roughness and other physical properties will affect the pressure drop. High flow velocities and / or high fluid viscosities result in a larger pressure drop across a section of pipe or a valve or elbow. Low velocity will result in lower or no pressure drop. In this paper it is assumed that the pressure drop allowed is equal to the friction loss. Empirical correlations have been developed for the pressure drop factor as functions of the Reynolds number [19].
Works consulted agree on the need to predict the behavior of pressure drop, power demand and continuous evaluation of the heat exchangers by using measurements of the fundamental parameters involved in the process of heat exchange. The power demand increase with the Reynolds number in plate heat exchangers for the cooling water and ammonia liquor.
The analysis of previous work demonstrates the need for experimental results in estimating the overall heat transfer coefficients and pressure drop in heat exchangers, the mistakes made in the selection and evaluation are reduced and predict the dependence of the coefficients with dimensionless numbers: Nusselt, Reynolds and Prandtl.
The objective of the article is to determine the overall heat transfer coefficients, pressure drop and power demand in plate heat exchangers during the ammonia liquor cooling process.
II. METHOD DEVELOPMENT
Heat transfer coefficients
* Convection heat transfer Coefficient.
Determining the overall heat transfer coefficient in a heat exchange installation depends on several factors, the most significant are the following
* Conduction heat transfer coefficient
* Resistance inlay
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Main parameters and fluid properties (temperature, pressure, velocity, viscosity, density and Prandtl number)
By using the convection heat transfer coefficients for both fluids and knowledge of fouling resistance, the overall heat transfer coefficient is obtained by the following expression [8]:
The value of the global coefficient (U) depends on the convection heat transfer coefficients of hot and cold fluids (hl, ha) and is strongly influenced by the shape of the plates corrugations. Fouling resistances (Rl, Ra) are generated as a result of the fluid can carry contaminants, and over time these are deposited on the surfaces. Therefore a layer between the fluid and the surface grows thick and generates an additional thermal resistance with significant value for calculating the overall heat transfer coefficient.
Because the plates are constructed of stainless steel (AISI 316) whose thermal conductivity is 13.4 W / mK, for plate thickness of 0,4 mm, conduction resistance is [9]
The values of c and n are coefficients depending on the flow type and are obtained experimentally. The characteristic length of the channel, also called hydraulic diameter is calculated from the channel geometry
Because the distance between plates (b) is less than the plate width (W) the above equation can be expressed as follows
The Reynolds number relates the inertial forces and viscous forces, its expression is
The Prandtl number relates the viscose diffusivity and thermal diffusivity
The Nusselt number, whose physical meaning is the dimensionless temperature gradient on the surface, is determined by the following expression
When cleaning is performed in the heat exchanger fouling and conduction resistance are practically negligible compared with both fluids by convection resistance. Conduction resistance and fouling of the plates when cleaning of the heat exchanger is performed, are negligible compared to convection for both fluids. To calculate the convection coefficients is necessary to establish its relationship with dimensionless numbers such as Reynolds, Nusselt, Prantdl. Its general form can be expressed by the following equation [15]-[16].
experimental values of equation (6) versus time [16].
From equation (1) is obtained:
Efficiency in heat exchangers is typically defined a comparison between the real and ideal best performances.
Multiplying both sides of the equation by the term
Is obtained the following equation
To calculate the value of the coefficients , , l a a c c applied to a procedure from which the experimental results converge, there is provided the same dependence of the Nusselt number with Reynolds for both sides of heat exchanger because has the same geometry. However different coefficients to absorb the differential effect of fouling are taken. The coefficients Cl and Ca are obtained assuming an initial value of the exponent n because equation (10) has the form of straight line equation.
Using the logarithms properties the values convergence is obtained by a new equation, after some transformation to the expression (1) is obtained:
This new expression has the form of the line equation. The values obtained in the expression (4), are introduced into the equation (5) so that a new value of "n" is obtained. Using an iterative process may convergence calculation method.
Pressure drop and Power demand in the heat exchanger In the mechanical design of any plate heat exchanger, the pressure drop is critical because it determines the power and energy consumption in the pump motors that drive fluid and therefore influences the investment, operating cost and the maintenance of the pumping system.
The expression to calculate this component is
The friction factor can be calculated from tables or the Shah and Focke equation, having the form
The values of the coefficients C and m depend on the Reynolds number and is chosen from the literature (18). From the definition, ΔP and f increase when the characteristic length decrease. The pressure drop increase when the distance between the plates decrease.
Power demand needed for fluid movement through the plate heat exchanger is obtained from the pressure loss inside the heat exchangers.
Experimental technique
Table 1 Selected experimental design matrix
Experiments to determine the heat transfer coefficients were made by fixing three variables: The outlet temperature of the water, the water mass flow and the mass flow of liquor. The levels of each variable were obtained from the parameters of the ammonia liquor cooling process. The plate heat exchanger used in the experiment is installed in the productive process itself, it possible to ensure the geometric similarity. The heat exchange area is 589 m 2 and the plates used are of Chevron type.
Efficiency of the plate heat exchangers according to fouling The influence of deposits in the heat exchangers efficiency loss is determined by the overall heat transfer coefficient based on the input and output parameters [9, 16].
| Number of experiments | Water outlet temperature (oC) | Water mass flow (kg/s) | Liquor mass flow (kg/s) |
|---|---|---|---|
| 375 | 40 42 44 46 48 | 320 325 330 335 340 | 220 225 230 235 240 |
The fouling factor (Rd) is obtained by comparing the value of the global heat transfer coefficient obtained experimentally when the equipment is clean, with
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The number of experimental runs is obtained by a multifactorial design, according to levels of the variables has a number of 125; but in order to check the validity of the experiments and reduce errors of observation, at all levels 3 replicates are carried out, which concluded with a total of 375 experimental runs. In table 1 summarizes the experimental design is shown.
The influence of deposits in the loss of efficiency of plate heat exchangers for ammonia liquor cooling process was determined by five experimental runs a duration of 30 days each. Before each experiment are made the system cleanliness through disarmament and the use of appropriate chemicals products. The plates should be washed with soap and water and a brush.
The ammonia liquor is obtained from the absorption of NH3 and CO2 gases resulting from distillation and waste liquor. It is a colorless liquid; the average density is 1 g/cm 3 at a temperature of 35 0 C. The chemical composition shown in table 2.
In case of slight scaling these are removed by washing the surface with acetic acid. If the fouling is severe concentrated hydrochloric acid (37 %) is used. Finally the plates are rinsed with water, once dried are placed on the mounting stage. It circulates hot water all equipment to remove debris that are still in the pipeline. After all the cleaning process the team is prepared to carry out reliable testing. Measurements of the different parameters were performed by thermocouples and flow meters connected to the input and output devices, both the ammonia liquor and water.
Table 2 Chemical composition of the ammon ia liquor
| Ni | <0,005 % |
|---|---|
| NH3 | 14 % |
| CO2 | 7 % |
| H2O | 79 % |
| Suspended solids | 20 ppm |
III. RESULTS AND DISCUSSION
The values (equation 4 and 5) are determined by an iterative process using the professional software Mathcad 15. Obtaining coefficients starts by setting a value of "n" in equation (4) and through the "slope" function is obtained the line slope. With the "intercept" function is obtained the origin value. Once the results are known can be determined l a c y c . The above coefficients are introduced in the equation (5), the process is repeated until the value of "n" converges. The program ends when the error in estimating the value of "n" is less than 10 -6 . The values of the coefficients obtained are as follows: n=0,718; 0,2983 a c = ; 0,2817 l c = .
, , , n c c
Using equation (4) and the value of the coefficients is possible to determine the overall heat transfer coefficient when working by other fluids with similar characteristics in nickel companies. The correct estimation of the coefficient prevents errors in the design of heating systems and the capacity loss in the heat exchange process. Analysis of the overall coefficient and its dependence on the convection heat transfer coefficients to the water and ammonia liquor is expressed through the Nusselt number and the coefficients:
a l.
Result of the water Nusselt number
Result of the ammonia liquor Nusselt number
Figure (1) shows the behavior of the Nusselt number as a function of Reynolds for fluids involved in the heat
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exchange process (ammonia liquor and water). Increased Nusselt values with increasing Reynolds number is observed, it is associated with increased turbulence exchanger favoring heat transfer between two fluids. Nusselt values of water are higher than those obtained with ammonia liquor; this is due to the presence of gaseous components in the liquor (Table 2) to reduce the convection heat transfer coefficient.
In figure (2) the behavior of the Nusselt number as a function of Reynolds in plate heat exchangers exposed for several investigators and obtained in this paper indicated with the name "Torres" in graphics. The correlation of Thonon presents a similar behavior obtained in this research, but their values are lower. The results obtained by Buonopane and Maslow differ from the values obtained for the ammonia liquor cooling process.
Results of the efficiency loss in the installation The behavior of the fouling factor for each day of service is shown in Figure (3). The values increase achieving results that exceed 0,00025 m 2 K/W. The fouling factor increases after cleaning, it must be associated with the existence of embedded particles in the plates causing loss of capacity and efficiency of the ammonia liquor cooling process. The results obtained in this research recommend selecting high values of the factor (near 0,0002 m 2 K/W) to ensure the rational design of the installations.
The behavior of the overall heat transfer coefficient versus time (Figure 4) is obtained from the knowledge of the convection heat transfer coefficients and the fouling factor. The values show decreasing trend with increasing time to the fluids analyzed, results exceeding 6000 W/m 2 K when the heat exchanger is free of fouling. The coefficient is reduced when increases the time. To values less than 2500 W/m 2 K, the outlet temperature of the ammonia liquor exceeds 40 o C so the maintenance of the installation is recommended in less than 27 days period. The above analysis involves using overall heat transfer coefficients close to 4500 W/m 2 K which guarantee a safety factor in the design and operation of the equipment.
In figure (5) is shown the behavior of efficiency versus time. The exponential behavior is obtained from the process variables. With this information it is possible more accurate in efficiency estimating to changes in flow rates and temperatures.
The results show tendencies to reduction in efficiency with increasing time of installation work. Process requirements set maintain outlet temperature of the ammonia liquor below 30 o C, this is achieved when the thermal efficiency is over 70 %. The average time for the cleaning of the equipment is 27 days of continuous operation. The results obtained are applicable only for the investigated fluid (ammonia liquor). For other fluids it is necessary to develop experimental research.
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Results of the pressure loss and Power demand in the heat exchanger
* Pressure drop: 2300 Pa
Figure (6) shows the behavior of pressure drop and power demand as a function of the Reynolds number for the cooling water. Parameters increase with the Reynolds number, it is associated with increased the fluid velocity inside the channels between plates. The maximum values achieved are:
* Power demand: 450 W
In Figure (7) the behavior of pressure drop and power demand depending on the Reynolds number for the ammonia liquor is shown. Values are diminished compared to the water; it is because more water is used for cooling the liquor, the flow rate (water mass flow / liquor mass flow) is greater than 1.4. The maximum values achieved are:
* Power demand: 150 W
* Pressure drop: 2000 Pa
IV. CONCLUSION
The heat transfer coefficients values for fluids involved in the heat exchange process (ammonia liquor and water) are as follows: n=0,718; Ca=0,2983; Cl= 0,2817. They allow the calculation of the Nusselt number and the overall heat transfer coefficient for ammonia liquor cooling process.
To the overall heat transfer coefficients values less than 2500 W/m 2 K, the outlet temperature of the ammonia liquor exceeds 40 o C so the maintenance of the installation is recommended in less than 27 days period. The above analysis involves using overall heat transfer coefficients close to 4500 W/m 2 K which guarantee a safety factor in the design and operation of the equipment.
The performance of the Nusselt number as a function of Reynolds in plate heat exchangers found in this paper presents a similar behavior of Thonon correlation, but their values are lower. The results obtained by Buonopane and Maslow differ from the values found for the ammonia liquor cooling process.
The behavior of pressure loss and power demand as a function of the Reynolds number for the cooling water and ammonia liquor increase with the Reynolds number. Values for cooling the liquor are diminished compared to the water; it is because more water is used. The flow rate is greater than 1.4.
Nomenclature:
- overall heat transfer coefficient, W/m
2
A
U
K
- heat transfer area, m
2
, a l h h - convection heat transfer coefficient to water an liquor, W/m 2 K.
e–plates thickness, mm
, a l R R - fouling thermal resistance to water and liquor, m 2 K/W.
,,malkkk- plates thermal conductivity, water and liquor, W/m K
a,
l
Cp Cp
- heat capacity of water and liquor, J/kg K
Re ,Re
a l
Pr
- Reynolds number for water and liquor
y Pr
a
l
- Prandtl number for water and liquor
L- channel characteristics length, m
b
c
- plate width, m
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, ea sa T T - inlet and outlet water temperature, K , el sl T T - inlet and outlet liquor temperature, K , a l m m - mass flow of water and liquor, kg/s N - Power demand in the plate heat exchanger, W ΔP - pressure loss in the plate heat exchanger, Pa ρ - density of water and liquor, kg/m 3
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[14] Zivkovic, E.; S. Kabelac; S. Serbanovi. Local heat transfer coefficients during the evaporation of tetrafluoroethane (R-134a) in a plate heat exchanger. Journal of the Serbian Chemical Society. 2008, Vol.74, Nº.4, p. 427-440. ISSN 0191-1840.
[16] Kaduchová, K.; R. Lenhard; J. Janda. Optimization of heat exchanger for indirectly heated water heater. EPJ Web of Conferences, 2012.http://dx.doi.org/10.1051/epjconf/20122501036, p. 1-10.
[18] Izquierdo M. Intercambiadores de calor de placas. Departamento de Ingeniería Térmica y de Fluidos, Universidad de Carlos Tercero. Madrid, España. 2002. P. 1 – 23. ISBN 3-540-21423-2.
[17] Pinto, J. M.; J. Gut. A screening method for the optimal selection of plate heat exchanger configurations. Brazilian, Journal of Chemical Engineering, 2002, Vol. 19, Nº. 4, p. 433 - 439. ISSN 0104-6632.
[19] Jang W. S. Heat Transfer and Pressure Drop Characteristics in Straight Microchannel of Printed Circuit Heat Exchangers. Journal of Entropy. 2015 ISSN: 1099-4300.
Enrique Torres Tamayo (M'2015). He was born in Cuba, Year 1966, graduate of Mechanical Engineer (1993) and Electromechanical Master (1999) in the Metallurgical Mining Higher Institute of Cuba, Doctor in Technical Sciences (PhD) in the Cuban Sciences Academy (2003). He worked in Mechanical Engineering Department at Metallurgical Mining Higher Institute of Cuba from 1993 to 2014, currently working in the Electromechanical Engineering Department, Cotopaxi Technical University, Latacunga City, Ecuador. He is expert in termal –fluids, having developed investigations related with heat transfer in industrial processes, transport of two-phase and single-phase fluids; modelling and simulation of thermal processes and transportation of fluids with the employment of finite elements method.
ISSN: 1998-4448
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part iv
ANIMAL MINDS AND THEIR MORAL SIGNIFICANCE
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chapter 13
ANIMAL MENTALITY: ITS CHARACTER, EXTENT, AND MORAL SIGNIFICANCE
p eter c arruthers
Do animals possess moral standing ? That is to say, are they deserving of our sympathy and concern, and do they possess moral rights, in their own right? This chapter will claim that such questions should receive negative answers. The fi rst four sections will argue that the pains and sufferings of almost all animals (including many insects and crustaceans) are of the right sort to make them possible objects of sympathy, fi guring within a mind whose basic structure is similar to our own. In this case, utilitarian ethical theories will have a hard time denying that all such creatures have standing, thereby adding to the problems that such theories face. The remaining fi ve sections will argue from a contractualist perspective that all humans, but probably no animals, possess moral standing. This conclusion, too, is admittedly counterintuitive, but some of the sting will be drawn from it by acknowledging that we can nevertheless have indirect duties toward animals.
Although humans are, of course, a kind of animal, when I speak of animals in this chapter, I should be understood as referring to nonhuman animals only. This is merely for ease of expression, and should not be taken as a commitment to any sort of "Cartesian divide" between ourselves and members of other species. On the contrary, I believe fi rmly in the evolutionary and cognitive continuities between humans and other animals.
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1. Do Animals Have Conscious Experiences?
There are a variety of different uses of the term "conscious," many of which are surely applicable to at least some animals. All animals spend time awake, for example, and are therefore conscious as opposed to unconscious during these periods. However, one usage has seemed especially pertinent to the question of the moral standing of animals. This is so-called phenomenal consciousness, which is the property that perceptions and bodily sensations possess when there is something that it is like for a creature to undergo those events, or when the events in question possess a subjective feel . For on the one hand, it can seem very plausible that only creatures whose pains are phenomenally conscious—and which thereby feel like something—truly suffer, and are worthy of sympathy and moral concern. But on the other hand, there are theories of phenomenal consciousness that probably imply that few if any animals besides humans are phenomenally conscious. 1 I shall discuss the latter fi rst, before turning in section 2 to consider the implications of such theories for the moral standing of animals.
Most philosophical theories of phenomenal consciousness belong to one of two broad classes, either fi rst-order 2 or higher-order. 3 First-order theories maintain that phenomenally conscious states possess a distinctive kind of representational content (analog, perhaps, or nonconceptual) as well as occupying a distinctive sort of functional role (such as being poised to have an impact on the belief-forming and decision-making processes of the creature in question). They are described as "fi rstorder" because all of the mental states appealed to in the account (perceptions, beliefs, and so forth) are representations of properties of the world or body. Such theories probably entail that phenomenal consciousness is widespread in the animal kingdom. For as we will see in section 3 , the evidence suggests that even navigating insects like bees and wasps have perceptual states located within the right sort of fi rst-order cognitive architecture. Higher-order theories likewise agree that phenomenally conscious states possess a distinctive sort of content, but they claim that these states must be ones of which the subject is aware . It is by being aware of our perceptual states that they acquire their subjective dimension or "feel," on this sort of account. Higher-order theories are so called because they crucially appeal to representations of other mental states (namely the mental states that are thereby rendered phenomenally conscious).
What higher-order theories, as such, should claim about the distribution of phenomenal consciousness in the animal kingdom isn't entirely straightforward, since they come in signifi cantly different varieties. Some say that the higher-order states in question are themselves nonconceptual in character, resulting from perception-like monitoring of our own mental states. 4 Others claim that they are fully conceptual thoughts about our current perceptual states. 5 One might naturally think that higher-order perceptions could be found in creatures that are as yet incapable of higher-order thought , in which case the largely negative evidence of any
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capacity for the latter in most other animal species might grossly underestimate the extent of higher-order representations in the animal kingdom. However, I have argued elsewhere that this natural thought is likely false, because there would be no need for a creature to evolve a capacity to monitor its own mental states unless it were also capable of entertaining thoughts about those states. 6
If we suppose that this latter claim is correct, then the prospect of widespread phenomenal consciousness among animals appears quite bleak, from a higher-order perspective. Admittedly, the evidence suggests that humans are by no means unique in possessing some mental state concepts and higher-order thoughts. For monkeys and apes appear to possess simple forms of mindreading ability, and can ascribe perceptual and knowledge states (but not beliefs and appearances) to other agents. 7 But there is no convincing evidence that these animals are capable of applying mental-state concepts to themselves in the sort of way that would be required for phenomenal consciousness, according to higher-order theories of the latter. While some comparative psychologists have claimed to fi nd evidence of capacities for self-directed higher-order thoughts in monkeys and chimpanzees, 8 my own view is that the data admit of simpler explanations. 9 And although it is easy to be tempted by the Cartesian idea that introspective (higher-order) access to our own mental states is a necessary precursor for attributing such states to others, 10 such a view is by no means mandatory and faces signifi cant diffi culties. 11 Indeed, from an evolutionary perspective the main pressure toward developing a capacity for higher-order thought is likely to derive from the third-person uses of such thoughts in forms of social competition and cooperation. 12
Although these issues are still highly controversial, it is worth exploring the implications for ethics if it should turn out that phenomenally conscious states are restricted to human beings (and perhaps also to members of some closely related species). Would it follow that sympathy for the pains and apparent sufferings of other creatures is inappropriate? It is natural to think so, because if animals aren't phenomenally conscious, then their mental lives are all "dark on the inside." If their perceptual states (including their pains) lack phenomenal properties, then their pains won't be like anything for them to undergo and will lack any subjective "feel." Indeed, their pains would have the same sort of status as the perceptual states of so-called "blindsight" patients. 13 In that case, it would seem that animals would be beyond the pale of possible sympathy (or so I once claimed). 14 Section 2 will argue that these temptations should be resisted, however.
2. Does Consciousness Matter?
I shall argue that the question whether or not a creature's pain is phenomenally conscious should be irrelevant to the question whether that pain is a possible—or appropriate —object of sympathy and concern. 15 Whether we are required to be
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concerned about animal pain is another matter, and is a topic for ethical theory to pronounce on. (See the discussion that follows in later sections of this chapter.)
To fi x ideas, let us suppose that some version of higher-order monitoring account of phenomenal consciousness is correct. (Nothing substantive turns on this assumption. Similar points can be made with respect to other higher-order approaches.) If this is so, then phenomenally conscious experiences of pain will have a dual aspect. One is objective, or body-representing, while the other gives the experience its subjective feel. On the one hand, there will be a fi rst-order representation of a state of the body (normally involving cellular damage of some sort). This can be thought of as a perceptual representation of a secondary quality of the body, much as fi rst-order visual perceptions represent secondary qualities of external objects such as colors. However, in addition, this representation will be monitored to produce a higher-order awareness that one is experiencing pain. It is this that is responsible for the subjective, feely , qualities of the state, according to the higher-order theorist.
We can now ask which of these two aspects of our pain experiences makes those pains awful (in the sense of being bad or unwelcome from the perspective of the subject). The answer is that it is the fi rst-order representation of a state of the body rather than our higher-order awareness of the representing event. Imagine a case where you have just been stung between the toes by a bee while walking barefoot through the grass, and you are experiencing intense pain. The focus of your concern—and what it is that you want to cease—is surely the event that is represented as occurring in your foot. A naïve subject, such as a child, might gesture toward his foot saying, "Mommy, make that go away" (meaning the pain represented). What the child wants to stop is the pain , not his experience of the pain. The content of his desire is fi rst-order, not higher-order. It is only when one knows about analgesics and their effects that one comes to care about the experience of pain. For now one might say, "I don't care whether you get rid of that [meaning the pain represented], I want you to give me something to stop my experience of the pain."
Many animals experience pain, of course, including invertebrates such as hermit-crabs. 16 They are also strongly motivated to avoid the relevant represented properties of their bodies, or to make those properties stop. (However, if a higher-order theory is correct then they aren't aware that they are experiencing pain, and their pains aren't phenomenally conscious.) Therefore, they have what we have when we fi nd our own pains to be awful. In each case, it is the same represented fi rst-order property of the body that is the object of the motivation of avoidance. So if sympathy is appropriate in the one case, it is also at least possible in the other.
Admittedly, we don't know how to imagine a pain that isn't phenomenally conscious. This is because any pain that we imagine will carry with it a higher-order awareness that a representing of pain is occurring, and the imagining will therefore be a phenomenally conscious one. However, this shouldn't obscure the theoretical
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point, which is that the animal has the same sort of property occurring as we do when we fi nd our own pains to be awful. If the position sketched above is sound, then it won't actually be misleading to imagine the animal's pain as conscious. Although strictly false, if the subjective, phenomenally conscious aspect isn't what makes pain bad in our own case, then the introduction of such an aspect into our imagining of the experience of the animal shouldn't be leading us astray.
Suppose, however, that someone is unconvinced and thinks that the phenomenally conscious properties of one's pain are intrinsic to what one fi nds awful, in such a way that the pain would not be awful (to us) without them. Still, there remains another argument that phenomenal consciousness is irrelevant to the possibility of sympathy. For what really makes pain bad, in any case, isn't its phenomenal properties as such, but rather the fact that the state of being in pain is unwanted . I shall argue that even if the phenomenal properties of pain are generally intrinsic to what one fi nds awful and wishes to see cease, this isn't always the case. Indeed, I will suggest that it is goal frustration that is the proper object of sympathy, not pain sensations as such.
Pain perception in mammals (at least) is underlain by two distinct nervous pathways. The so-called "new path" is fast, projects to a number of different sites in the cortex, and is responsible for pain discrimination, location, and feel. It is this pathway that gives rise (in humans) to the felt qualities of pain. The "old path," in contrast, is comparatively slow, projects to more ancient subcortical structures in the limbic system of the brain, and is responsible for pain motivation. It is this that makes one want the pain to stop. Some analgesics like morphine suppress the old path while leaving the new path fully functional. Subjects will say that their pain feels just the same to them, but that they no longer care. What they are aware of is now just a sensation. It is no longer an awful sensation. Such people are no longer appropriate objects of sympathy, surely. Of course one might be sympathetic for any physical damage that has occurred, because of its likely future effects on the life of the agent; but that is another matter. Not only is there no obligation on us to try to make the remaining pain sensation stop, but it seems that doing so would be morally completely neutral. Making the pain sensation stop wouldn't be doing the subject any sort of favor.
What makes pain (or anything else) awful, then, is that it is the object of a negative desire. Phenomenal consciousness is irrelevant to its status. (Note that these points would motivate some kind of preference utilitarianism over any form of hedonistic utilitarianism in moral theory.) It would be absurd to insist that the person in our example above is undergoing something bad (at least assuming that there is no physical damage in addition to the pain sensation), despite the fact that he doesn't care. And the claim made here probably generalizes. For there are powerful arguments for thinking that what things and events count as valuable depend ultimately on our desires, values, and preferences. 17 The question that we need to ask, therefore, isn't whether animals are capable of phenomenally conscious experience, but whether they are subjects of propositional attitudes, especially desires and goals. 18
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3. How Many Animals Have Attitudes?
What does it take for a creature to be capable of attitude states? Some philosophers have placed conditions on genuine attitude possession that are extremely demanding, such as a capacity for consciousness, 19 rationality, 20 and/or spoken language. 21 Such demands seem to me quite excessive. Section 2 has already shown that the consciousness condition is irrelevant to the question whether or not sympathy for animals is appropriate. The rationality condition probably doesn't even apply to human beings, much of the time. 22 Moreover, the argument for claiming that language is necessary for attitude possession confl ates an epistemic condition with a metaphysical one. It runs together the question of how one might know of the existence of a fi ne-grained attitude in the absence of language (such as the difference between believing that the cat is up this tree and believing that the furry animal is up the biggest tree in the yard) with the question of what it takes to possess such an attitude. In addition, three decades of careful work by comparative psychologists has shown us how we can make signifi cant progress even on the epistemic question.
Other philosophers, in contrast, have placed extremely weak conditions on attitude possession. They have claimed, for example, that is it enough that a creature's behavior should allow it to be interpreted as possessing beliefs and desires. 23 I shall assume that such weak claims are likewise incorrect, for two reasons. The fi rst is that people are intuitive realists about mental states. We are therefore open to the possibility of being mistaken in our interpretations, even under ideal conditions. 24 The second is that our concern should be with the real mental properties that animals possess (in the sense that those properties are acceptable to science), not whether it is pragmatically useful to think of them in such terms. We therefore need to know whether there is a real, scientifi cally valid, distinction between the belief states and the desire states of animals (and between these and their perceptual states). We also need to be assured that these states are compositionally structured out of concepts or concept-like elements, interacting with one another in inference-like processes in virtue of their compositional structures. These are demanding conditions. Nonetheless, I shall argue that even insects can meet them. 25
The dominant position in both philosophy and psychology throughout much of the twentieth century was that animals aren't capable of genuine thought (although they can be interpreted as such, anthropomorphically). Animal behavior was believed to be the product of conditioning, resulting from learned associations among stimuli, and between stimuli and behavioral responses. Anyone espousing such a view has a ready-made reason for denying moral standing to animals, if attitude-possession is a necessary condition for such standing. But the adequacy of the account has been crumbling rapidly since at least the 1980s. Animals engage in many forms of learning that cannot be accounted for in associationist terms, and even conditioning itself is better explained by the operations of a computational rateestimation system, as I shall now briefl y explain.
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Gallistel and colleagues have shown that animals in conditioning experiments who are required to respond to randomly changing rates of reward are able to track changes in the rate of reward about as closely as it is theoretically possible to do. 26 Thus, both pigeons and rats on a variable reward schedule from two different alcoves will match their behavior to the changing rates of reward. There is a lever in each alcove, each set on a random reward schedule of a given probability. However, these probabilities themselves change at random intervals. It turns out that the animals respond to these changes very rapidly, closely tracking the random variations in the immediately preceding rates. They aren't averaging over previous reinforcements, as associationist models would predict. On the contrary, the animals' performance comes very close to that of an ideal Bayesian reasoner, and the only model that can predict the animals' behavior is one that assumes that they are capable of calculating the ratio of the two most recent intervals between rewards from the two alcoves. It is therefore hard to resist the conclusion that the animals are genuinely reasoning, rather than learning by association.
Another dramatic example of nonassociationist learning has been provided by Balci and colleagues. 27 They tested swift and intuitive assessments of risk, using similar experiments in both humans and mice with very similar results. All subjects were set the task of capturing an object in one of two positions for a reward. (For the humans, this occurred on a computer screen. The mice had to press a bar to obtain a reward in one of two alcoves.) There were two types of trial, short latency and long latency, whose probability of occurring varied from one series of trials to the next. If the trial was a short one, the target could be captured in the left-hand position within two seconds of the stimulus onset. If the trial was a long one, the target could be captured in the right-hand position during the third second. Subjects were therefore required to estimate the optimum time to switch from the shortlatency strategy to the long-latency strategy, an estimate that depends on two factors. The fi rst is the objective chance (set by the experimenters in each series of trials) that the interval would be either short or long. The second is the accuracy of each subject's estimate of elapsed time (which varies from individual to individual, but is normally in the region of ±15%). Balci and colleagues were able to compute the optimum switch time for each subject, combining both sets of probabilities. This was then compared with actual performance. Human subjects came within 98% of optimum performance, whereas the mice were at 99%. Moreover, very little learning was involved. In most series of trials, subjects were just as successful during the fi rst tenth or the fi rst quarter of the series as they were during the fi nal tenth or the fi nal quarter.
In addition, Gallistel has demonstrated that conditioning behavior itself is best explained in rule-governed computational terms, rather than in terms of associative strengths. 28 He points out that there are many well-known conditioning phenomena that are extremely puzzling from an associationist perspective, but that fall out quite naturally from a computational account. To give just a single example: the number of reinforcements that are necessary for an animal to acquire an intended behavior is unaffected by mixing un reinforced trials into the learning process. One set of
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animals might be trained on a 1:1 schedule: these animals receive a reward every time that they respond when the stimulus is present. But another set of animals might be trained on a 10:1 schedule: here the animals only receive a reward once in every ten trials in which they respond when the stimulus is present. It still will, on average, take both sets of animals the same number of rewarded trials to acquire the behavior. It will take the second set of animals longer to acquire the behavior, of course. If it takes both sets of animals forty rewarded trials to acquire the behavior, then the fi rst set might learn it in eighty trials, whereas the second set will take eight hundred. However, the number of reinforcements to acquisition is the same. This is extremely puzzling from the standpoint of an associationist. One would expect that all those times when the stimulus isn't paired with a reward ought to weaken the association between stimulus and reward, and hence make learning the intended behavior harder. However, it doesn't, just as Gallistel's computational model predicts.
Moreover, many forms of animal learning give rise to stored informational states that can interact with a variety of different goals to guide the animal's behavior, just as can our own beliefs. To offer a single illustrative example: chimpanzees can acquire detailed information about the spatial (and other) properties of their forest environment. They use this information in the service of a variety of foraging goals (such as seeking out one sort of fruit that they can predict to be ripening rather than another), but also when patrolling their territory or launching an attack on a neighborhood troupe. Depending on their goals, they travel in a straight line to their desired location, which they can approach in this way from many different directions. 29 The animals are therefore engaging in a form of practical reasoning, accessing their beliefs to achieve the satisfaction of a current goal.
Generalizing from data of the sort considered above, together with a range of other forms of evidence, we are warranted in concluding that mammals and birds, at least, share a perception/belief/desire cognitive architecture much like our own. Moreover, it should be stressed that to attribute beliefs and goals to animals is not just to give a redescription of their behavior. On the contrary, it is to ascribe real underlying states to them as the causes of their behavior, doing so on the basis of an inference to the best explanation. The question remains, however, how widespread minds of this sort are within the animal kingdom. I shall now briefl y argue that navigating invertebrates like bees, wasps, and spiders share a similar sort of mental architecture, and are likewise capable of propositional attitudes. 30
For brevity, I shall focus on honeybees. Like many other insects, bees use a variety of navigation systems. One is dead reckoning, which involves integrating a sequence of directions of motion with the distance traveled in each direction, to produce a representation of one's current location in relation to the point of origin. 31 This requires that bees can learn the expected position of the sun in the sky at any given time of day, as measured by an internal clock of some sort. Another mechanism permits bees to recognize and navigate from landmarks, either distant or local. 32 Moreover, some researchers have shown that bees will also construct crude mental maps of their environment from which they can navigate. 33 (The maps have to be crude because of the poor resolution of bee eyesight. But they can still contain
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the relative locations of salient landmarks, such as a large freestanding tree, a forest edge, or a lake shore.) Furthermore, in addition to learning from their own exploratory behavior, bees famously also acquire information from the dances of other bees about the spatial relationships between the hive and various desired substances and objects (including nectar, pollen, water, and potential new nest sites).
Although basic bee motivations are, no doubt, innately fi xed, the goals that are activated on particular occasions (such as whether or not to move from one foraging patch to another, whether to fi nish foraging and return to the hive, and whether or not to dance on reaching it) would appear to be infl uenced by a number of factors. 34 (Note that similar claims can be made about humans.) Bees are less likely to dance for dilute sources of food and they are less likely to dance for the more distant of two sites of fi xed value. They are less likely to dance in the evening or when there is an approaching storm, when there is a signifi cant chance that other bees might not be capable of completing a return trip. Moreover, careful experimentation has shown that bees scouting for a new nest site will weigh up a number of factors, including cavity volume, shape, size and direction of entrance, height above ground, dampness, draftiness, and distance away from the existing nest. 35
Most important for our purposes, bees' goal states and information states interact with one another in fl exible ways, and in a manner strongly suggestive of an underlying constituent structure. Thus, the very same information about the direction and distance between the hive and a newly discovered source of nectar can be used to guide a direct fl ight to the hive when the bee's goal is to return there (often fl ying a route that has never previously been traversed by that individual); or it can be used to guide the orientation and number of waggles in the bee's dance to inform others of the location; or it can be used to guide a straight fl ight back to the nectar from the hive once the bee has been unloaded. Moreover, the fl exibility of bee learning and navigation suggests that their informational states are compositionally structured, with some having the following form: "[object or substance] is [measure of distance] in [solar direction] from [object or substance]." The distance and direction information will be utilized differently depending on whether the bee's goal is represented in the fi rst position or the last one (or on whether the goal is to dance). Moreover, we also know that bees are capable of computing a novel bearing (from a known landmark to a feeder, for example) from two others (from the landmark to the hive and from the feeder to the hive). 36
From this and much other data, we can conclude that not only do bees have distinct information states and goal states, but that such states interact with one another in the determination of behavior in ways that are sensitive to their contents and compositional structures. In this case bees really do exemplify a perception/belief/desire cognitive architecture, construed realistically. There are also many things that bees can't do, of course, and there are many respects in which their behavior is infl exible. However, this infl exibility doesn't extend to their navigation and navigation-related behavior. On the contrary, the latter displays just the right kind of integration of goals with acquired information to constitute a simple form of practical reasoning. Similar points can be made with respect to other species of navigating invertebrates.
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None of this is to deny that there are signifi cant differences between the minds of humans and other animals, of course. Indeed, many psychologists have converged on the idea that humans employ two distinct types of system for reasoning and decision making. 37 The fi rst consists of a set of quick and intuitive systems that are largely shared with other animals. The second is a more refl ective system that is thought to be unique to humans, and which employs a stream of inner speech and visual imagery to direct and control our mental lives and (indirectly) our behavior. It should be stressed, however, that on what I take to be the best account of the operations of the refl ective system, the latter is realized in the workings of the intuitive systems (hence being parasitic upon them). 38 They are also dependent upon motivations provided by the latter to achieve their effects. Moreover, it is very doubtful whether the refl ective system really contains, itself, any propositional attitude states. 39 Furthermore, the case of pain, discussed in section 2 , suggests that it isn't the presence of some sort of refl ective mind that determines the appropriateness of sympathy. For it isn't by conscious refl ection that we determine that our pains are awful, of course. Rather, a powerful desire to get rid of them is generally forced on us as part of the painful episode itself.
4. The Extent of Warranted Sympathy for Animals
Our conclusion in section 2 was that the frustration of an agent's goals constitutes the most basic object of sympathy, irrespective of anything phenomenological. However, our conclusion in section 3 was that navigating invertebrates (including bees and wasps, together with many kinds of ants and spiders) are genuinely agents with a perception/belief/desire psychology and with goals that can be frustrated. Putting these two conclusions together, it follows that many invertebrates are at least possible objects of sympathy and altruistic concern.
There is a famous story about the medieval Scottish rebel leader, Robert the Bruce. Hiding in a cave while on the run from the English following a defeat in battle, he is said to have watched a spider repeatedly try to spin its web across a section of the cave, eventually succeeding after many failed attempts. Robert the Bruce is said to have been inspired by the spider's persistence to resume his war against the English. It is not reported whether or not he felt sympathy for the spider, but had he done so, it now appears that he would not have been making any sort of metaphysical mistake. For it is quite likely that the spider was genuinely an agent with its own beliefs and goals, making the frustration of one of its goals an appropriate target of sympathy.
However, it is one thing to say that sympathy for the frustrated goals of an animal is possible or appropriate, and another thing to say that it is required, or that the animal's situation makes any sort of moral claim on us. (These correspond to two different senses in which sympathy for an agent can be warranted .) Compare
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the following. Most people feel disgust at the thought of incest between siblings, even when consensual and guaranteed to be reproductively barren. 40 This is probably a tendency that is innate to human psychology. 41 Moreover, this sort of incest has many properties in common with cases where we almost certainly should feel disgust, such as incest between a father and his 16-year-old daughter. Nevertheless, many of us have come to believe that sibling incest doesn't in itself deserve our moral disapproval. Similarly, then: although sympathy for the frustrations of any creature correctly categorized as an agent can occur, and may also result from an innate psychological tendency, 42 it is another matter to claim that such sympathy should be felt, or that it gives rise to any kind of moral obligation when it is. This can only be resolved by considerations of moral theory.
Bentham is famous for having claimed that the only factor relevant to determining whether we have moral obligations toward a creature is whether it can suffer and feel pain. 43 Updated in light of our discussion in section 2 , the claim should now be that the only relevant factor is a capacity for goal frustration. If this is what utilitarianism requires, then it appears that we owe equal moral consideration to the goals of many invertebrates. No doubt some will rush to embrace such a conclusion. Many, however, will not. Most of us don't feel that we do anything wrong when we kill the ants that enter our kitchens, although the costs of not doing so may be quite minimal. Still less do we feel that we would be wrong to prevent them from entering in the fi rst place. Furthermore, I think most people would feel that it would be a serious moral error to allow the goals of even millions of ants or bees to outweigh the goals of a single human child, or even to be put into the same equation with the latter. (I should stress that I am referring to individuals here, not entire species. For of course there are powerful reasons for maintaining biodiversity and preserving endangered species, having to do with the long-term interests of humans themselves.) Admittedly, this might be because people don't really consider bees to be genuine agents with desires of their own. It may be that anyone convinced by the arguments sketched in section 3 would immediately regard the animals in question as possessing moral standing, although I doubt it. The real question before us is what the best moral theory would support.
In what follows, I will focus on forms of utilitarian and contractualist moral theory, discussing the former briefl y here before exploring the implications of the latter throughout the remainder of the chapter. (Forms of virtue theory are best pursued and accounted for within the framework of one or the other of these two approaches, in my view. See section 8 for a sketch of a contractualist treatment.) There are many different varieties of utilitarianism, of course, which have been defended in a number of different ways. So it is hard to know what utilitarianism as such entails on any particular issue such as the moral standing of animals, or to fi nd ways of evaluating all forms of utilitarianism at once. One of the most acceptable utilitarian theories has been provided by Singer. 44 This is distinctive in providing a highly plausible—and naturalistically acceptable—account of the origins of morals and moral motivation. In Singer's telling, morality takes its start from natural (innate) human sympathy. Initially this is focused on family and tribe members, all of whom will be individually
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known to the agent. However, the impact of rational considerations thereafter forces the moral circle to be gradually widened to include members of other tribes and nations. For people can be brought to see that there is no rational difference between the sufferings and frustrations of someone whom they know and can see, and the similar suffering of someone who is a member of another group living elsewhere in the world. This issues in a principle of equal consideration of interests that is applicable to all people and that should, on similar grounds, be extended to include members of some other species of animals, Singer believes.
It is diffi cult to see how any such sympathy-based ethical theory can have the resources to deny moral standing to insects. For it seems that bees and humans are relevantly alike in the one respect that matters: both are agents with goals that can be frustrated; and as we saw in section 2 , the most fundamental target of sympathy is goal frustration. This isn't to say that utilitarians of this sort can't fi nd any relevant differences between humans and other animals, of course. For they can allow numbers of desires to count (humans will generally have many more of them), as well as normal life expectancy, in addition to indirect effects on humans who are friends or relatives of the person in question, and so on. However, just as Singer has claimed that there can be no defensible grounds for according standing to all humans while denying it to animals, so it seems he can't grant the standing of some animals without also granting it to almost all (including individual members of many species of insect).
Other forms of utilitarianism may be able to avoid this consequence. For example, one might make a commitment to the intrinsic value of endorsed desires (of the sort that a human might have) in contrast with the mere desires of animals. Such an account would face problems of its own, requiring us to give up on naturalism and accept the mind-independence of value. 45 In what follows, however, I propose to set utilitarian moral theories to one side. They confront two pervasive sets of problems. These are suffi ciently deep to render utilitarian theories unacceptable, in my view, provided that there are alternatives that are both viable and suffi ciently plausible.
The fi rst of these problems is to provide adequate protection for individuals against the tyranny of the utility of the majority. Differently put, utilitarian theories face notorious diffi culties in accounting adequately for principles of justice . The second problem is more theoretical: it is to provide a non-moral space, a domain of action in which individuals can be free to do what they wish. For common sense divides actions into three basic kinds: those that are duties (and are required), those that are against duty (and are forbidden), and those that are neither (which are discretionary). The third category then further subdivides into those that are morally admirable (but supererogatory) and those that are morally indifferent (where agents can please themselves). Utilitarianism, in contrast, is apt to consider pleasing oneself to be either a duty (in the right sorts of utility-increasing circumstances) or against duty.
I do not pretend to have refuted utilitarian moral theories in these few comments, of course. That has not been my goal. Taken together with the brief discussion of contractualist moral theories that follows in section 5 , my aim is simply to explain why the remainder of the chapter will approach the question of the moral standing of animals from the perspective of contractualism.
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5. Contractualist Moral Theory
In the discussion that follows, I shall assume that some or other version of contractualist moral theory is correct. All contractualists of the sort that I am concerned with agree that moral truths are, in a certain sense, human constructions, emerging out of some or other variety of hypothetical rational agreement concerning the basic rules to govern our behavior.
In Rawls's version of contractualism, moral rules are those that would be agreed upon by rational agents choosing, on broadly self-interested grounds, from behind a "veil of ignorance." 46 (For these purposes, rational agents are agents who have the necessary mental capacities to consider, reason about, and implement systems of universal rules.) On this account, we are to picture rational agents as attempting to agree on a set of rules to govern their conduct for mutual benefi t in full knowledge of all facts of human psychology, sociology, economics, and so forth, but in ignorance of any particulars about themselves, such as their own strengths, weaknesses, tastes, life plans, or position in society. All they are allowed to assume as goals when making their choice are the things that they will want whatever particular desires and plans they happen to have—namely, wealth, happiness, power, and self-respect. Moral rules are then the rules that would be agreed upon in this situation, provided that the agreement is made on rational grounds. The governing intuition behind this approach is that justice is fairness: since the situation behind the veil of ignorance is fair (all rational agents are equivalently placed), the resulting agreement must also be fair.
In Scanlon's version of contractualism, in contrast, moral rules are those that no rational agent could reasonably reject who shared (as his or her highest priority) the aim of reaching free and unforced general agreement on the rules that are to govern behavior. 47 On this account, we start from agents who are allowed full knowledge of their particular qualities and circumstances (as well as of general truths of psychology and so forth). However, we imagine that they are guided, above all, by the goal of reaching free and unforced agreement on the set of rules that are to govern everyone's behavior. Here each individual agent can be thought of as having a veto over the proposed rules, but it is a veto that they will only exercise if it doesn't derail the agreement process, making it impossible to fi nd any set of rules that no one can reasonably reject.
In what follows, I shall often consider arguments from the perspective of both of these forms of contractualism. In this way, we can increase our confi dence that the conclusions are entailed by more than just the specifi cs of a particular account. In addition, it should be stressed that for contractualists of these sorts, rational agents aren't allowed to appeal to any moral beliefs as part of the idealized contract process. This is because moral truths are to be the output of the contract process, and hence cannot be appealed to at the start. In other words, since morality is to be constructed through the agreement of rational agents, it cannot be supposed to exist in advance of that agreement. It should be acknowledged, however, that not all varieties of
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contractualism satisfy this constraint. For some allow the contracting agents to appeal to antecedent moral values , and in such cases the implications for the question of the moral standing of animals are much more diffi cult to discern. 48 Nonetheless, the constraint is justifi ed, in my view, by the goal of providing a comprehensive moral theory that would be naturalistically acceptable, requiring us to postulate no properties and processes that would be unacceptable to science. In consequence, in the discussion that follows I shall, for simplicity, restrict my use of the term "contractualism" to only the two kinds described at the outset of this section.
The two main theoretical advantages of contractualism are the converse of the two major diffi culties for utilitarianism. For one of the main goals of the contracting agents is to agree on a set of principles of justice, and individuals will veto any proposed rules that allow the vital interests of one to be compromised for the benefi t of others (without adequate compensation). Individuals should therefore receive adequate protection. Moreover, contracting self-interested agents will be concerned to preserve as much freedom for themselves to pursue their own projects and goals as possible under the contract. Hence a signifi cant space for non-moral action is nearly guaranteed.
It should be noted, however, that according to each of the forms of contractualist account that we will be considering, some moral rules will be mere local conventions (whereas others will be universally valid). This will happen whenever the contract process entails that there should be some moral rule governing a behavior or set of circumstances, but where there are no compelling grounds for selecting one candidate rule over the others. (By way of analogy, the rule requiring people in the United States to drive on the right suggests that there should be a rule requiring people to drive on one side of the road or the other, or chaos will ensue. But it doesn't much matter which side is chosen, and in the United Kingdom, in contrast, one should drive on the left.) It may be that rules governing the treatment of animals are of this general sort, as we shall see later.
One important theoretical challenge remains to be addressed before we can turn to the question of the implications of contractualism for the moral standing of animals. This is the question of the sources of moral motivation. Why should anyone care what rational agents would agree to? Why should agents take the results of any sort of hypothetical agreement to be binding on their actual behavior? In contrast with the diffi culties that contractualism apparently faces on this question, some utilitarian approaches to moral theory have a plausible story to tell in this regard, for they can postulate an innate tendency to sympathize with the sufferings and struggles of other agents, as we have seen. Such a claim is actually very plausible, 49 and it is therefore quite easy to see why people should care about increasing utility, for this connects directly with one of their basic motivations.
In reply, contractualists should postulate an innate desire to be able to justify oneself to others in terms that the latter can freely accept. Given that no one will freely accept justifi cations that require them to believe falsehoods or to reason irrationally (by their own lights), this will amount to a desire to be able to justify one's conduct to other agents in terms that they can freely and rationally accept. It then
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seems very plausible that any set of rules that would enable one to satisfy this desire would be one that no one could reasonably reject who shared the aim of reaching free agreement. 50
How plausible is it that humans have an innate desire of this sort? It makes a good deal of sense that the desire to justify oneself to others should be quite basic. Even hardened criminals will characteristically offer attempted justifi cations of their conduct. Moreover, we know that young children will begin making complaints and offering justifi cations to one another at quite an early age, without any training or encouragement from adults. 51 In addition, the existence of such a desire is just what one would predict evolution should have produced, given that punishment for unjustifi ed breaches of societal norms (often resulting in death or exclusion from the group) has been a fundamental part of human society from time immemorial. 52
I no more claim to have established the truth of contractualist moral theory here than I claimed to have refuted utilitarianism in section 4 . But I hope to have shown that it can be reasonable to assert (as I do) that contractualism forms the best framework for moral theorizing (at least, modulo its commitments concerning the rights of animals and infants, which we consider in the sections to come—like many others, I endorse the method of refl ective equilibrium in moral theorizing).
6. All Humans Have Standing
In the present section, I will argue that all, or almost all, human beings have moral standing, irrespective of their status as rational agents. I will argue fi rst that all rational agents have standing, and will then show that the same basic sort of standing should be accorded to human infants and senile (or otherwise mentally handicapped) adult humans. Since these arguments don't extend to animals (as we will see in section 7 ), they constitute a reply to Singer's main challenge. 53 He claims that contractualism can't consistently deny moral standing to animals without also withholding it from infants and mentally defective humans. This section and the next will demonstrate that Singer is mistaken.
The topic of the present section is important, since it is often taken as a reductio of contractualism that it can't adequately accommodate the moral standing of humans who aren't rational agents. If contractualism can't give a convincing account of the moral standing of infants and senile elders, then that will confl ict with powerful and deeply held intuitions. This would mean deep trouble for the entire theoretical approach. I should note that I don't, however, see the question of the moral standing of human fetuses as belonging in the same "make or break" category, and so won't attempt to tackle that topic here. For this is an issue that is already deeply controversial, on which people have wildly differing intuitions. It is consequently diffi cult for everyone. (I actually believe, however, that contractualists should grant
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moral standing to fetuses in the later stages of development while denying such standing in the early stages, such as during the fi rst trimester.)
The contractualist framework plainly entails that all rational agents should have the same moral standing. This is because moral rules are conceived to be constructed by rational agents for rational agents. Rational agents behind a veil of ignorance would opt to accord the same basic rights, duties, and protections to themselves (that is to say: to all rational agents, since they are choosing in ignorance of their particular identities). And likewise within Scanlon's framework, any proposed rule that would withhold moral standing from some subset of rational agents could reasonably be rejected by the members of that subset.
Contractualism accords the same basic moral standing to all rational agents as such, and not merely to the members of some actual group or society. On Rawls's approach, contracting agents don't even know which group or society they will turn out to be members of once the veil is drawn aside. On Scanlon's account, although we are to picture rational agents seeking to agree on a framework of rules in full knowledge of who they are and the groups to which they belong, those rules can be vetoed by any rational agent, irrespective of group membership. It follows that if Mars should turn out to be populated by a species of agent possessing the right sort of psychology, then contractualism would accord the members of that species full moral standing.
However, it seems that rational contractors wouldn't automatically cede moral standing to those human beings who are not rational agents (such as infants and senile elders), in the way that they must grant standing to each other. Nevertheless, there are considerations that should induce them to do so. The main one is as follows. 54 Notice that the fundamental goal of the contract process is to achieve a set of moral rules that will provide social stability and preserve peace. This means that moral rules will have to be psychologically supportable , in the following sense: they have to be such that rational agents can, in general, bring themselves to abide by them without brainwashing. (Arguably, no rational agent would consent to the loss of autonomy involved in any form of the latter practice.) But now the contractors just have to refl ect that, if anything counts as part of "human nature" (and certainly much does) 55 then people's deep attachment to their infants and aged relatives surely belongs within it. In general, people care as deeply about their immediate relatives as they care about anything (morality included), irrespective of their relatives' status as rational agents—in which case contracting agents should accord moral standing to all human beings, and not just to those human beings who happen to be rational agents.
Consider what a society would be like that denied moral standing to infants and/ or senile old people. The members of these groups would, at most, be given the same type of protection that gets accorded to items of private property, deriving from the legitimate concerns of the rational agents who care about them. That would leave the state or its agents free to destroy or cause suffering to the members of these groups whenever it might be in the public interest to do so, provided that their relatives receive fi nancial or other forms of compensation. For example, senile elders might
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be killed so that their organs could be harvested, or it might be particularly benefi cial to use human infants in certain painful medical experiments. We can see in advance that these arrangements would be highly unstable. Those whose loved ones were at risk would surely resist with violence, and would band together with others to so resist. Foreseeing this, contracting rational agents should agree that all human beings are to be accorded moral standing. Note that this doesn't mean, of course, that all humans are given the same rights . While normal human adults might be given a right to autonomy, for example, it will make little sense to accord such a right to a person who isn't an autonomous agent.
It might be replied against the argument from social stability that there have been many communities in the world where infanticide and the killing of the old have been sanctioned, without any of the predicted dire consequences for the stability and peacefulness of those societies. Thus, in many traditional societies the smaller of a pair of twins, or any infant born deformed, might be abandoned by its mother to die. 56 Moreover, certain Inuit tribes are said to have had the practice of forsaking their elders to die in the snow when the latter became too infi rm to travel.
One point to be made in response to this objection is that all of the communities in question were sustained and stabilized by systems of traditional belief (often religious belief: "the gods require it" might be the justifi cation given). This is no longer possible for us in conditions of modernity, where it is acceptable for any belief, no matter how revered and long-standing, to be subjected to critical scrutiny. In addition, the contract process envisaged by contractualism can't make any appeal to such traditional beliefs.
Another point to be made in response to the objection is that all of the communities in question were teetering on the edge of survival for their members; or at least the costs to individuals for acting differently would have been very high. In such cases, it is not obvious that the practices we are considering involve the denial of moral standing to infants and/or the old. This is because in these communities death occurs from failure to support, or from the withdrawal of aid, rather than by active killing. We, too, accept that it can be permissible to withdraw support, allowing someone to die, when the costs to oneself become too great. Think, for example, of someone in the process of rescuing another person from drowning, who has to give up their effort when they realize that the current is too strong and that they themselves are in danger of drowning.
Infants and senile old people aren't by any means accorded "second-class moral citizenship" within contractualism, it should be stressed. Although it is only rational agents that get to grant moral standing through the contract process, and although the considerations that should lead them to grant moral standing to humans who aren't rational agents are indirect ones (not emerging directly out of the structure of the contract process, as does the moral standing of rational agents themselves), this has no impact on the product. Although the considerations that demonstrate the moral standing of rational agents and of nonrational humans may differ from one another, the result is the same: both groups have moral standing, and both should have similar basic rights and protections.
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It probably isn't true that contractualism should accord moral standing to all human beings, however. Consider anencephalic infants. These are undoubtedly human beings. Yet they are born without a cortex, and although they sometimes possess a rudimentary brainstem, this lacks any covering of skull or skin. They are blind and deaf, and incapable of feeling pain, although refl ex actions such as breathing and responses to touch and sound may occur. If not stillborn, most die within a few hours or days of birth. There is no cure or treatment. 57 The argument from social stability appears to have no application in such cases. Most parents will grieve at the birth of an anencephalic infant rather than its death, and will make no requests that the infant's life should be prolonged. What would be the point? Moreover, if the state were to legislate to permit harvesting organs from such infants, vigorous debate would ensue, no doubt, but it seems very unlikely that serious social instability would result. It is true that some people will care deeply about the lives of their anencephalic infants, as (famously) did the mother of Baby K. 58 But, in contrast with normal or handicapped infants, the vast majority of parents will not. Moreover, it is likely that the attachments of those who do care don't result from the normal operations of an innate human nature, but are produced, rather, by prior moral or religious beliefs.
We can conclude the following. If, as I claim, contractualism is the correct framework for moral theorizing, then it follows that almost all human beings— whether infant, child, adult, old, or senile—should be accorded moral standing. They should also be provided with a similar basic structure of protections (depending on their powers and capacities). In section 7 , I will show, in contrast, that contractualism leaves all animals beyond the moral pale, withholding moral standing from them altogether.
7. No Animals Have Standing
In the present section, I will maintain that the argument just given for according moral standing to all humans doesn't extend to animals. I shall then consider two further attempts to secure moral standing for animals within contractualism, showing that they fail. The upshot can be captured in the slogan: "Humans in, animals out." But fi rst I propose to argue that no animals count as rational agents in the sense that is relevant to contractualism—in which case they don't automatically acquire moral standing through the contract process.
What does it take to qualify as a rational agent from the perspective of contractualist moral theory? A rational agent is a potential contractor, which means that such a person should be capable of proposing and examining normative rules, as well as reasoning about the consequences of their adoption. It also means having the sort of motivational and emotional systems necessary to comply with and enforce such rules (at least some of the time) and to constrain one's behavior in accordance with
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previous agreements. Therefore, emotions like guilt and indignation are plausibly part of what it takes to be a rational agent.
The evidence suggests that rational agency is a distinctively human adaptation. Animals are certainly agents, and possess many remarkable cognitive capacities. For example, apes seem to possess at least some of the ingredients of human moral psychology, such as sympathy for others and engagement in reciprocal social interactions. 59 But there is no reason to believe that apes are capable of thinking in terms of normative rules, or that they would be motivated to comply with such rules if they could. On the contrary, evidence is beginning to accumulate that humans are unique in possessing an innate moral faculty that was selected for in evolution because of its role in sustaining complex cooperative societies. 60 This means that we are (at least for the present) warranted in assuming that only human beings are rational agents in the sense relevant to contractualism.
The argument of section 6 was that human beings who aren't rational agents should nevertheless be accorded moral standing to preserve social stability, since people's attachments to their infants and aged relatives are generally about as deep as it is possible to go. Someone might try presenting a similar argument to show that animals, too, should be accorded moral standing, citing the violence that has actually occurred in western societies when groups of people (like members of the Animal Liberation Front) have acted in defense of the interests of animals. Such an argument fails, however, because members of these groups are acting, not out of attachments that are a normal product of human emotional mechanisms, but out of their moral beliefs (which they take to be justifi ed, of course, but which aren't the product of the contract situation).
Rational agents engaging in the contract process are forbidden from appealing to any antecedent moral beliefs, whether their own or other people's. This is because moral truth is to be the outcome of the contract, and shouldn't be presupposed at the outset. Therefore, contracting rational agents should not reason that animals ought to be accorded moral standing on the grounds that some people have a moral belief in such standing and may be prepared to kill or engage in other forms of violence in pursuit of their principles. The proper response is that such people aren't entitled to their belief in the moral standing of animals unless they can show that rational agents in the appropriate sort of contract situation should agree to it.
Many people care quite a bit about their pets, of course, which rational contractors might be expected to know. Could this give rise to a social-stability argument for moral standing? The answer is "no," for at least two distinct reasons. One is that it is far from clear that the phenomenon of pet keeping and attachment to pets is a human universal (in contrast with attachment to infants and aged relatives). It may rather be a product of local cultural forces operating in some societies but not others. If the latter is the case, then such attachments aren't a "fi xed point" of human nature, which should constrain rational contractors in their deliberations. They might appropriately decide, instead, that society should be arranged in such a way that people don't develop attachments that are apt to interfere with correct moral decision making.
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A second problem with the suggestion is that attachment to pets is rarely so deep as attachments to relatives, in any case. Because of this, people should have little diffi culty in coming to accept that pets can only be accorded the sorts of protections granted to other items of private property. Most of us would think that it would be foolish (indeed, reprehensible) to continue to keep a pet that threatens the life of a child (e.g., through severe allergic reactions). And when the state declares that the public interest requires that someone's dog be put down (e.g., because it is vicious), it would surely be unreasonable to take up arms to defend the life of the animal, just as it would be unreasonable to kill to preserve a house that has been condemned for demolition.
It is true that some people care more for their pets than their relatives, and might well go to great lengths to preserve the lives of the former. Here too, however (as in the example of anencephalic infants discussed earlier), numbers matter. That such strengths of attachment are relatively rare means that the argument from social stability fails to apply. Moreover, to the extent that deep attachments to pets are increasing in our society, this is likely to be the product of more widespread beliefs in the moral standing of animals, combined with increases in individual social alienation. These are not the kinds of factors that can be appealed to legitimately in the construction of the moral contract.
While the argument from social stability fails to show that animals should be accorded moral standing, other arguments could still be successful. One suggestion would be that some rational agents behind the veil of ignorance should be assigned to represent the interests of animals, much as a lawyer might be assigned to represent the interests of a pet in a court of law in a case involving a disputed will. 61 If it was the job of those representatives to look out for the interests of animals in the formulation of the basic moral contract, then they might be expected to insist upon animals being granted at least enough moral standing to protect their interests from invasive human harms.
This suggestion, however, is plainly at odds with the guiding idea of contractualism. For what possible motive could there be for assigning some agents to represent the interests of animals in the contract process, unless it were believed that animals deserve to have their interests protected? But that would be to assume a moral truth at the outset: the belief, namely, that animals deserve to be protected. We noted above, in contrast, that contractualism requires that the contracting parties come to the contract situation either without any moral beliefs at all, or setting aside (taking care not to rely upon) such moral beliefs as they do have.
The point is even easier to see in Scanlon's version of contractualism. Real individual agents with knowledge of their own particulars, but who either lack moral beliefs or have set aside their moral beliefs while trying to agree to rules that no one could reasonably reject, could have no reason to assign some of their number to represent the interests of animals. For to do so would be tantamount to insisting at the outset that animals should be accorded moral standing, preempting and usurping the constructive role of the contract process.
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Another suggestion is that people behind the veil of ignorance should be selecting moral rules in ignorance of their species, just as they are ignorant of their life-plans, age, strength, intelligence, gender, race, position in society, and so on. 62 Then just as rational agents might be expected to agree on rules to protect the weak, since for all they know they might end up being weak, so rational agents might be expected to agree on a system of fundamental rights for animals, since for all they know they might end up being an animal.
One problem with this suggestion is that Rawls's veil of ignorance is designed to rule out reliance upon factors that are widely agreed to be morally irrelevant. Among the intuitions that a good moral theory should preserve is the belief that someone's moral standing shouldn't depend upon such factors as their age, or gender, or race. In contrast, we don't (or don't all) think that species is morally irrelevant. On the contrary, this is highly disputed, with (I would guess) a clear majority believing that differences of species (e.g., between human and horse) can be used to ground radically different moral treatment.
The veil of ignorance is a theoretical device designed to ensure that deeply held moral beliefs about what is, or isn't, morally relevant should be preserved in the resulting theory. So although the contracting agents aren't allowed to appeal to any moral beliefs in the contract process, the moral theorist has relied upon his prior moral beliefs in designing the surrounding constraints. Scanlon's version of contractualism, in contrast, digs deeper. It has the capacity to explain why the properties mentioned in the veil of ignorance are morally irrelevant. This is because one should be able to see in advance when one comes to the contract situation that if one proposes a rule favoring men, then this will be vetoed by those rational agents who are women, and vice versa; and so on for differences of age, intelligence, strength, race, and so on. Therefore, if we are motivated by the goal of reaching free and unforced general agreement among rational agents, we should abjure proposals that might favor one group over another. For we can foresee that these will be vetoed, and that others could equally well suggest proposals favoring other groups in any case, which we would need to veto. In contrast, there is no reason for us to abjure rules that favor humans over animals.
The idea of choosing rules in ignorance of one's species isn't even coherent within the framework of Scanlon's form of contractualism, in which agents are supposed to have full knowledge of their own particular qualities and circumstances, as well as of general truths of psychology, economics, and so forth. So there is no way to argue for the moral signifi cance of animals from such a standpoint. One should be able to see in advance that a proposed rule that would accord moral standing to animals would be vetoed by some, because of the costs and burdens that it would place on us.
I conclude that while contractualism entails the moral standing of almost all humans (including infants, the handicapped, and senile old people), by the same token such standing should be denied to animals. However, even if this position is theoretically impeccable it faces a serious challenge. This is that most people believe strongly that it is possible to act wrongly in one's dealings with animals
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(especially by displaying cruelty). Most people also believe that it is something about what is happening to the animal that warrants the moral criticism. These are powerful intuitions that need to be explained, or explained away. This will form the topic of section 8 .
8. Indirect Moral Signifi cance for Animals
Imagine that while walking in a city one evening you turn a corner to confront a group of teenagers who have caught a cat, doused it in kerosene, and are about to set it alight. Of course you would be horrifi ed. You would think that the teenagers were doing something very wrong, and the vast majority of people would agree with you. It would be a serious black mark against contractualist moral theories in general, and against the line that I am pursuing in this chapter, if this intuition could not be accommodated.
To meet this challenge, we should claim that while we do have duties toward animals, they are indirect , in the sense that the duties are owed to someone other than the animal, and that they fail to have any corresponding rights in the animal. According to one suggestion, they derive from a direct duty not to cause unnecessary offense to the feelings of animal lovers or animal owners, and it is to them that we have the duty. Compare the above scenario with this one: while walking though a city you come across a pair of young people, stark naked, making love on a park bench in broad daylight. In this case, too, you would be horrifi ed, and you would think that they were doing something wrong. But the wrongness isn't, as it were, intrinsic to the activity. It is rather that the love-making is being conducted in a way that might be disturbing or distressing to other people: namely, in public. Likewise, it might be said, in the case of the teenagers setting light to the cat: what they are doing is wrong because it is likely to be disturbing or distressing to other people.
This particular proposal isn't at all promising. While it can explain why the teenagers are wrong to set light to a cat in the street (since there is a danger that they might be observed), it can't easily explain our intuition that it would be wrong of them to set light to the cat in the privacy of their own garage. Admittedly, there is some wiggle room here if one wanted to defend the account. For animals, having minds of their own, are apt to render public a suffering that was intended to remain private. The burning cat might escape from the garage, for example, or might emit such ear-piercing screams that the neighbors feel called upon to investigate.
We can demonstrate the inadequacy of this whole approach through an example in which such factors are decisively controlled for, such as the example of Astrid the astronaut. You are to imagine that Astrid is an extremely rich woman who has become tired of life on Earth, and who purchases a space rocket for herself so that she can escape that life permanently. She blasts off on a trajectory that will eventually take her out of the solar system, and she doesn't carry with her a radio or any other
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means of communication. We can therefore know that she will never again have any contact with anyone who remains on Earth. Suppose now that Astrid has taken with her a cat for company, but that at a certain point in the journey, out of boredom, she starts to use the cat for a dart-board, or does something else that would cause the cat unspeakable pain. Astrid does something very wrong, but the grounds of its wrongness can't be the danger that animal lovers will discover and be upset, because we know from the description of the case that there is no such danger.
Quite a different approach, which I shall spend most of the remainder of this section developing and defending, would be to claim that the action of torturing a cat is wrong because of what it shows about the moral character of the actor, not because it infringes any rights or is likely to cause distress to other people. Specifi cally, what the teenagers do in the street and what Astrid does in her space rocket show them to be cruel , which would be our ground for saying that the actions themselves are wrong. In order for this account to work, however, it needs to be shown more generally that we sometimes judge actions by the qualities of moral character that they evince (without necessarily being aware that we are doing so), irrespective of any morally signifi cant harm that they cause or of any rights that they infringe.
Return to the example of Astrid the astronaut, but now suppose that, in addition to a cat, she has taken with her another person. In one version of the story, this might be her beloved grandfather. In another version of the story (to avoid contaminating our intuitions with beliefs about family duties) it might be an employee whom she hires to work for her as a lifetime servant. Now at a certain point in the journey, this other person dies. Astrid's response is to cut up the corpse into small pieces, thereafter storing them in the refrigerator and feeding them one by one to the cat.
What Astrid does is wrong. But why? It causes no direct harm of any sort because her companion is dead and can't know or be upset, and nor can any harm be caused indirectly to others. In the nature of the case, no one else can ever know and be offended, nor are any rights infringed. Even if one thinks that the dead have rights (which is doubtful), Astrid might know that her companion was a nonbeliever who took not the slightest interest in ceremonies for the dead. He might once have said to her, "Once I am dead I don't care what happens to my corpse; you can do what you like with it," thus waiving any rights that he might have in the matter. But still one has the intuition that Astrid does something very wrong.
Why is what Astrid does wrong? I suggest it is because of what it shows about her . Just as her treatment of her cat shows her to be cruel, so her treatment of her dead companion displays a kind of disrespectful, inhuman, attitude toward humanity in general and her companion in particular. (Note that practices for honoring the dead, and for treating corpses with respect, are a human universal. They are common to all cultures across all times.) 63 In each case, we judge the action to be wrong because of the fl aw that it evinces (both manifesting and further encouraging and developing) in her moral character, I suggest.
Consider a different sort of example. Suppose that lazy Jane is a doctor who is attending a conference of other medical professionals at a large hotel. She is relaxing in the bar during the evening, sitting alone in a cubicle with her drink. The bar is so
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arranged that there are many separate cubicles surrounding it, from each of which the bar itself is plainly visible, but the insides of which are invisible to each other. Jane is idly watching someone walk alone toward the bar when he collapses to the fl oor with all the signs of having undergone a serious heart attack. Jane feels no impulse to assist him, and continues calmly sipping her martini.
Plainly what Jane does (or in this case, doesn't do) is wrong. But why? We can suppose that no harm is caused. Because the man collapses in plain view of dozens of medical personnel, expert help is swift in arriving, and she had every reason to believe that this would be so in the circumstances. Nor are any rights infringed. Even if there is such a thing as a general right to medical assistance when sick (which is doubtful), the man had no claim on her help in particular. If he had still been able to speak, he could have said, and (perhaps) said truly, "Someone should help me." But he surely wouldn't have been correct if he had said, "Jane, in particular, should help me." Since our belief in the wrongness of Jane's inactivity survives these points, the explanation must be the one that we offered in connection with Astrid the astronaut: it is wrong because of what it reveals about her . Specifi cally, it shows her to be callous and indifferent to the suffering of other people; or at least it shows that she lacks the sort of spontaneous, emotional, non-calculative, concern for others that we think a good person should have.
My suggestion is that our duties toward animals are indirect in just this sort of way. They derive from the good or bad qualities of moral character that the actions in question would display and encourage, where those qualities are good or bad in virtue of the role that they play in the agent's interactions with other human beings. On this account, the most basic kind of wrongdoing toward animals is cruelty . A cruel action is wrong because it evinces a cruel character, but what makes a cruel character bad is that it is likely to express itself in cruelty toward humans , which would involve direct violations of the rights of those who are caused to suffer. Our intuition that the teenagers and Astrid all act wrongly is thereby explained, but explained in a way that is consistent with the claim that animals lack moral standing.
I shall return to elaborate on this idea shortly. But fi rst we need to ask how, in general, qualities of character, or virtues, acquire their signifi cance within a contractualist moral framework. This question needs to be answered before the position sketched above can be considered theoretically acceptable.
Contracting rational agents should know in advance that human beings aren't calculating machines. We have limited time, limited memory, limited attention, and limited intellectual powers. In consequence, in everyday life we frequently have to rely on a suite of "quick and dirty" heuristics for decision making, rather than reasoning our way slowly and laboriously to the optimal solution. 64 Contracting rational agents should also realize the vital role that motivational states and emotional reactions play in human decision making. 65 Hence, they should do far more than agree on a framework of rules to govern their behavior. They should also agree to foster certain long-term dispositions of motivation and emotion that will make right action much more likely (especially when action is spontaneous, or undertaken
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under severe time constraints). That is to say: contracting agents should agree on a duty to foster certain qualities of character, namely, the virtues .
For example, contracting agents should agree on a duty to develop the virtue of benefi cence because they should foresee that more than merely rules of justice are necessary for human beings to fl ourish. (Such rules are for the most part negative in form: "Don't steal, don't kidnap, don't kill, etc.") Humans also need to develop positive attachments to the welfare of others, fostering a disposition and willingness to help other people when they can do so at no important cost to themselves. For there are many ways in which people will inevitably, at some point in their lives, need the assistance of others if they are to succeed with their plans and projects, ranging from needing the kindness of a neighbor to jumpstart one's car on a frosty morning, to needing someone on the river bank to throw one a life-buoy or rope when one is drowning. It is important to notice, moreover, that this does not mean that actions undertaken out of generosity are really self-interested ones. On the contrary, generous people are people who feel an impulse to help others simply because they can see that the other person needs it. It only means that self-interest enters into the explanation of why generosity is a virtue. This is because self-interested rational agents attempting to agree on a framework of rules that no one could reasonably reject would agree on a duty to become a generous sort of person.
Rational contractors should also agree that people's actions can be judged (that is, praised or blamed) for the qualities of character they evince, independently of the harm caused, and independently of violations of a right. This is because people should possess , or should develop, the required good qualities. Although these good qualities are good, in general, because of their effects on the welfare and rights of other people, their display on a given occasion can be independent of such effects. Hence we can and should evaluate the action in light of the qualities of character that it displays, independently of other considerations. It is for this reason that we can blame Astrid for her actions, even though she will never again have the opportunity to interact with other human beings.
If the account given above of the reasons why it is wrong for the teenagers to set light to the cat is to be successful, then cruelty to animals needs to be psychologically and behaviorally linked to cruelty to humans. To a fi rst approximation, it must be the case that there is a single virtue of kindness, and a single vice of cruelty, that can be displayed toward either group. How plausible is this? The American Society for the Prevention of Cruelty to Animals claims on its website to have amassed voluminous evidence that people who are cruel to animals are also likely to engage in cruelty that involves human beings. 66 The United Kingdom's RSPCA makes a similar claim on its "information for professionals" website, citing a number of empirical studies, 67 and prior to the Animal Welfare Act (which came into force in April 2007), the Society's prosecutions for cruelty to animals were almost always built upon this premise.
It certainly appears that attitudes toward the sufferings of humans and animals are quite deeply linked, at least in western culture. This is because many of us have pets whom we treat as honorary family members, toward whom we feel fi lial
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obligations. Our practices of child-rearing also make central use of animal subjects in moral education. A child's fi rst introduction to moral principles will often involve ones that are focused upon animals. A parent says, "Don't be cruel—you mustn't pull the whiskers out of the cat," "You must make sure that your pet gerbil has plenty of water," and so on and so forth. It would not be surprising, then, if attitudes toward the sufferings and welfare of animals and humans should thereafter be pretty tightly linked. This will warrant us in saying that the teenagers who are setting light to a cat are doing something wrong, not because the cat has moral standing, but because they are evincing attitudes that are likely to manifest themselves in their dealings with human beings.
It seems possible, however, that the linkages that exist between attitudes to human and animal suffering depend upon local cultural factors. Hence it might be questioned whether these links refl ect properties of a universal human nature. In cultures where pets aren't kept, where people's interactions with animals are entirely pragmatic (e.g., through hunting or farming), and where animals aren't used as exemplars in moral education, it is possible that these attitudes are pretty cleanly separable. At the very least, since cruelty involves causing unjustifi ed suffering (just as murder is unjustifi ed killing), we would expect cultures to differ a great deal in the circumstances in which cruelty is displayed toward an animal, because the virtue in question will have been molded by cultural assumptions and expectations. Thus consider someone in another culture who hangs a dog in a noose, strangling it slowly to death (perhaps because this is believed to make the meat taste better). This might not display cruelty under local conditions (at least in the sense of evincing a quality of character that is likely to generalize to that person's treatment of human beings), although in someone from our culture who behaved likewise it would do so.
If these speculations are correct, then our western moral attitudes toward animals should be thought of as forming part of the conventional content of our morality. If there is nothing in our human nature that links causing suffering to animals with cruelty to humans, then contracting rational agents would have no reason to insist upon a rule forbidding harsh treatment of animals, or a rule mandating a virtue of kindness that extends to animals. But contracting agents have to settle upon some or other way of bringing up their children, and cultural practices (such as pet-keeping) may be adopted for reasons having nothing to do with the moral contract itself, but which nevertheless have an impact upon morals. Given such facts, we can become obliged not to be cruel to animals. However, the question whether the wrongness of (what we take to be) cruelty-evincing behavior toward animals is either a conventional component of morality, on the one hand, or depends on universal facts about human nature, on the other, isn't the main issue. This is because, on either account, such wrongness will be consistent with the denial of moral standing to animals.
In either case, moreover, it is important to see that someone with the right sort of kindly character who acts to prevent suffering to an animal will do so for the sake of the animal . This is required for having the right sort of sympathetic
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attitude. The latter involves a spontaneous upwelling of sympathy at the sight or sound of suffering (at least in certain circumstances). Likewise, it is something about the animal itself (its pain) that forms the immediate object of the emotion, and of the subsequent response. Certainly, someone acting to ease the suffering of an animal won't be doing it to try to make himself into a better person! Nevertheless, the reason why this attitude is a virtue at all will be because of the way in which the behavior is likely to manifest itself in the person's dealings with other human beings.
We can therefore explain away the commonsense intuition that when we are morally obliged to act to prevent suffering to an animal, we are required to do so for the sake of the animal (where this would be understood to entail that the animal itself has standing). As a theoretical claim about what grounds our duties toward animals, this is false, since animals lack standing. But as a psychological claim about the state of mind and motivations of the actor, who has acquired the right kind of kindly attitude, it is true. While agents should act as they do for the animal's sake (with the animal's interests in mind), the reason why they are required to do so doesn't advert to facts about the animal (which would then require animals to have standing), but rather to the wider effects on human beings.
9. The Expanding Circle
We have seen how contractualism can explain why cruelty to animals is wrong while denying that animals have moral standing. However, a fi nal challenge remains: How are the changing attitudes toward animals (at least in western cultures) to be explained? Why do so many more people today think that animals have moral standing? Singer has a plausible story to tell, which makes the change in question appear progressive. 68 According to Singer, as we have seen, morality is sympathy based. Initially, feelings of sympathy were confi ned to members of one's own family or tribe. However, rational considerations have forced the moral circle to expand because one can see that there is no relevant moral difference between the suffering of someone in one's own social group and the suffering of someone from another tribe or nation state. On Singer's telling, the same rational movement of thought has now (for many people) caused the moral circle to expand still further to embrace animals.
One aspect of this challenge has already been addressed above. For we have shown in section 7 that the divide between humans and animals is by no means arbitrary from the perspective of contractualism. Moreover, there are reasons (briefl y reviewed in sections 4 and 5) for preferring contractualist moral theories to utilitarian ones. But why, then, have so many people come to feel that animals have moral standing, if really they don't? I am forced to deploy a form of error-theory. I claim that people have been seduced by faulty arguments and false theoretical
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assumptions, as well as by psychological tendencies that are apt to get reinforced in our culture. In fact, I can offer two distinct lines of explanation. Since these are consistent with one another, both may actually be at work.
We have already noted in section 8 how we use people's treatment of animals as an indicator of moral character. It may be that such a tendency is innate, and is partly a product of sexual selection. We know that what people want most in a marriage partner all around the world is someone who is kind. 69 Hence, kindly behavior toward animals (as well as other people's children) may be an honest indicator of fitness. (A thought experiment: you see a stranger in the street stop to lift up a cicada from a place where it is likely to get crushed, putting it safely on a nearby tree. Wouldn't you be inclined to feel warmly toward that person, even if, like most people, you don't think that insects have moral standing?) We also know that infants as young as six months of age show a preference for helpful over neutral agents, as well as a preference for neutral agents over unhelpful ones. 70 (This, too, may be adaptive, given how vulnerable infants still are at ages when they would normally start interacting with strangers.) Moreover, these preferences are displayed in respect to anything that gives off cues of animacy, including cartoon squares and triangles (on which a pair of eyes may have been drawn) that appear to be capable of self-motion. It would seem, therefore, that humans possess an innate tendency to prefer people who behave in a kindly fashion toward other agents, even when those agents are quite minimally characterized as such.
In previous eras, such an innate tendency would presumably have been prevented by social learning from issuing in a belief in the moral standing of all agents. Children would have observed adults interacting with animals in the context of hunting, fi shing, and farming (as well as listening to adults talk). However, in our own culture there are few opportunities for such correction to take place, except in respect of adults' treatment of household and garden pests (which are insects, for the most part). Most children today have no experience of hunting, and little experience of farming beyond visits to a petting zoo and whatever they learn from television and books. Most children's only contact with vertebrate animals is with pets, who are generally treated in our culture as honorary members of a family. With nothing to prevent them from doing so, children's natural inclinations to feel warmly toward people who are kind, and not unkind, to other agents, leaves them wide open to a tendency to moralize such feelings, resulting in a belief in the moral standing of vertebrate animals. But in my view this is an error, comparable to the manner in which people in many cultures have tended to moralize their initial feelings of revulsion toward consensual incest between siblings or toward homosexuality. 71
A second explanation of the "expanding circle" in our culture is suggested by the literature on dehumanization . 72 In what ways do humans tend to conceive of other groups of humans when they deny them moral standing and think that they may kill or harm them with impunity? Interestingly, and counting against
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Singer's sympathy-based ethic as an account of our moral psychology, people don't usually deny that dehumanized groups feel pain, or fear, or other emotions that humans share with animals. Rather, what is denied is that those groups are subject to distinctively human emotions of love, guilt, indignation, shame, and so forth. Indeed, it appears that the upshot of dehumanization is a denial that members of the other group possess some of the main ingredients of rational agency, in the sense discussed in section 7 . By parity of reasoning, then, one might expect that widening the moral circle to include some animals would be associated with a tendency to attribute human-like emotional states to them. In this connection, it is surely no accident that representations of animals as undergoing such states are now rife in children's story books, movies, and in popular culture more generally. But again the result is a moral mistake. By overhumanizing the psychological states of animals in the fantasy lives of young people we create a tendency (which mostly remains unconscious, no doubt) to think of them as rational agents and potential collaborators, and hence as possessing moral standing in their own right.
If the position defended in this chapter is correct, in contrast, then the increasing moral importance accorded to animals in our culture can be seen as a form of creeping moral corruption and should be resisted. Particular attention would need to be paid to the moral education of our young, correcting each of the corruptive tendencies identifi ed above.
10. Conclusion
This chapter has defended a number of important claims. One is that the kind of mindedness that makes sympathy appropriate is extremely widespread in the animal kingdom, extending to individuals belonging to many species of invertebrate. This presents utilitarian moral theories with a challenge: either to somehow persuade us of the moral standing of bees, spiders, and ants, or to fi nd some morally relevant difference between the sufferings of invertebrates and those of mammals. (Moreover, the latter would need to be done in a naturalistically acceptable way, in my view, without making a commitment to the mind-independence of value.) Another claim defended in this chapter is that we possess at least one cognitive adaptation that sets us apart from other animals. This is a psychology that enables and supports cooperation and norm-governed behavior. From a contractualist perspective, morality is the outcome of an idealized contract among agents who share such a psychology, undertaken to constrain and guide their relations with one another. If contractualism provides the best framework for moral theorizing, as I have suggested, then the upshot is that almost all humans, but no other animals, possess moral standing.
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NOTES
1. Both premises are endorsed by Peter Carruthers , "Brute Experience," Journal of Philosophy 86 (1989): 258–69 .
2. See among others Fred Dretske , Naturalizing the Mind (Cambridge, Mass.: MIT Press, 1995) ; Michael Tye , Ten Problems of Consciousness (Cambridge, Mass.: MIT Press, 1995) , and Tye , Consciousness, Color, and Content (Cambridge, Mass.: MIT Press, 2000) .
3. See among others William Lycan , Consciousness and Experience (Cambridge, Mass.: MIT Press, 1996) ; Peter Carruthers , Phenomenal Consciousness (Cambridge: Cambridge University Press, 2000) , and Consciousness: Essays from a Higher-Order Perspective (Oxford: Oxford University Press, 2005) ; and David Rosenthal , Consciousness and the Mind (Oxford: Oxford University Press, 2005) .
4. Lycan, Consciousness and Experience .
5. Rosenthal, Consciousness and the Mind .
6. Carruthers, Phenomenal Consciousness .
7. See: Brian Hare , Josep Call , and Michael Tomasello , "Do Chimpanzees Know What Conspecifi cs Know?" Animal Behavior 61 (2001): 139–51 ; Brian Hare , E. Addessi , Josep Call , Michael Tomasello , and E. Visalberghi , "Do Capuchin Monkeys, Cebus paella , Know What Conspecifi cs Do and Do Not See?" Animal Behavior 65 (2003): 131–42 ; Michael Tomasello , Josep Call , and Brian Hare , "Chimpanzees Understand Psychological States—The Question is Which Ones and To What Extent," Trends in Cognitive Sciences 7 (2003): 153–56 ; and Laurie Santos , Aaron Nissen , and Jonathan Ferrugia , "Rhesus Monkeys ( Macaca mulatta ) Know What Others Can and Cannot Hear," Animal Behavior 71 (2006): 1175–81 .
8. John Smith , Wendy Shields , and David Washburn , "The Comparative Psychology of Uncertainty Monitoring and Metacognition," Behavioral and Brain Sciences 26 (2003): 317–73.
9. Peter Carruthers , "Metacognition in Animals: A Skeptical Look," Mind and Language 23 (2008): 58–89.
10. Alvin Golman , Simulating Minds: The Philosophy, Psychology, and Neuroscience of Mindreading (Oxford: Oxford University Press, 2006).
11. Shaun Nichols and Stephen Stich , Mindreading: An Integrated Account of Pretence, Self-Awareness, and Understanding of Other Minds (Oxford: Oxford University Press, 2003).
12. See Richard Byrne and Andrew Whiten , eds., Machiavellian Intelligence (Oxford: Oxford University Press, 1988) ; and Andrew Whiten and Richard Byrne , eds., Machiavellian Intelligence II: Evaluations and Extensions (Cambridge: Cambridge University Press, 1997) .
13. Laurence Weiskrantz , Consciousness Lost and Found (Oxford: Oxford University Press, 1997).
14. Carruthers, "Brute Experience"; and see also Peter Carruthers , The Animals Issue: Moral Theory in Practice (Cambridge: Cambridge University Press, 1992) , chapter 8 .
15. For an extended discussion of the arguments sketched here see Carruthers, Consciousness , chapters 9 and 10 .
16. Robert Elwood and Mirjam Appel , "Pain Experience in Hermit Crabs?" Animal Behavior 77 (2009): 1243–46.
17. Sharon Street , "A Darwinian Dilemma for Realist Theories of Value," Philosophical Studies 127 (2006): 109–66.
18. Most theorists think that propositional attitudes aren't phenomenally conscious per se, although some attitudes may give rise to phenomenally conscious effects. There will be phenomenally conscious bodily sensations (e.g., a dry throat) causally associated with
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one's desire to drink, for example. But that desire itself isn't phenomenally conscious, because it lacks the right kind of fi ne-grained nonconceptual content. Admittedly, some philosophers claim that some attitudes, too, are phenomenally conscious. See, for example, Galen Strawson , Mental Reality (Cambridge, Mass.: MIT Press, 1994) ; and Charles Siewert , The Signifi cance of Consciousness (Princeton, N.J.: Princeton University Press, 1998) . For a critique, see Peter Carruthers and Bénédicte Veillet , "The Case Against Cognitive Phenomenology," in Cognitive Phenomenology , ed. Tim Bayne and Michele Montague (Oxford: Oxford University Press, 2010) . But in any case, it is doubtful whether the phenomenally conscious properties of an attitude would have any bearing on the value or disvalue of the objects of that attitude. What makes pain a negative value for me is surely that I don't want it, not anything about the phenomenal properties of my desire for it to cease (supposing that there are any).
19. John Searle , The Rediscovery of the Mind (Cambridge, Mass.: MIT Press, 1992). 20. See Donald Davidson , "Rational Animals," Dialectica 36 (1982): 317–27 ; and Jennifer Hornsby , Simple Mindedness (Cambridge, Mass.: Harvard University Press, 1997
) .
21. Donald Davidson , "Thought and Talk," in Mind and Language , ed. Samuel Guttenplan (Oxford: Oxford University Press, 1975), 7–24.
22. See Daniel Kahneman , Paul Slovic , and Amos Tversky , eds., Judgment under Uncertainty: Heuristics and Biases (Cambridge: Cambridge University Press, 1982) ; and Dan Ariely , Predictably Irrational: The Hidden Forces that Shape Our Decisions (New York: HarperCollins, 2009) .
23. Daniel Dennett , The Intentional Stance (Cambridge, Mass.: MIT Press, 1987).
24. William Ramsey , Stephen Stich , and J. Garon , "Connectionism, Eliminativism, and the Future of Folk Psychology," in Philosophical Perspectives , vol. 4, ed. J. Tomberlin (Atascadero, Calif.: Ridgeview Publishing, 1990), 499–534.
25. For a more extended discussion of many of the points made in this section, together with others, see Peter Carruthers , The Architecture of the Mind: Massive Modularity and the Flexibility of Thought (Oxford: Oxford University Press, 2006) , chapter 2 ; and Peter Carruthers , "Invertebrate Concepts Confront the Generality Constraint (and Win)," in The Philosophy of Animal Minds , ed. Robert Lurz (Cambridge: Cambridge University Press, 2009), 89–107 .
26. Charles Gallistel , Terrence Mark , Adam King , and P. Latham , "The Rat Approximates an Ideal Detector of Rates of Reward," Journal of Experimental Psychology: Animal Behavior Processes 27 (2001): 354–72.
27. Fuat Balci , David Freestone , and Charles Gallistel , "Risk Assessment in Man and Mouse," Proceedings of the National Academy of Sciences 106 (2009): 2459–63.
28. See Charles Gallistel and J. Gibbon , "Time, Rate and Conditioning," Psychological Review 108 (2001): 289–344 ; and Charles Gallistel and Adam King , Memory and the Computational Brain (Chichester: Wiley-Blackwell, 2009) .
29. Emmanuelle Normand and Christophe Boesch , "Sophisticated Euclidean Maps in Forest Chimpanzees," Animal Behaviour 77 (2009): 1195–1201.
30. For elaboration of this and related material, see Carruthers, Architecture of the Mind , chapter 2 , and Carruthers, "Invertebrate Concepts Confront the Generality Constraint."
31. C. R. Gallistel , The Organization of Learning (Cambridge, Mass.: MIT Press, 1990).
32. T. Collett and M. Collett , "Memory Use in Insect Visual Navigation," Nature Reviews: Neuroscience 3 (2002): 542–52.
33. R. Menzel , U. Greggers , A. Smith , S. Berger , R. Brandt , S. Brunke , G. Bundrock , S. Hülse , T. Plümpe , S. Schaupp , E. Schüttler , S. Stach , J. Stindt , N. Stollhoff , and S. Watzl ,
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"Honey Bees Navigate According to a Map-Like Spatial Memory," Proceedings of the National Academy of Sciences 102 (2005): 3040–45.
34. Thomas Seeley , The Wisdom of the Hive (Cambridge, Mass.: Harvard University Press, 1995).
35. James Gould and Carol Gould , The Honey Bee (New York: Scientifi c American Library, 1988).
36. Menzel et al., "Honey Bees Navigate According to a Map-Like Spatial Memory."
37. See the papers contained in Jonathan Evans and Keith Frankish , eds., In Two Minds: Dual Systems and Beyond (Oxford: Oxford University Press, 2009) .
38. See Keith Frankish , Mind and Supermind (Cambridge: Cambridge University Press, 2004) ; and Peter Carruthers, "An Architecture for Dual Reasoning", in In Two Minds , ed, Evans and Frankish, pp. 109–27.
39. See Peter Carruthers , "The Illusion of Conscious Will," Synthese 159 (2007): 197–13 ; and "How We Know Our Own Minds: The Relationship Between Mindreading and Metacognition," Behavioral and Brain Sciences 32 (2009): 121–38 .
40. Jon Haidt , "The Emotional Dog and Its Rational Tail," Psychological Review 108 (2001): 814–34.
41. Daniel Fessler and Carlos Navarrete , "Third-Party Attitudes Toward Sibling Incest," Evolution and Human Behavior 25 (2004): 277–94.
42. Kiley Hamlin , Karen Wynn , and Paul Bloom , "Social Evaluation by Preverbal Infants," Nature 450 (2007): 557–59.
43. Jeremy Bentham, An Introduction to the Principles of Morals and Legislation (1789).
44. Peter Singer , Practical Ethics (Cambridge: Cambridge University Press, [1979] 1993) ; and The Expanding Circle (Oxford: Oxford University Press, 1981) .
45. Street, "Darwinian Dilemma for Realist Theories of Value."
46. John Rawls , A Theory of Justice (Cambridge, Mass.: Harvard University Press, 1971).
47. Thomas Scanlon , "Contractualism and Utilitarianism," in Utilitarianism and
Beyond, ed. A. Sen and B. Williams (Cambridge: Cambridge University Press,1982),103–28.
48. This is true of the later work of both Rawls and Scanlon, for example. See John Rawls , Political Liberalism (New York: Columbia University Press, 1993) ; and Thomas Scanlon , What We Owe to Each Other (Cambridge, Mass.: Harvard University Press, 1998) .
49. See M. Hoffman , Empathy and Moral Development (Cambridge: Cambridge University Press, 2000) ; and Paul Bloom , Descartes' Baby (New York: Basic Books, 2004) .
50. Scanlon, "Contractualism and Utilitarianism."
51. E. Turiel , The Development of Social Knowledge (Cambridge: Cambridge University Press, 1983) ; and The Culture of Morality (Cambridge: Cambridge University Press, 2002) .
52. See Robert Boyd and Peter Richerson , "Punishment Allows the Evolution of Cooperation (or Anything Else) in Sizable Groups," Ethology and Sociobiology 13 (1992): 171–95 ; and Peter Richerson and Robert Boyd , Not by Genes Alone (Chicago: University of Chicago Press, 2005) .
53. Singer, Practical Ethics .
54. For other arguments for the same conclusion, see Carruthers, Animals Issue chapters 5 and 7 .
,
55. See Donald Brown , Human Universals (New York: McGraw-Hill, 1991) ; and Steven Pinker , The Blank Slate (New York: Viking Press, 2002) .
56. Sarah Hrdy , Mother Nature (New York: Pantheon Press, 1999).
57. Information retrieved from the National Institutes for Health website at http:// www.ninds.nih.gov/disorders/anencephaly/ (accessed August 27, 2009).
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58. For a brief account of the case, see the entry in Wikipedia, available at http:// en.wikipedia.org/wiki/Baby_K (accessed August 27, 2009).
59. Frans de Waal , Good Natured (Cambridge, Mass.: Harvard University Press, 1996).
60. See Richerson and Boyd, Not by Genes Alone ; Richard Joyce , The Evolution of Morality (Cambridge, Mass.: MIT Press, 2006) ; Chandra Sripada and Stephen Stich , "A Framework for the Psychology of Norms," in The Innate Mind , vol. 2, ed. P. Carruthers , S. Laurence , and S. Stich (Oxford: Oxford University Press, 2006), 280–301 ; Chandra Sripada , "Adaptationism, Culture, and the Malleability of Human Nature," in The Innate Mind , vol. 3, ed. P. Carruthers , S. Laurence , and S. Stich (Oxford: Oxford University Press, 2007), 311–29 ; and John Mikhail , Elements of Moral Cognition (Cambridge: Cambridge University Press, 2009) .
61. Tom Regan , The Case for Animal Rights (London: Routledge, 1984).
62. Regan, Case for Animal Rights .
63. Brown, Human Universals .
64. Gerd Gigerenzer , Peter Todd , and the ABC Research Group, Simple Heuristics that Make Us Smart (Oxford: Oxford University Press, 1999).
65. Anton Damasio , Descartes' Error (London: Papermac, 1994).
66. See the documents, "Domestic Violence and Animal Abuse" and "Animal Cruelty Prosecution," linked under "Resources" from the ASPCA's Fighting Animal Cruelty page, available at http://www.aspcapro.org/fi ghting-animal-cruelty/ (accessed on August 27, 2009).
67. See the report, "Animal Abuse amongst Young People Aged 13–17: Trends, Trajectories and Links with Other Offending," linked from the RSPCA's Science Group page, http://www.rspca.org.uk/servlet/Satellite?pagename=RSPCA/ RSPCARedirect&pg=sciencegroup (accessed on August 27, 2009).
68. Singer, Expanding Circle.
69. David Buss , "Sex Differences in Human Mate Preferences: Evolutionary Hypotheses Tested in 37 Cultures," Behavioral and Brain Sciences 12 (1989): 1–49.
70. Hamlin, Wynn, and Bloom, "Social Evaluation by Preverbal Infants."
71. See Jon Haidt , Paul Rozin , C. McCauley , and S. Imada , "Body, Psyche, and Culture: The Relationship of Disgust to Morality," Psychology and Developing Societies 9 (1997): 107–31 ; and Haidt, "Emotional Dog and its Rational Tail."
72. Nick Haslam , "Dehumanization: An Integrative Review," Personality and Social Psychology Review 10 (2006): 252–64.
SUGGESTED READING
Carruthers, Peter . The Animals Issue: Moral Theory in Practice . Cambridge: Cambridge University Press, 1992. See especially chapters 1–7.
——— . The Architecture of the Mind: Massive Modularity and the Flexibility of Thought . Oxford: Oxford University Press, 2006. See especially chapters 2 and 3 .
Cheney, Dorothy , and Seyfarth, Robert . Baboon Metaphysics: The Evolution of a Social Mind . Chicago: University of Chicago Press, 2007.
Frankish, Keith. Consciousness. Milton Keynes: The Open University,2005.
Lockwood, Randall . "Animal Cruelty Prosecution," (2006), accessible at the ASPCA website at http://www.aspcapro.org/fi ghting-animal-cruelty/ .
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Lurz, Robert , ed. The Philosophy of Animal Minds . Cambridge: Cambridge University Press, 2009.
Mikhail, John . Elements of Moral Cognition: Rawls' Linguistic Analogy and the Cognitive Science of Moral and Legal Judgment . Cambridge: Cambridge University Press, 2010.
Rawls, John. A Theory of Justice. Cambridge, Mass.: Harvard University Press,1971.
Regan, Tom. The Case for Animal Rights. London: Routledge,1984.
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®
1946—Forty years after 11-year-old Raphael Cianchette boarded a passenger ship alone in Naples, Italy, bound for America, four of his sons—Carl, Ken, Bud, and Chuck—locked arms to build a construction empire.
With Ken and Bud's Army savings for seed money and Chuck's 1934 pickup truck as the company vehicle, Carl launched the family enterprise. Incorporated in 1949, Cianbro, now an employee-owned company, is one of the East Coast's largest civil and heavy industrial construction and construction services companies.
Carl, Ken, Bud, and Chuck Cianchette were raised to be hardworking, self-reliant entrepreneurs. Instilled with their parents' philosophy – treat people with dignity and respect, your word is your bond, and give back from which you take – the boys delivered newspapers, worked odd jobs, and learned early the value of a positive, can-do attitude and the rewards of an honest day's work.
They believed in themselves and they believed they could succeed by working together. They also believed they could achieve the impossible regardless of the obstacles. This same confidence and can-do spirit lives on in our people today. It is what allows Cianbro to successfully complete some of the most complex projects in the construction industry.
The Cianchette brothers—each unique and different individuals—provided our company with tremendous depth in its early years. Their mutual respect and trust in one another allowed them to focus on growing the company. They initiated the teamwork that Cianbro thrives on today. And, they believed that the people who worked beside them should be the future owners of the company. Their legacy lives on.
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Cianbro's Business Context And Background
Cianbro's Vision, Mission And Values
Services And Traits Of The Organization
Vision: To be the constructor of choice.
Mission: Cianbro will safely construct quality facilities on time and at a competitive price. Through innovation, efficiency, and a can-do spirit, we will develop our people, satisfy our customers, and grow profitably.
Cianbro, an employee-owned open shop general contractor, services from the Northeast through the Mid-Atlantic states. Services include: commercial and institutional, heavy industrial, energy systems, pulp, paper and forest, marine, high tech, transportation, fabrication and coating, data services, and electrical. Our success can be attributed directly to our team's spirit of working safe, cooperation,
Organizational Chart
BUSINESS DEVELOPMENT
DATA SERVICES/INFO-TECH
Scott Morrison
Vice President
Business Development
PEOPLE
Alan Burton
Vice President
HR, Safety and Health
FINANCIAL
Tom Stone
Chief Financial Officer,
Treasurer, Secretary, Clerk
FABRICATION/COATING
Dave Leavitt
General Manager
Fabrication & Coating
CIANBRO DEVELOPMENT
CORPORATION
Charlie Cianchette
General Manager
Operation Support Services
Ernie Kilbride
Vice President
Estimating
Peter Vigue
President & CEO
Mac Cianchette
Sr. Vice President
Linc Denison
Vice President &
General Manager SNE
Mike Hart
Vice President &
General Manager MAR
Frank Susi
Vice President &
General Manager NNE
Amy Webber
Workers Comp Adjuster
Becky Walker
Safety Administrator
Scott Knowlen
Manager of Health &
Environmental Hazards
Laura Henry
Injury Management
Meghann Smith
Safety/SICA Assistant
Sarah Gray
Safety Assistant
Kristi Connell
Claims Administrator
Megan Dodge
SICA Support
Andrea Pelletier
Carol Ouellette
Diana Hartely
HR Admin Assistant
Peggy Lagasse
Switchboard Operator
Katie Noiles
Leah Finnemore
HR Support
Sue Morrison
HR Administrator
Amy Chute
Assistant HR Manager
Lauren Benttinen
Pension Benefits Supervisor
Stephanie Rushton
Disability Case Manager
Dr. Larry Catlett
Medical Director
Rita Bubar
HR Manager
SAFETY
H R & H E A LT H
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enthusiasm and genuine concern for customers – one that is unmatched in the industry. The company is recognized nationally for its safety program. Cianbro meets and exceeds safety compliance with the Occupational Safety and Health Administration and works with many regulatory agencies on employee health and safety and hazardous materials. Offering construction services from the conceptual stages of design through start up, our TQM approach brings continual improvement, partnering and quality processes to construction marketplace. Throughout the Eastern United States, Cianbro offers a wide range of services in our areas of expertise.
People are the foundation of Cianbro's success and our most valuable resource. Continuing success depends on our ability to attract, select, and retain the highest quality people who can successfully meet the diverse challenges of Cianbro's involvement and growth in the construction industry. To accomplish this, we must maintain an environment that continually and visibly reinforces and celebrates the concepts of treating people with trust and respect, working together, multi-skilled employee, can-do spirit and safety.
Present Competitive Position Within The Industry
Cianbro has its corporate office in Pittsfield, Maine and regional offices in Pittsfield and Portland, Maine; Bloomfield, Connecticut; and Baltimore, Maryland. It is one of the East Coast's largest civil and heavy industrial construction and construction services companies with gross annual sales in excess of $360 million and over 2,000 team members. Cianbro operates in 13 states as a prime contractor and under the guidelines of a "federal contractor."
Listed in the top 100 of Engineering News Record's Top 400 Contractors, Cianbro is ranked as a leader in the market areas of hydropower, pulp and paper, industrial process, and manufacturing. Best known for handson construction, Cianbro also provides construction management services.
Throughout its history, Cianbro has completed many technically complex and environmentally sensitive projects for a wide variety of public and private clients. For over 50 years, Cianbro has satisfied clients in automated distribution centers, chemicals and pharmaceuticals, fabrication and coating, food and beverage processing, fossil fuel, hydropower, nuclear power plants, hospitals, large building complexes, parking garages, pulp and paper, semiconductors, transportation, marine infrastructure, and water and wastewater.
Core Values Of The Organization
We value people who exercise judgment and take action; accept accountability for their actions; learn from experience and continuously improve; treat others with honesty, fairness, dignity, and respect. We value our word as our bond, meeting commitments and expecting others to meet theirs. We value our faith in others and assume the risk to establish mutual trust and respect. We value relationships with others willing to work toward mutual goals and mutual prosperity. We value accepting responsibility, earning rights, and sharing opportunities. We value our reputation as a measure of our integrity; we aspire to be industry leaders. We value our role as responsible corporate citizens, being a part of the society, not just the economy.
Peter Vigue, President and CEO of Cianbro, believes that people are the company's most valuable resource, and that as an employee owned company, safety and health should be a priority in every work activity. Management's commitment to establishing an injury-free workplace starts at the top and involves every team member. In order to maintain a successful safety program, all managers must feel personally responsible for, and be held accountable for, the health and well being of our team members. In fact, the company has set a "zero injury" goal that all managers and supervisors are expected to adopt and live by. Along with providing the leadership and vision, management also provides the resources to ensure a successful program. Over 50 safety related training courses are offered to team members to give them the knowledge necessary for successful safety performance.
Cianbro applies the same philosophy to team member health as it does to safety. Taking a page out of its successful safety program, Cianbro is working with team members to eliminate at-risk health behavior. Exercising, eating right, losing and controlling weight, being tobacco free, lowering blood pressure and cholesterol, managing stress and diseases is the order of the day at Cianbro. With its "Behavior-Based" Healthy Lifestyle Program, Cianbro gives team members (and their dependents) ongoing access to personal health coaches and a 15% discount off their medical plan cost.
Challenges To The Organization
Cianbro has many strengths. On the people front – expertise, flexibility, leadership, integrity, depth, experience, culture, skills, attitude, approach, safety, innovation, creativity, entrepreneurial, compassion, caring, and efficient.
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Other assets include our relationships with customers, financial institutions, vendors, subcontractors, policy makers and our business strengths in reputation, diversification, risk management, buying power, and as an open shop.
That being said, we still face many challenges. We face the economic challenges that all companies face. We must maintain and grow our market share, particularly in the Mid-Atlantic and Southern New England regions where we are less known. We must cultivate new and existing relationships, solve customer problems and be the contractor of choice. Many customers only make a few sizable capital investments in construction to need a contractor like Cianbro. We work ourselves out of a job each time we complete a project. Therefore, we must always be bidding new work and looking for new opportunities. We must continue to be diversified in order to provide growth for the company as well as career growth for team members within the company. As an employee owned company, it is extremely important to be profitable to retain team member equity in their retirement plan.
Another big challenge we face is retaining our culture as time passes. Our culture is grounded in our roots from our founders, the Cianchette brothers. We are committed to keeping the values they instilled in us while growing the company and remaining open shop and merit based. In the past we have faced challenges from Union organizers. Our philosophy has always been to pay and treat people well. Our challenge is to create an environment where team members feel they have a voice in the company, that their actions matter and that they can make a difference.
Health care costs remain a challenge for us as a company and to our team members. Health care is 11% of our burden rate, the single largest benefit cost, far exceeding retirement benefits. We ask ourselves how we can stay in business and continue to see these costs grow at the rate they have been over the last few years. Many companies will not be able to stay in business and continue to provide health care for their employees unless things change.
Present Approach To Corporate Health
The Genesis Of Our Wellness Program
The importance of safety and health at Cianbro is best represented and championed by Pete Vigue, President and CEO. In the 80's, he started a push to create a culture focused on the safety and health of our team members. Cianbro's innovative and creative safety program, including the behavioral safety program, CAPP (Cianbro Accident Prevention Program), began because Pete became convinced that it was the right thing to do. Cianbro's commitment to safety became number one and "safety first" became its mind set.
We face immediate challenges as our work force ages. 27% of our workforce will retire in the next five to ten years. Succession planning is key.
In 1988 we implemented a pre-placement physical and a drug test for all new hires. We partnered with Dr. Larry Catlett, who notified each applicant, in writing, the results of their physical and included notes about their non-work related health issues. We became part of a process that encouraged employees to take better care of their health. When the Americans with Disabilities Act took effect, we took pains to identify work modifications, which allowed us to employ applicants with their restrictions and not ask them to do any work they weren't physically capable of performing. Our incident rates and worker's compensation costs began to decline while our medical costs increased.
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In the early 90's, Pete visited the Cooper Clinic for physical problems. Through this experience, he learned to deal with his illness through diet, exercise and healthy living. Frustrated with managed care, the rising cost of medical coverage and the ravages of preventable disease, Pete brought this concept of healthy living to Cianbro. The same culture change Pete brought about with safety, carried over into wellness. Driven by a strong belief of doing the right thing for team members and the "health" of the company, Pete empowered the human resources team to create a wellness program. Improving team member's quality of life and reducing at-risk health behavior was the company's answer to address increasing health issues and high medical premium costs. We can't focus on a claims based system but rather a claims prevention program. We must focus on preventing lifestyle behavior illnesses and mitigating the effect of other illnesses.
How Long The Program Has Been In Place
Our Wellness Program grew naturally as a result of initiatives that began in the 90's such as 24-hour coverage for team members and coordinating like coverage and processes across our benefits program. Pete then directed the human resources team to create a formal Wellness Program. At this stage, the program included enhancing the medical plan to include coverage for well care, physicals, immunizations, birth control, and other preventive services, creating like systems and coordinating disability benefits between work related and non work related, relating the safety at work experience to safety at home, a seat belt program, and a tobacco-free program in offices, trailers and vehicles and a wellness newsletter.
In 1997, with the help of our medical director, Dr. Larry Catlett, we started a six-month pilot program. Participants were asked to complete a short Health Risk Appraisal (HRA), work on identified controllable at-risk behaviors and periodically meet with a nurse health coach. Outcomes indicated that one-on-one health coaching encounters could significantly reduce at-risk health behaviors and physical measurements across the studied population (see pilot results below). Cultural supports of
Wellness Pilot Results (77 Participants)
| | Initial Risk Status | Final Risk Status (after 6 months) |
|---|---|---|
| High | 8 | 0 |
| Medium | 45 | 19 |
| Low | 24 | 47 |
wellness such as newsletters, wellness points, lunch and learns and online wellness information set the stage for the interventions to come. In 1998, the pilot program went company wide as a purely telephonic program with no incentives and existed with only a small enrollment through 2000. In 2001, we implemented a revamped program based on a one-on-one interventions and an incentive for participation tied to our medical plan called the Healthy LifeStyle Program (HLP).
Wellness Vision And Mission Statements
Vision: To be the Healthiest Company in America.
Mission: To continuously provide and promote programs throughout Cianbro that encourage, educate, and support team members and their dependents to make healthy, mental, physical and financial lifestyle choices on a daily basis.
Wellness And Strategic Priorities Of The Organization
As early as 1993, Cianbro's strategic plans have involved employee health. Our objectives were to eliminate atrisk behavior at work and home, improve quality of life, increase productivity, and reduce medical costs for lifestyle-related accidents and illness.
Pete has directly charged his senior managers to support the efforts of both the Safety and Wellness Programs. In 2001, Cianbro's senior managers pledged their support to wellness and the concept of eliminating at-risk behavior. Leading by example, they have made this commitment by incorporating health and wellness goals into Cianbro's annual strategic plan. Pete is directly involved with the "marketing" of both safety and wellness as corporate cultural values. You can't have a healthy company without healthy employees!
Our current strategic plan for 2005 has an overall goal to "create a wellness culture for our team members and families." Under this goal, specific objectives are set with measures of achieving and targeted dates, and managers are named responsible to make sure the objectives are reached.
The Operating Model And Theoretical Underpinnings Of The Wellness Initiative
Cianbro's operating model for wellness is patterned after our safety program. Our goal in safety is to eliminate at-risk behavior and achieve zero incidents. This goal can easily be applied to wellness by eliminating controllable at-risk health behavior and preventing illness and injury before it happens.
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ABSOLUTE ADVANTAGE
Cianbro is the first construction company to implement a behavior-based safety process throughout its organization. Cianbro's Accident Prevention Process (CAPP) empowers team members to participate in safety improvements by identifying both safe and at-risk behaviors in everyday work. Rather than focusing on compliance or what workers are doing "wrong", observations of team members opens the door to discuss at-risk behaviors and barriers to safe behavior. This leads to problem solving both on the spot and later in committee meetings where data is analyzed and acted on. Cianbro accepts responsibility for establishing and maintaining a safe work environment. "Our team members have the right to go home each day without injury" has been the objective for many years.
Using safety as the foundation of wellness, we understand that caring about our team members doesn't just happen during the workday. We want to send team members home at the end of the day in the same condition in which they came to work. We also want team members to come back to work the next day in the same healthy and safe condition they were in when they went home.
To assure team member's healthy return, Cianbro has adopted a behavior based healthcoaching program that incorporates the techniques of Motivational Interviewing (MI), a proven method of enhancing behavior change. Before proceeding to the development of short and long term goals toward health behavior change, the coach and client must investigate the many issues that may be the underpinnings of the at-risk health behaviors. Our basic assumption is that reduction in at-risk health behavior and consumer education, leads to decreased short and long term health care consumption and thus a decrease in overall health related costs including those noted below.
WELLNESS
AT HOME
SAFETY
AT WORK
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Wellness initiatives are designed and implemented by the corporate human resources department. The human resources department works with SHARE (Safety & Health Awareness Raises Excellence) Committees within the organization. Part of the mission of these committees is to support the utilization of our current Safety Program, Cianbro's Accident Prevention Process (CAPP) and the Wellness on Worksites Program (WOW). The SHARE committees act as a conduit for disseminating health and safety information and are empowered to bring about change.
Health Behaviors Within The Organization
The Wellness Program promotes healthy behaviors through its emphasis on safety and wellness interventions. The oneon-one health coaching intervention assesses team members risk status by using our Health Risk Appraisal (HRA) and recording their physical measurements (height, weight, blood pressure, cholesterol, etc). Our Wellness Tracking Software (WTS) identifies and tracks individual risks such as blood pressure, weight, tobacco use, inactivity, stress and depression, hypertension, cholesterol and nutrition. These behavioral risks are assigned a numbered weight according to potential severity or the impact of the risk and risk mutability. The weight for each risk is added up to give the participant an overall behavioral "risk score". At-risk behaviors include not only those mentioned above, but also frequency of mammograms and PAP smears, prostate evaluations, STD risk, drug and alcohol use, children's activity, nutrition status and BMI.
Currently we are modifying our stress risk identification and intervention strategy including the cultural
adaptations, coaching interventions and external resources to address participant risk. This further integration of a support structure for work-life balance issues will allow us to move beyond the "wall" of resistance these issues present and allow us to address the root causes that are often responsible for the maintenance and practice of atrisk health behaviors.
Cianbro's Most Innovative Approach
Perhaps the most novel part of our approach has been the development of a program that meets the particular needs and conditions of our construction environment. Rather than impose a structured approach from "outside", we created one from the ground up taking into consideration the realities of our business strategy and environment.
The Healthy LifeStyle Program (HLP) is the center of Cianbro's Wellness Program. Using the techniques of Motivational Interviewing (MI), which are designed to provide the participant with an opportunity to examine their at-risk health behavior in an environment free of judgments and standard solutions, we have been able to both enhance motivation toward change and help participants understand the reasons behind their continued health risk practices.
Team members meet with a health educator to complete a Health Risk Appraisal (HRA). Health educators encourage the participant to identify at-risk health behaviors that they feel are important to change. Participants set achievable long term goals and short term benchmarks (alternate behaviors) that are reasonable, attainable and sustainable. Health educators evaluate and enhance the importance of at-risk behavior change and help build the confidence required to reach goals. They provide ongoing counseling at follow-up interviews and track progress over time. The ultimate goal of the intervention is to improve the overall health status of the participants, their quality of life, and productivity at work while reducing the need for, use and cost of health care both in the long and short term. Through their personal health coach, team members are connected to the company's strategic wellness plan as well as their providers' expectations for their health. This has resulted in significant behavior changes and cost reductions, the most recent of which are displayed in the following graph:
Cianbro Behavior Change (1/1/2003 to 3/4/2005)
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Dr. Larry Catlett, Cianbro's medical director, manages the program for Cianbro, with his company Occupational Medical Consulting (OMC). OMC hires and trains health educators that travel throughout the East Coast to Cianbro job sites as required. All records are kept confidential and are only accessed by OMC. Only aggregate risk information is released to Cianbro.
Participation in the program is voluntary and an incentive is offered to encourage participation. When a team member joins the program, his or her spouse must participate to qualify for the incentive. Team members that participate receive a 15 percent credit towards their health care cost in addition to the 65 percent contribution the company makes for team members after 6 months of service.
In 2004, we introduced accountability with rights and responsibilities. It is the participants right to receive a 15 percent discount on their medical plan premium; in exchange, it is their responsibility to make behavior change. Participants are accountable for making progress toward their goals. We are concerned with the honesty with which team members and spouses interact with the health educators. When a health educator says, "Are you still exercising three times a week? Do you still weigh 180?" the tendency is to say yes before we even admit to ourselves that we have not exercised for three weeks and have gained ten pounds. With a program that is tied to a monetary incentive it is easy to get participation, but at what cost? We are committed to the principal of eliminating at-risk behavior. While there are still challenges facing us in our program, the outcome we seek is clear – feeling better physically, avoiding and preventing disease, living longer – it is the right thing to do!
New for 2005, all team members must complete a Health Risk Appraisal with OMC in order to remain eligible for medical benefits. So far, this effort at developing a more representative picture of the company's overall health risk burden has resulted in a 10% participation increase in the Healthy LifeStyle Program. Team members who do not join the program are still required to complete an annual HRA.
While our Healthy LifeStyle Program will help us deal with the cost of heath care, some elements are beyond our control. Changing behavior is very hard work for individuals and maintaining a behavior change for the long term is even more challenging. Currently we have moved a large portion of the coaching process to the telephone. This is as a result of internal pressure from managers who believe the interaction of the health educator with team members during work time is a
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determent to productivity and/or team members need to show more responsibility toward their health by meeting with health educators on their own time. Education and return on investment discussions have softened this position, however, the ability to motivate without face to face interaction will be severely tested, particularly in new and recalcitrant participants. Less overt is the message this send our team that perhaps we are less committed to this effort because we are no longer allowing interviews to take place during work hours. As a result, health educators are available for extended hours during the week and OMC has partnered with a Spanish translator to communicate with participants who prefer to speak in Spanish. Although these obstacles may make it harder for participants to meet their requirements, our commitment to wellness still stands.
Making Strategic Health Decisions
OMC's Wellness Tracking System (WTS), developed jointly by OMC and Cianbro and currently undergoing a revision update by OMC, is the primary source of program data used in the evaluation and planning for strategic health decisions. WTS stores all participant risks and risk scores (cost and behavior) and tracks change in atrisk health behaviors and population/individual scores over time. Currently we are integrating actual average costs incurred by individuals within the low, medium and high "cost" risk categories. We will track changes over time of both overall costs, levels of costs within risk categories and the change in costs associated with population increase/decrease within the risk categories. Disability and claims data as well as new data on absenteeism will be incorporated into WTS and examined in like manner.
Cianbro also uses various sources of external data. We utilize CDC and like organizations for data on general health risk and disease, and national medical trend data published by Mercer and other groups. Our company information provided by Cigna, our third party administrator, provides us with information on our annual claim costs and how we compare to other businesses. Cianbro's medical plan is self insured and tracks the expected team member costs annually, the actual team member annual cost and annual changes in that cost, and then benchmarks our changes against national trend.
Addressing At-risk Populations
Cianbro has designed its Healthy LifeStyle Program to address at-risk populations with incentives to participate, environmental and cultural supports within the company
and accountability within the program for progress toward change over time. Motivational interviewing is used to inform and educate the participant about their at-risk behavior and its consequences, but allows them to set their own agenda to make change. Once that agenda is set, the health educator's job is to enhance the importance and confidence of their chosen health behavior changes and assist the individual in setting realistic, sustainable goals toward those changes.
Frequency of intervention and follow-up, educational material, positive reinforcement, comprehensive health care, and Cianbro's environment and incentives keep wellness in front of participants. Providing free tobacco replacement therapy to team members and spouses give participants that additional support to make positive change.
Cianbro also supports the efforts of team members and their families, to get and stay healthy through the medical plan design. All lab, x-ray, and diagnostic testing are covered in or out of network at 100 percent with no deductibles or co-pays. All prevention related tests like mammograms, colonoscopies, PSA, physical exams, immunizations, flu shots, etc. are covered at 100 percent or with a small co-pay. The medical plan even provides coverage for hearing aids. In 2005, Cianbro added coverage for visits to the doctor regarding weight management even if there were no underlying medical diagnosis. Our goal is to support the behavior we are trying to encourage.
Keeping Low Risk Populations At Low Risk
It is clear both from our own experience and other studies that it is imperative to maintain and increase the low risk population. Participants that maintain a low risk status throughout their lives incur markedly less health related costs across a variety of benefit categories including health care, disability and worker's compensation. Productivity is substantially enhanced as well. A low risk participant that moves to a higher risk status and back may incur substantially high health costs over time than one who remains at a low risk status.
The Healthy LifeStyle Program (HLP) is designed to reward participants who are doing "the right thing." Cianbro rewards all participants in the HLP equally with a 15% health care premium reduction regardless of risk level as long as they maintain progress toward their stated health care goals. Over two hundred participants in the program have low or no risks. For those individuals, we emphasize maintaining their healthy lifestyle or identify behaviors they will maintain to keep their low risk status over time.
Ensuring The Functionality Of Wellness Initiatives In The Future
Incorporating "sustainability" into a wellness program is essential and must begin in the initial stages of planning. Occupational Medical Consulting (OMC) has developed a Health Readiness Appraisal to be administered, much like the participant's Health Risk Appraisal, prior to program startup and at intervals throughout the program's delivery. This tool is designed to first educate regarding the importance of and then evaluate company progress toward the cultural adaptations required to support, sustain and grow the wellness effort over time.
Both success and sustainability are directly tied to management buy-in and modeling of the wellness program. Cianbro's support begins with its CEO, a vocal and adamant supporter at work and on the road of both the rationale and day-to-day activities of wellness. Pete advises that "our continued focus on improving our individual lifestyle behaviors will improve our health and the long term quality of our lives. At a time when many other businesses are reducing or eliminating their employee's healthcare benefits, I cannot overstate the importance of your active participation in Cianbro's Wellness Program." Through his leadership, Cianbro has completed one of the most important steps in assuring sustainability of any workplace program by making wellness a major part of the company's strategic business plan. In fact, the first of the seven pillars of the company's long range strategic plan is "Health and Safety." This pillar is supported by an implementation plan and management is assigned accountability for its success. Within this framework, human resources has been instructed to create a five year Strategic Health and Safety Plan.
Cianbro became 100 percent employee owned at the end of 2004 and as such has tied employee behavior to the financial success of the company. We can't have a healthy company without healthy employees. We have encouraged our "owners" to think like owners and make healthy decisions, financially and behaviorally, for their company. Part of this transition included Fidelity Investments, our pension provider, who assisted Cianbro in a marketing effort which included team member meetings at all project locations. The importance of wellness, financial and physical health to Cianbro as a company and to each individual was stressed as part of this presentation.
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Another aspect critical to sustainability is the establishment of Wellness Teams to serve as two-way communication links between those who structure and deliver the program and the program recipients. Membership should be representative of all levels within the company. The Wellness Teams should be influential in the formulation of company wide health goals. Inclusion in the content development and program direction is essential for employee buy-in. Cianbro achieves this through its SHARE committees. The SHARE committees act as a conduit for disseminating health and safety information and are empowered to bring about change.
both employees and spouses. Cianbro was the first in the nation to request the direct purchase of NRT products from Glaxo-Smith- Kline who now offers products at a discount to employers across the country. Actions like these are critical to assure sustainability.
Producing new and supportive ways to reach optimum health also helps the wellness initiative move forward. Cianbro has committed to a unique measure in its Tobacco Free Status initiated in 2003 by providing NRT (Nicotine Replacement Therapy) coupled with behavior change support through the Healthy Lifestyle Program to
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Finally, Cianbro has implemented the mandatory completion of a Health Risk Appraisal (HRA) for all team members and their spouses covered by Cianbro's medical plan but not enrolled in the Healthy LifeStyle Program. This ensures that all team members and spouses enrolled in the medical plan understand their health risks and the behaviors that could put them in jeopardy in the years to come. The Healthy LifeStyle Program is completely voluntary but HRA's must be completed on an annual basis with a health coach. They will review risks and help the participant who does not enroll in the HLP, plan for improvement over the coming year.
Outcomes
The Impact Of Health Promotion Programs On Health Risks
86% of team members and spouses enrolled in Cianbro's medical plan participate in the Healthy LifeStyle Program (HLP). The smoking rate in the HLP population is a sustained 5%. The overall HLP population smoking rate at program introduction exceeded 38%.
Tobacco Use
Inactivity, defined as failing to participate in at least 30 minutes of aerobic exercise most days per week, has seen a substantial reduction in incidence as evidenced by the graph to the left. Note that this decrease has occurred on the background of previous decreases. Currently the risk incidence of inactivity in HLP participants is 6%. By contrast, 86% of the Maine population is felt to be at risk for inactivity.
Inactivity
Significant risk reductions have been noted in other categories including those depicted in the following graphs: elevated total cholesterol, pre-hypertension, stress and the seriously overweight.
High Cholesterol
Pre-Hypertension
Stress
Seriously Overweight
ABSOLUTE ADVANTAGE
Currently our Wellness Tracking Software (WTS) is being modified to include the Health Risk Appraisal (HRA) only category and we will be able to compare risk incidence in this group to that in HLP. We will also have a nearly exact estimate of risk incidence in the overall population as subscription rates to the medical plan are high.
the prescription drug copays. Plus, we've actually been able to increase plan benefits at a time when other companies are reducing them. For example, for plan year 2005, we have added coverage for weight management at the doctor's office without any underlying disease diagnosis.
Wellness Efforts And Financial Outcomes
In 2000 and 2001, Cianbro experienced average increases in annual healthcare costs per employee of 21%. We knew that if this trend continued, our healthcare costs per employee would double by 2005. We implemented the Healthy LifeStyle Program (HLP) in 2001. Today our total healthcare costs, (which include claims, administration fees, reinsurance, and the cost of all our wellness programs) while still trending upward, are increasing at an average annual rate of about 9-10% as compared to the national average of 9-13%. Unlike most other employers who have sharply raised deductibles and copayments, we have only made minor cost shifts to our team members, most particularly with a small increase in
In-depth wellness interventions have been shown to return from $3-8 dollars in health, productivity, worker's compensation, absenteeism and disability after approximately 5 years. The graph on page 18 assumes that Cianbro's health care costs had continued to increase at 14% annually (maroon portion). The dark blue bar represents the total cost of the medical plan in years 2001 to 2004 and projected 2005 costs. The light blue bar represents the total cost of wellness including the Healthy LifeStyle Program, other " in-house" wellness initiatives and the 10% (2002) and 15% premium reductions (2003 to date) to its participants. ROI is expressed annually in terms of savings on projected costs (at the fixed rate of 14%) / total wellness costs indicating a $2.51 ROI in 2005 on health care costs. Future ROI's will be calculated to reflect other benefit cost savings as well.
Cianbro % Increase Medical In Costs Per Employee (Actual vs. National)
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Cianbro Wellness ROI Actual vs. Project Medical Plan Costs
Advancing The Business Objectives
The ways in which our wellness initiative has advanced our company's business objectives are huge. As a company we seek to differentiate ourselves from our competitors in the eyes of our clients, customers and current and prospective team members. While we have long been a leader in safety, now we are recognized as a leader in wellness also. Our clients and customers are contacting us to learn how they can become tobacco free, deal with high medical costs, and implement a wellness program. At a time when many other businesses are reducing or eliminating their employee health care benefits, our efforts and concern about wellness allow us to understand the value of a quality and comprehensive health care program for our team members. Our continued focus on improving our individual lifestyle behaviors supports our Company value system as an employee-owned company. It is important for us, as owners of Cianbro, to remember that we have a responsibility to work safely and to ensure our personal wellness and well being knowing that it takes healthy people to operate a healthy company.
Stressing personal accountability in at-risk behavior choices doesn't stop at the end of the workday. Team members have a lot of influence on how well our company performs. In turn, the company's performance determines our share of the profits. We need to take ownership of our actions and look for ways to positively influence the actions of others. Every day we have opportunities to do that:
When we watch out for each other, our work gets done safely. w
When we stay healthy and fit, we are more productive and that helps us complete our projects on time. w
By participating in decisions about how our work areas operate, we help our team be more efficient. w
By keeping our skills up to date, we can increase the quality of the work we do. w
Bottom line, if we want to share the rewards of ownership we need to take responsibility and act like owners. That includes taking responsibility for our health care and lifestyle choices.
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Lessons Learned
Since Cianbro began its first Wellness efforts in the early 90's, many changes and improvements have been made to our Wellness Program. Among the most important lessons learned along the way include the importance of management buy-in and commitment, staying the course with continuous improvement, creating a supportive work environment, the importance of meaningful incentives, and communication, communication, communication! The essence of a Wellness Program involves change and these important lessons learned show how dynamic the process is. You can never assume you are finished with Wellness.
Senior Management Buy-in And Commitment
Achieving top senior management buy-in was easy at Cianbro since we had the unwavering support and vision of our President and CEO, Pete Vigue. Although this was essential to the program's success, initially this vision did not trickle down to other senior and mid-level managers. It became apparent that we needed to "sell" wellness to the other managers and secure their commitment to support wellness at our multiple worksites. Presentations needed to be made to all management levels about why wellness is important and how it affects our bottom line and the quality of life for our team member's. Once buy-in came from management, then the commitment to support wellness and the cultural changes required for sustainability followed. Securing management buyin is not a one time thing, but a continuous process. Management needs to receive periodic but frequent feedback on the program's health and financial goals and how progress is being made on each.
Staying The Course With Continuous Improvement
Along with commitment from management comes the determination to stay the course. When wellness was first introduced at Cianbro, the team member's perception was that it was just another fad that would quietly go away. Staying the course involved creating meaningful objectives, implementing and updating many aspects of the program, collecting and using data to evaluate outcomes and communicating results to all team members. Although the Wellness Program changed considerably from our first pilot project to our present program, it has not gone away but has become stronger, more meaningful and is delivering results! At any point we could have become discouraged, but persistence is necessary for the success of any program. If one approach doesn't work, try another.
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Creating A Supportive Work Environment
Creating a work environment that is supportive of wellness has proven to be quite a challenge at Cianbro. We are a large construction company with many job sites and predominately male blue-collar workers. These workers can be on a job site for a few months to a few days, working 10-12 hour shifts, 4-7 days per week. Many of our team members travel 1-2 hours each way to work or they may live in a hotel many miles from home. This makes it difficult to join a gym or even have home cooked meals. It is a hard environment to encourage daily exercise, eating right, and stress reduction. Creating a work environment that is supportive of wellness is crucial to helping team members overcome barriers to good health. For example, if there are no healthy foods to choose from in the vending machines, then it is impossible to make a good choice. Creating a tobacco-free workplace was another way to create a work environment supportive of wellness. This idea needed a lot of "selling" to management due to the fear of losing valuable team members who use tobacco. We are still working on encouraging flexible work hours, compressed workweeks and reducing work related stress. You must create a health enhancing culture at work since people spend more time at work than at home. A supportive work environment must be paired up with the support of individual efforts during off hours.
Importance Of Meaningful Incentives
For the support of team members, we needed to look at incentives. What incentives are meaningful and appropriate? We started by offering $100 gift certificates for participation in our pilot Wellness Program. We moved on to offering wellness points which could be turned in for gift certificates. Wellness points were earned through various wellness promotions such as participation in walkathons or attending health related lunch and learns. The problem with wellness points was that mostly people who already had healthy behaviors were the ones using the points. It was not a motivating tool for people to change unhealthy behaviors. We moved on to providing a 15% discount on health coverage for participation in our Healthy LifeStyle Program (HLP). This program identifies at-risk behaviors and requires goal setting and effort by the team member and spouse to reduce risks. This incentive has been the most successful. While it rewards those team members who already have healthy behaviors, it also gives incentive to those who need to improve.
Communication, Communication, Communication!
We have a great program, support of our CEO, and our wellness team is all on board with our objectives. Communication occurs through check stuffers, weekly bulletins, and a monthly and quarterly publication. We got some feedback that team members were confused or did not know we had a Wellness Program. No matter how well you think you are doing, don't assume that your efforts at communication are working without careful assessment. We stepped up our efforts to communicate and issued information about wellness in almost every communication sent. Health educators now review the program and its outcomes with all participants at every opportunity. We also asked managers to include health when they discuss safety at the job site. We started to have a member of the wellness team participate on the companywide SHARE (Safety and Health Awareness Raises Excellence) Committee. This committee provides support and direction for safety and health related efforts. It cannot be overstated that communication is the most valuable tool in your wellness efforts. If employees don't know or understand the goals, objectives and details of your overall program, you will not get the results you are looking for.
In Conclusion
These lessons learned can be valuable to any business initiating or currently involved in a worksite wellness program. Our recommendations for others would be:
Sell the program right from the start. Include all levels of management in order to gain commitment. Explain what your wellness program is and why it is imperative to do it. Money talks when you are speaking to managers, so make sure to include the projected increases in the cost of health coverage and how that affects the bottom line. ROI examples are also helpful. w
Stay the course – don't start and stop. Commit to wellness for the long term. While your program will evolve over time, the message about the importance of health, how it affects the individuals and the business, should remain the same. w
Make sure your workplace is supporting a healthy environment. You can't expect employees to "swim upstream" for very long. They need a health enhancing culture at work while receiving ongoing opportunities and support individually. w
Evaluate your health coverage. Does your plan design support the behavior you are trying to encourage? Do you provide first dollar coverage for preventive and diagnostic services, etc.? w
Provide meaningful incentives. Most people need a little nudge in the right direction in the form of an incentive. Make sure your incentives are designed to reach the audience you are targeting. w
Communicate your message. Getting wellness information directly to your targeted audience can be done in a million different ways. Determine who your audience is and how to reach them. The important thing to remember is that you cannot communicate too much. Communication should be viewed as a never-ending process that is vital to your wellness efforts. w
Cianbro has worked at wellness since the early 90's. We continue to evaluate and improve our wellness efforts in order to bring a meaningful, sustainable and successful program to our employee-owners. We know that no one is going to "fix" the healthcare crisis in this country. We need to help our team members and their families take control of their health. We sincerely hope our lessons learned help other companies become successful in their wellness efforts.
Vision For Health In The New Millennium
Protecting Employee Health And Well Being While Advancing Business Objectives
Cianbro is healthier and stronger than ever. We continue to invest in our people and facilities to improve our performance and competitiveness. Moving forward, we will continue to stay on course and focused on our strategic plan. It is important for each of us, as owners of Cianbro, to remember we have a responsibility to work safely and to ensure our personal wellness and well-being knowing that it takes healthy people to operate a healthy company. It is all about improving our people's lives. Today our country – and our company – are at a crossroads with health care. Our choices are two, accept what the current system and society imposes on us, or motivate ourselves to take control of our health. At Cianbro, our team is taking control and our goal is to be one of the healthiest companies in America. – Pete Vigue, President & CEO
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The BHAGS That Drive Cianbro's Efforts
As we move forward into 2005 and beyond, we are putting a 5-year strategic plan (as part of our overall business plan) for wellness in place. First and foremost, is to merge and complete an evolution of our wellness concepts into health and safety concepts, creating a true integration between the workplace and home. We must create a culture that understands what happens in the workplace has an affect on the home and what happens at home affects the workplace. Long hours, travel, stress from the uncertainty of future work, being away from home, all these work factors create stress at home. At home, stress about marital and child situations, financial worries, substance abuse, depression, and health problems can play into the workplace and create risk of injury, absenteeism, presenteeism and productivity issues.
Our 5-year strategic plan is broken into two areas: Early Detection and Disease Management, and Health Risk Cost Management.
Early Detection and Disease Management: Through 2005-2006, we will implement an important quality tool as part of our medical program for the following 14 procedures/conditions:
Angioplasty ➤
Cardiac Catheterization ➤
Coronary Artery Bypass Grafting ➤
Heart Valve Replacement ➤
Colon Surgery ➤
Laparoscopic Gall Bladder Removal ➤
Radical Prostatectomy ➤
Total Abdominal Hysterectomy ➤
Total Mastectomy ➤
Disc Surgery ➤
Spinal Fusion ➤
Total Hip Replacement ➤
Total Knee Replacement ➤
Chronic Obstructive Pulmonary Disease ➤
This quality tool will help medical participants make informed decisions regarding where they receive their health care. Cianbro in partnership with Cigna, our third party medical coverage administer, and in tandem with Cigna's predictive modeling tool which assigns a risk level to participants based on current claims and diagnosis, will provide a toll free number for participants who are contemplating or scheduled for surgery for one of the above conditions. A Cigna case manger will then direct participants to the medical facility closest to them that is
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designated as a "Center of Excellence" in quality and cost. If this facility is outside their commutable geographical region, say 100 miles, we will offer an incentive to the participant if they elect to travel to the "Center of Excellence" for their procedure.
Further to address Cianbro's greatest area of work related and non-work related incidents and risk, the company will again partner with Cigna to implement two disease management programs: diabetes and musculoskeletal. A further analytical study will exist on worker's compensation and nonwork related disability claims to target specific musculoskeletal preventable categories. During the same time frame, the company will implement a custom designed ergonomics program supported by the Healthy LifeStyle Program (HLP).
Additionally, in the HLP, we will be adding a customized "recommended screening" report for the individual participant to take to their physician that lists the recommended diagnostic tests to be performed beyond the level of simple health promotion recommendations based on their age, gender, etc. We will include a form to be completed by the physician or the participant with the results of those screenings which will be entered into the participant's health record in the Wellness Tracking Software (WTS). At the end of each year, participants will receive an "Annual Health Summary" of their progress in the program.
Health Risk Cost Management: Our goal in this area, is to adopt a program based on the wellness wheel that can be delivered as a training program to the job sites. This enhancement is in the early design stages. Through the HLP we will identify core cost and risk drivers in areas of life satisfaction, health perception, stress, etc. Our wellness wheel may look something like this:
Another part of this goal is to increase our Employee Assistance Program (EAP) utilization with the logic that if team members and families are getting help for their life stress, health risk will go down and EAP usage up.
We have also computed our average risk score for all participants in the HLP and will be setting a goal to reduce that annually by some increment. At the beginning of 2005, we implemented two new programs: a mandatory HRA for all team members and spouses enrolled in medical but not in HLP, and a company wide attendance tracking system. 2005 will become our base line year for both programs.
Resources Allocated To Systematically Accomplish The Proposed Objectives
Through the initiative of creating a true integration between health (wellness) and safety in the workplace and at home, Cianbro will bring the entire resources of the Company forward to accomplish our goals. By talking about wellness every time we talk about safety, entrusting the responsibility for wellness as well as safety to our front line managers, weaving the wellness elements into existing safety programs, we intend to permeate the organization with the health and safety culture. By having our five year plan, company goals and objectives, tied to the company's overall strategic plan, we are forcing ourselves to look ahead and plan each year's programs, create the budgets and allocate the personnel who can execute the plan.
Achieved Outcomes And Declaring Victory In Worksite Wellness
2005 and 2006 will become base line years for many measurements, such as the programs described in the BHAGS.
Through the Healthy LifeStyle Program (HLP), we are tracking our changes in lifestyle risk from year to year. The outcome we expect is to reduce identified risk incrementally each year as we have done since the program inception in 2001. w
By requiring an annual HRA of everyone enrolled in medical coverage, we will be able to benchmark our risk against our population of those in the HLP and those who are not. We expect the outcome of requiring an HRA to increase participation in the HLP. In 2005 enrollment went from 70% of those on the medical plan to 86%. We also expect to raise the level of health awareness of those who complete the HRA but do not join the HLP. w
In the quality area, we will be able to look at the effect of directing participants to quality centers of excellence, and measure our incidents and claims relating to diabetes and musculoskeletal. The expected outcome multiple, we will increase the awareness of the effect of quality care upon the outcome of the surgical procedure, and decrease the severity factor of diabetes and musculoskeletal disease or incident. w
After establishing our base line year in 2005 for attendance tracking, we will extract those absences related to illness and track forward. We will then set goals for reducing all absences but with a focus on wellness for medically related absences. w
We will continue to benchmark our medical increases against trend and look for continuous improvement. Our desired outcome will be to keep our increases below national trend. w
Cianbro % Change In Costs Per Team Member
Our vision is to create a wellness culture. We will never declare "victory" because we are on a continuous learning path and each question that we answer and each goal that we accomplish simply leads us to the next one. While there is no overall victory, we do have many winners. Every day that we stay healthy as a company, as team members, as families, means that we are all winners. Every day we can offer our employee owners affordable quality health care, a healthy and safe environment, steady employment and a good paycheck…we all win.
All information © Wellness Councils of America (WELCOA) 2006. WELCOA provides worksite wellness products, services, and information to thousands of organizations nationwide. For more information visit www.welcoa.org.
Suggested Citation: Cianbro. (2006). WELCOA's Absolute Advantage Magazine.
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BTAIJ, 8(11), 2013 [1539-1547]
The relational model of athlete ' s physical fitness indicators and jump performance
Lei Wang
Department of Physical Education, Dalian Polytechnic University, Dalian 116034, (CHINA)
E-mail: firstname.lastname@example.org
ABSTRACT
In this paper, through fitting, logistic model (retardant growth model), multiple linear regression models, nonlinear regression models, it conducts analysis and prediction on high jump using computer software, obtains the corresponding function, and according to the function predicts the achievements for the next Olympic. Study found that due to human body function and other factors, the men ' s ultimate achievement will reach 2.4024 m, and women will reach 2.1173 m. We establish the scatter diagram of the domestic elite male athlete ' s various physical fitness indicators and high jump performance, and finds that it does not meet the linear relationship. Thus we use nonlinear regression models to analyze the domestic men jumper ' s physical fitness, wherein we also use the stepwise regression model. From the stepwise regression figure, we can clearly see correlation between the high jump scores and the run-up reaching height is very strong, while the correlation with other factors is weak. 2013 Trade Science Inc. - INDIA
INTRODUCTION
With the development of science and technology and the continuous improvement of competitive sports standard, the applied research of " Mathematical Model " in the sports field is more widely. Through the establishment of mathematical model, precision analysis can provide a scientific basis for trainings athletes. Many high-level sports teams are quite visionary, through the collection and analysis on athletes ' physical, technical, psychological and athletic ability level indicators, training methods, training load, training volume and other information, for supporting training and decision-making, and it is highly effective.
This article blends the computer technology and mathematical modeling ideas into physical training, quantizes more data to analyze the advantages and disadvantages of athletes to help them carry out a more rational and more targeted sports training.
ANALYSIS AND MODELING TO SOLVE PROBLEMS
Performance prediction model
Retardant growth model assumes
We assume that the athlete ' s jump performance growth rate r is a linear decreasing function of jump
KEYWORDS
Logistic model; Simulation; Nonlinear multiple regression; Jump performance.
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original score x , that is, with the increasing of the high jump performance, the high jump performance growth rate will gradually decline:
Athlete ' s high performance athletes will eventually reach saturation, and tends to a constant m x , when m x x the growth rate is of 0:
From the above equation we can obtain:
We have solution of formula (5):
Symbol definition and description
r , The growth rate of athletes ' jump performance
Substituting the above formula (3) into equation exponential growth model, and using the initial conditions x0 ) 0 (t x we can obtain:
x , The original score of jump
m x , Limitation of jump performance
Modeling and solving
TABLE 1 : The champion scores of men ' s and women ' s high jump in each session of Olympic Games
The prediction model of men ' s performance
1.68 ) 14 ( x formula (8) can be obtained:
Using the initial conditions 1.98 ) 14 ( x formula (6) can be obtained:
We have solution of formula (7):
Similarly, for women, using the initial conditions
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We have solution of formula (9):
solution : 2.4024 1 m , 20934 .0 1 r 2.1173 2 m x , 0.15309 2 r . We can predict the
We can use the existing data fitting and obtain the x ;
champion scores for male and female high jump in the31 Olympic Games in Rio de Janeiro respectively are 2.3845,2.0707.
Figure 1 below shows a growth curve of championship results for both genders:
The important factor affecting men ' s high jump performance
The important factor affecting international men ' s high jump performance
(1)Stepwise regression
According to the data given in TABLE 2, we analyze and obtain the relevance of physical fitness indica-
Random number generation method: Firstly, use the rand function to generate a set of 0-1 evenly distributed random number R, and to generate a uniform random number in the (N, M), Y = N + R * (MN), to produce.
The use of random numbers generation method:
TABLE 2 : Various quality indicators of the top 15 international male high jumpers
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tors affecting high jump scores and high jump performance. Draw scatter diagrams 2-9 of Xi (i = 1, 2, 3, 8) and Y, and determine the linear correlation of X and Y. From Figure 2-9 we know that X1, X8, namely the scores of road run 30m, 100m run have no correlation with jump scores Y, at least the relevance is not strong as other factors with the high jump score; so when fitting the regression equation the scores of road run 30m, 100m run will not be considered. The following is the scatter diagram and residual analysis diagram of the top 15 international men ' s physical fitness indicators and high jump scores.
We obtain the regression equation (10): y^=0.38+0.19999*x2 (10)
(2)Generate random numbers for model checking
The calculation of high jumper ' physical indicators are consistent with uniform random distribution, and we can use a random number generation method to detect the multiple regression equation that we get.
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Figure 4 : The relevance of run-up reaching height and high
jump score
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Figure 10 : Residual analysis diagram (Note: Black line points can be considered as outliers)
bring it to our regression equation and use MATLAB software to get a group of athlete ' s sports performance shown in TABLE 4 below:
The important factor affecting domestic men ' s high jump performance
Use MATLAB drawing tools to draw the X-Y scatter plots 11-17 of various physical indicators affecting athletes ' sports performance and athletes ' jump performance. It can be intuitively concluded from the Figure: there is no obvious linear correlation between high jump performance and jumper ' s physical fitness indicators. Thus we cannot take advantage of the linear regression equation to give prediction models.
Figure 9 : The relevance of100m run and high jump scor
The scatter plot of various physical indicators af-
TABLE 3 : The comparison of original data and predicted data
TABLE 4 : The high jump results obtained by using the method of generating random numbers
fecting athletes high jump performance:
' (2) We use the stepwise regression function in MATLAB software and come to the same result; Fig- ure 13 shows that in the various physical fitness factors affecting the athlete ' s high jump performance only X3 namely run-up reaching height has a linear correlation
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TABLE 5 : The various quality indicators of domestic male high jumpers
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with the high jump results. So for the domestic men ' s high jump results, we can use nonlinear regression methods to predict.
Nonlinear regression equation: (1) Non-linear regression is one function fitting prediction method adopted when the linear correlation of more independent variables affecting dependent variable and the dependent variable is not strong. We can use the MATLAB built-in functions to give predictions. (2) Regression may use one of the following two commands: the order to determine regression coeffi-
TABLE 6 : The predicted model generated by nonlinear regression model
cients: [betra, r, j] = nlinfit (X, Y, ' model ' , betr0) wherein the input data X, Y are [n, m] matrix and the n-dimensional column vector; betr0 is the initial value of the regression coefficients. Betra is the estimated regression coefficient, r (residual), J is the required data to estimate the prediction error. nonlinear regression command: nlintool (X, Y, ' model ' , beta0, aplha). The prediction results generated by nonlinear regression models are shown in TABLE 6.
formance is shown in Figure 19. Stepwise regression chart:
The parameters are as defined above, alpha is the significance level, the default value is 0.05. Command produces an interactive screen; the picture has the fitted curve and the confidence intervals of Y, as shown in Figure 18. For some nonlinear regression into we can also linear regression to predict; the comparison of domestic men ' s prediction performance and the real per-
Figure 18 : The stepwise regression chart of the domestic men ' s quality indicators and high jump performance
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CONCLUSIONS
In this paper, through scatter diagram and multivariate linear model analysis, international men ' s various quality indicators are mainly related with triple long jump, run-up reaching height (clear height), run-up 4-6 steps high jump, backward throwing shot, barbell deep squats and barbell half squat coefficient. Domestic men ' s various quality indicators are greatly related with the run-up reaching height, while the correlation with the high jump, standing long jump, standing vertical jump, squat deep barbell, standing barbell, 100m run, 30m run are relatively not obvious.
But this situation does not always happen in real life. Though athletes attended high jump are world class athletes, the limit values of the physical indicators affecting high jump achievement can hardly be reflected to one person. When selecting new athletes, we still need to see a variety of physical indicators.
According to the analysis, the physical indicators affecting jumpers also has limits in theory. We can use the logistic retardant growth model to predict the various quality indicators, predict the limits of various quality indexes, substitute the resulting limit values into the regression equation, and obtain the jumper ' s high jump limit value. We simply call this method as the multidimensional logistic retardant growth model. Due to space issues, this article doesn ' t write the specific model, but gives this prediction method, which is indeed effective.
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REFERENCES
[1] Bing Zhang,Hui Yue; Bio-mechanical Mathematical Model Analysis for Race Walking Technique. International Journal of Applied Mathematics and Statistics, 40(14), 469-476 (2013).
[3] Bing Zhang; Dynamics Mathematical Model and Prediction of Long Jump Athletes in Olympics. International Journal of Applied Mathematics and Statistics, 44(14), 422-430 (2013).
[2] Bing Zhang,Yan Feng; The Special Quality Evaluation of the Triple Jump and the Differential Equation Model of Long Jump Mechanics Based on Gray Correlation Analysis. International Journal of Applied Mathematics and Statistics, 40(10), 136-143 (2013).
[4] Cai Cui; Application of Mathematical Model for Simulation of 100-Meter Race. International Journal of Applied Mathematics and Statistics, 42(12), 309-316 (2013).
[6] Hongwei Yang; Evaluation Model of Physical Fitness of Young Tennis Athletes Based On AHPTOPSIS Comprehensive Evaluation. Int. J. Appl. Math. Stat., 39(9), 188-195 (2013).
[5] Haibin Wang, Shuye Yang; An Analysis of Hurdle Performance Prediction Based On Mechanical Analysis and Gray Prediction Model. International Journal of Applied Mathematics and Statistics, 39(9), 243-250 (2013).
[7] Klaus, Bartonietz and Jochen; Wetter. Analysis of the International Situation in the Women ' s Pole Vault.IAAf, 12,15-21 (1997).
[9] Shen Kun-yuan; Application of curved bar theory in practice. Mechanics in Engineering, 6, 2-8 (1993).
[8] Nicholas, P.Linthorne; Mathematical Model of the Takeoff Phase in the Pole Vault. Journal of Applied Biomechanics, 10, 324-334 (1994).
[10] Yi Liu; The Establishment of Hierarchical Model for Basketball Defensive Quality. International Journal of Applied Mathematics and Statistics, 44(14), 245-252 (2013).
[12] Zhang Wu-ji, Wang Fa-cai; Modern Vault Techniques. Journal Of Chehgdu Physical Education Institute, 4, 26-32 (1994).
[11] Yong Fan; Statistical Analysis Based On Gray System Theory Basketball Team Scores Its Technical Indicators Associated. International Journal of Applied Mathematics and Statistics, 44(14), 185-192 (2013).
[13] Zuojun Tan; Fuzzy Data Envelopment Analysis and Neural Network Evaluation Mathematical Applications Model Which Based On Martial Arts Competition. International Journal of Applied Mathematics and Statistics, 44(14), 37-44 (2013).
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Ministry of Science, Technology and Innovation Malaysia
Nuclear Regulatory Newsletter
As AELB celebrates its 25th Anniversary, it can boast of its own Headquarters – a sprawling and modern complex of buildings in Dengkil, Selangor – housing its own National Radiological Emergency Response Centre, which also operates the National Radiological Environmental Monitoring System.
Complete with the necessary systems and infrastructural support, and manned by 165 technical and support staff, these offices are well-equipped to meet customers' needs especially with respect to licensing and enforcement. Furthermore, they enable AELB to effectively regulate and monitor atomic energy activities through comprehensive enforcement of relevant laws and regulations. To date, there are more than 1,000 licensees of AELB.
From a small fledgling organisation which was operated out of rented premises on levels 2, 12 and 13 of Plaza Pekeliling in Kuala Lumpur, AELB has now come into its own. As it celebrates its 25th Anniversary, AELB can boast of its own Headquarters – a sprawling and modern complex of buildings in Dengkil, Selangor – housing its own National Radiological Emergency Response Centre, which also operates the National Radiological Environmental Monitoring System. In addition, AELB has branches in Penang, Johor Bahru, Terengganu and Sarawak.
Amendment of the 25 year old Atomic Energy Licensing Act, 1984 (Act 304) and some of the subsidiary legislation was undertaken to strengthen its effectiveness and to facilitate the acquisition of relevant technology should the Malaysian Government decide to use nuclear energy as an alternative source of energy in future.
Another big step forward in the fight against illegal trafficking of radioactive materials is the setting up of the National Detection System for illicit trafficking of radioactive and nuclear sources. This detection system complements border controls to protect the country's security with respect to radioactive and nuclear material.
Safe, Secured and Safeguarded
Safe, Secured and Safeguarded
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Marking AELB's 25th Anniversary(1985 – 2010)
In addition to using the AELB website to disseminate information to its staff, customers, other government bodies and the general public, AELB has also published its own newsletter – the Nuclear Regulatory – since 2007. Both have become an important channel for explaining various policies, documents, legalities and other aspects of radiation and nuclear technology, and has played a big part in getting the target audience to gain a better understanding of the initiatives of AELB.
On the international scene, AELB has built up a solid reputation for being both active and proactive in its efforts to ensure the safe, secure and peaceful use of nuclear materials and technology. Since 1985, AELB has sent representatives to IAEA conferences and international meetings, and played an active role in regional meetings and initiatives. Malaysia is one of the early signatories of the Nuclear Non-Proliferation Treaty (NPT),
IAEA trainees from countries all over South-east Asia, Asia and the Pacific in collaboration with IAEA.
All these sustained efforts at both the domestic and international levels have served to indicate AELB's competency and Malaysia's commitment to the principles of nuclear safety, security and safeguard, and as a country that is also prepared to
Moving forward, AELB plays a vital role in escalating Malaysia's progress towards a developed nation. AELB will continue to supervise and facilitate Malaysia's adoption of nuclear power for energy generation aligned with national and international requirements.
and AELB has strongly and resolutely upheld those values and commitments till today. In keeping with that philosophy, AELB has participated as a member of Asian Nuclear Safety Network (ANSN) – a network dedicated to serve as a platform for knowledge sharing pertaining to nuclear safety.
Today, officers of AELB participate in inter-agency meetings on matters related to nuclear safety, security and safeguard. AELB has been hosting various IAEA activities, such as regional training courses, workshops and meetings as well as hosting deal competently and effectively with the Nuclear Renaissance. We are ready to stand shoulder-to-shoulder with other agencies and nations with a similarly peaceful initiative, to play our part in upholding the 3S's – Safety, Security and Safeguard – not only in our country and our region, but also internationally.
Moving forward, AELB plays a vital role in escalating Malaysia's progress towards a developed nation. AELB will continue to supervise and facilitate Malaysia's adoption of nuclear power for energy generation aligned with national and international requirements. Together with this push forward, AELB recognises the need to strengthen the nuclear regulatory infrastructure and to convey information to the public with greater transparency in order to avert misunderstanding and dispel any fear related to nuclear technology. AELB looks ahead to becoming on par with other agencies while functioning as an effective, competent and independent Nuclear Regulatory Body that is part of the driving force that will lead the nation to achieve its economic and environmental goals.
Safe, Secured and Safeguarded
Sharing Thoughts on Regulatory Aspects of Nuclear Power Plants
As part of its NPP development programme, Malaysia needs to thoroughly review and evaluate national preparedness and readiness in the areas of regulatory infrastructure for the supervision of commercial nuclear power plants.
To develop Malaysia's own Nuclear Power Plant (NPP), the country must first strengthen the national nuclear regulatory infrastructure and enhance its skills and knowledge in the area of nuclear power. The need for this is spelt by the International Atomic Energy Agency (IAEA) in standards and guidelines related to the development of NPPs for peaceful purposes. The same emphasis was made by foreign experts who visited the country, particularly to the Atomic Energy Licensing Board (AELB) with the aim of fostering co-operation in this field. Some of the experts came from the United States of America, Canada, Korea, Japan, France and others.
During the talks, the visitors and participants learnt that Malaysia has already established a generic nuclear installation regulatory framework through the Atomic Energy Licensing Act 1984 (Act 304), which provides the legal basis for the formation of the Atomic Energy Licensing Board (AELB) as a regulatory body with the authority to supervise and regulate users of nuclear energy as well as to issue subsidiary legislation implementing the Act. Malaysia is also party to a number of key international agreements for nuclear safety, security and safeguards. At the national level, Malaysia has a host of federal and local authority regulations, such as environmental laws and town planning laws that in some way impact the use of nuclear power.
Present during the talks with the foreign experts from the above-mentioned countries were members of the National Working Committee on NPP Regulatory Development (Jawatankuasa Penyelarasan Perundangan Nuklear) comprising of several agencies, such as the Energy Commission, Department of Environment, Ministry of Foreign Affairs, Internal Security Council and others.
As part of its NPP development programme, Malaysia is in the middle of thoroughly reviewing and evaluating national preparedness and readiness in the areas of regulatory infrastructure for the supervision of commercial nuclear power plants. Other areas that need to be addressed for Malaysia's entry into safe nuclear power use are key international safety, security and safeguard agreements on nuclear power, and bilateral agreements with supplier nations. Another equally important aspect that is being emphasised is the development of the competency of regulatory bodies in safety and security assessment including safeguards whereby this responsibility is implemented so as to ensure that the safety of the public, the workers and the environment is always assured. This is an important factor in efforts to carry out nuclear power programme in which the rights and interests of the three entities will not be sidelined.
Safe, Secured and Safeguarded 3
Working Visit to France
In another development, towards successful preparation of nuclear regulatory infrastructure for a nuclear power plant, one of AELB's initiatives is to acquire knowledge from the experience of developed countries that already have NPPs. In this effort AELB's representatives visited France (from March 7–14, 2010). AELB's participation was part of the Malaysian delegation to France led by the Secretary General of the Ministry
Brain Gain Malaysia Programme On Capacity Building for NPP
Honorable Excellency Prof. Dr. KunMo Chung (second from left) in dialogue with relevant national authorities involved in the regulatory aspects of Nuclear Power Plant.
Honorable Excellency Prof. Dr. KunMo Chung from Kepco International Nuclear Graduate School (K-INGS), Korea, visited Malaysia on May 29 to June 5, 2010 and November 1 to 4, 2010 under the Brain Gain Malaysia (BGM) programme which involved a project on Capacity Building for Nuclear Power Development Programme in Malaysia including Regulatory Aspects.
This BGM programme is part of the Government's initiative to develop the country's capacity in nuclear power development programme in line with international standards and practices.
The programme was fully maximized with a talk, meeting and forum in various area including the role of Higher Education and Research in Nuclear power, public awareness, regulatory aspects and human resource development.
Safe, Secured and Safeguarded of Energy, Green Technology and Water (KeTTHA), Dato' Dr. Halim Man. Dato' Dr. Halim led the delegation for a one-week visit to France during which the delegates' discussions were focused on how to finance a nuclear programme, training issues, framework for development of nuclear energy, the medium- and long-term outlook for nuclear power as well as the process flow for implementing a successful nuclear power programme.
As part of the visit, the one-week programme allowed the Malaysian delegation to take part in the "International Conference on Access to Civil Nuclear Energy" organised by the Organisation for Economic Co-operation and Development (OECD) as well as make a working visit to EdF Nuclear Power Plant (Tricastin), COGEMA EURODIF Nuclear Fuel Enrichment Plant (AREVA), COGEMA Nuclear Fuel Reprocessing Plant La Hague, Cotentin Peninsula and ANDRA Low Level Waste Management Facility Manche.
Discussions on the framework for Malaysia-France co-operation were also held with France Atomic Energy Commission (CEA), Institute of Radiation Protection and Nuclear Safety (IRSN), France Nuclear International Agency (AFNI) and Société française d'exportation des ressources éducatives (SFERE).
IRSN visit to AELB
On December 21, 2010, Prof. Dr. Vincent Koundy from the French Institute for Radiological Protection and Nuclear Safety (IRSN) visited AELB as a follow-up to the scientific visit by the Malaysian Delegation to France in early 2010. IRSN is the sole independent Technical Support Organisation (TSO) for
French authorities in the area of nuclear safety. To date, IRSN is manned by 1,800 personnel. There are 58 NPP's in operation and each NPP is supervised by almost 40 personnel from various fields of expertise. During his visit, Dr. Koundy shared IRSN experience, roles and responsibilities with regard to French practices in controlling and supervising atomic and nuclear
The French practice may be used as a model to further strengthen Malaysia's current practices and strategies.
energy and its related activities. The French practice may be used as a model to further strengthen Malaysia's current practices and strategies, in particular for the establishment of Regulatory Technical Support Organisation and related expert committees in preparation for the country's impending nuclear power programme.
AELB's Co-operation with United States' Agencies
AELB's recent co-operation with two leading American nuclear energy agencies – the National Nuclear Security Administration (NNSA) of the United States and the United States Nuclear Regulatory Commission (USNRC) – has further strengthened bilateral nuclear energy co-operation between Malaysia and the United States.
Two representatives from the USNRC, Vice President of Advanced Systems Technology and Management (AdSTM), Mr. Sergey Katsenelenbogen and NRC Programme Manager, Mr. Jack Ramsey, visited AELB on September 9, 2010 as part of an agreement to assist Malaysia's emerging nuclear regulatory programme.
The USNRC International Regulatory Development Partnership (IRDP), in their efforts to establish and maintain an effective nuclear safety and security regulatory authority, provides assistance to countries considering or expanding nuclear power programmes.
Director General of AELB, YM Raja Dato' Abdul Aziz Raja Adnan, Directors and officers from each division within AELB and representatives from Tenaga Nasional Berhad (TNB) also attended the meeting.
The meeting addressed the need for AELB to properly plan and develop its human resource capability by taking into consideration other fields apart from related scientific fields, such as engineering and legal.
In another development, the first meeting between AELB and the NNSA of the United States under their bilateral co-operation was held on March 26, 2010.
The bilateral co-operation was formalised through the signing of the Letter of Intent (LOI) on March 25, 2009 at the AELB Headquarters. The Assistant Deputy Administrator of the Office of Nonproliferation and International Security, Mr. Mark Whitney and the Director General of AELB, Raja Dato' Abdul Aziz bin Raja Adnan signed the LOI on behalf of their respective organisations.
AELB and NNSA have identified several key areas in which they will work closely together, such as Legislation and Regulation for Nuclear Energy, Implementation of the State System of Accounting and Control (SSAC), Implementation of the Additional Protocol, Radiation Protection, Radioactive Waste Management and Environmental Radiological Surveillance. AELB as the nuclear regulatory authority in Malaysia will ensure that atomic activity in Malaysia is safe, secured and safeguarded.
Nuclear Science Research Collaboration between AELB and UKM
The exchange of information and co-operation in academic research in nuclear science received a boost with the signing of a Memorandum of Understanding (MoU) between AELB and Universiti Kebangsaan Malaysia (UKM). Signed on March 5, 2010 at UKM Chancellery Meeting Room, the MoU will provide a platform to develop sustainable, competent human resources in the field of nuclear science. This is in line with the recent announcement by the Government pertaining to the consideration of utilising nuclear energy and technology to generate energy.
Being accredited as one of five research universities in Malaysia, UKM has long been identified as a reliable source of erudite scholars. It is also the only university in Malaysia that offers a Nuclear Science Programme. The research collaboration with the university in this field of study is essential in efforts to achieve the mission and vision of AELB as well as provide the assurance to the people of Malaysia that the utilisation of atomic energy in Malaysia will be safe, secured and safeguarded.
The Director General of AELB, Raja Dato' Abdul Aziz bin Raja Adnan signed the MoU on behalf of AELB, while UKM was represented by its Vice Chancellor, Y. Bhg. Prof. Tan Sri Dato' Dr. Sharifah Hapsah bt. Syed Hasan Shahabudin. The signing of the MoU was witnessed by the Chairman of AELB, Prof. Emeritus Dato' Dr. Noramly bin Muslim and UKM Registrar, Mr. Abdul Aziz Othman.
Safe, Secured and Safeguarded 5
Comprehensive Regional Training Course on International Nuclear Law
For the first time ever, AELB hosted the Comprehensive Regional Training Course on International Nuclear Law under the auspices of the International Atomic Energy Agency (IAEA). Held at the AELB Headquarters from March 8 to 19, 2010, the course was organised in collaboration with IAEA and the Ministry of Science, Technology and Innovation (MOSTI). Seventy participants comprising the IAEA Asia Region State Members and various other agencies in Malaysia attended the course.
Participants from the various countries during the course.
Among the participants were 35 international participants from Afghanistan, Bahrain, China, Cambodia, The Philippines, Iran, Iraq, Jordan, Kuwait, Lebanon, Mongolia, Myanmar, Nepal, Oman, Palestine, Pakistan, Qatar, Saudi Arabia, Singapore, Sri Lanka, Syria, Thailand, United Arab Emirates, Vietnam and Yemen. Local participants came from the Attorney General's Chamber, MOSTI, Ministry of Energy, Green
Technology and Water (KeTTHA), Malaysian Nuclear Agency, Energy Commission, Universiti Kebangsaan Malaysia, Tenaga Nasional and AELB. The course, officiated by AELB Chairman, Prof. Emeritus Dato' Dr. Noramly bin Muslim, also saw the participation of international experts in various fields of nuclear law, such as Ms. Laura Rockwood from IAEA, Prof. Alec Bher, Prof Dr. Quentin Michel, Dr. Walter Gehr, Mr. Gerardus J. Dicke and Mr. Sebastian Reitsma. They were led by the founding father of the Nuclear Law School of the University of Montpellier, Dr. Patrick Reyners and assisted by Dr. Odette Jankowitsch.
The course was held with the following objectives: to provide a forum focusing on issues of concern to nuclear law and regulations; to share knowledge on legal issues related to the peaceful utilisation of nuclear energy under the special aspects of the protection of man and his environment; and to help promote the exchange of information on legislation governing the peaceful use of nuclear energy.
Essential topics on international nuclear law were comprehensively covered during the course, including the origins and uniqueness of nuclear law, nuclear safety and prevention and management of nuclear accident, protection against ionising radiation, transport of nuclear materials and fuel, preventing the proliferation of nuclear weapons, physical protection of nuclear materials and installation and management of spent fuel and radioactive waste.
Participants took an active part during the course and benefited the most from the case study session where the lecturers and participants engaged in healthy discussions on various issues ranging from Liability and Compensation for Nuclear Damage to International Trade in Nuclear Material and Equipment.
Workshop on Emergency Preparedness and Response for Radiological Assessors and First Responders (AELB/ANSTO)
Three experts in Radiological Emergency, Preparedness and Response from the Australian Nuclear Research and Development Organisation (ANSTRO), Australia were invited by the Atomic Energy Licensing Board (AELB) to conduct the Workshop on Emergency Preparedness and Response for Radiological Assessors and First Responders. Twenty-four officers from AELB, Malaysia Nuclear Agency, Malaysian Royal Police Department, Fire Brigade Department and Malaysian Royal Army attended the workshop, which was held from February 8 to 12, 2010.
emergency response to the First Responders and Radiological Assessors, and to provide guidance on preparing and presenting radiological emergency response training and practical exercises.
Practical sessions held during the workshop covered the areas of source search, transportation accident involving sealed and unsealed sources and field deployment exercise.
The goal of the workshop was to provide knowledge and skills on the fundamentals of radiation and nuclear
Safe, Secured and Safeguarded
The ASIAN Nuclear Safety Network (ANSN) Topical Group Meeting on Safety Analysis (SATG) was held from August 16 to 20, 2010 at AELB in Dengkil, Selangor.
Representatives of ANSN participating countries, including the Philippines, Indonesia, Japan, Malaysia, China, Korea, Thailand and Vietnam attended the meeting, which was jointly organised by AELB, Nuclear Malaysia and IAEA. The meeting focused on the topic "Web-based Safety Analysis Competency Building". The establishment of adequate nuclear safety capacity building and infrastructure is important in view of the dynamic change taking place in the global nuclear community particularly in Asia where there is ambitious introduction of new Nuclear Power Plants (NPPs), rapid expansion of existing nuclear power programmes and the wider use of radioactive sources. These require continued and improved international co-operation and co-ordination in nuclear and radiation safety and regimes.
Participants of the IAEA/ANSN Topical Group Meeting on Safety Analysis.
Malaysia hosted ANSN Topical Group Meeting on Safety Analysis
The workshop held during the meeting focused on the accessibility of web-based activities of SATG including Visual System Analyser (ViSA) exercise and online communication through Web-based Seminar (Webinar), which is a useful platform for exchanging ideas and information transmitted over the web. Webinar's key feature is its interactive elements – the ability to give, receive and discuss information. The workshop successfully enhanced the participants' knowledge on safety analysis, design and licensing activities of NPPs, which were crucial to those countries already
having a nuclear power programme and also to countries which plan to embark on such a programme. The workshop also helped enhance the competence of computer codes utilisation besides serving as a forum for the exchange of experiences and for work collaborations, with the support of crosscutting activities, such as Virtual Technical Support Organisation (Virtual TSO), education and training.
Meeting with Humid Tropic Centre of the Department of Irrigation and Drainage
Four AELB officers visited the Humid Tropic Centre (HTC), Department of Irrigation and Drainage (DID) in Kuala Lumpur on March 16, 2010 for a meeting on the development of National Guideline for Site Selection and Evaluation of Nuclear Power Plant. The meeting was held to discuss and learn more about the National Criteria for Probable Maximum Precipitation (PMP) for Design Basis Flood, Hydrology & Coastal Management.
Nuclear Awareness Briefing for PUSPANITA Members
Chaired by the Director of HTC, Dr. Mohamed Roseli, the meeting brought together several staff from various divisions within DID and the AELB's representatives. The meeting discussed the concept of PMP at the national level and the functions of DID as well as the National Hydraulic Research Institute of Malaysia (NAHRIM) in the development of the National Guideline for Site Selection and Evaluation of Nuclear Power Plant.
Nuclear awareness briefing at Emergency Response Centre, AELB.
A Nuclear awareness briefing for PUSPANITA members of the Ministry of Science, Technology and Innovation (MOSTI) branch was held during PUSPANITA's 27th annual general meeting at the AELB auditorium on August 6, 2010.
The briefing was held to increase awareness amongst PUSPANITA members on the preparation of regulatory infrastructure for nuclear power programme and to address any concerns the members might have on safety issues regarding nuclear power.
Safe, Secured and Safeguarded 7
National Action to Secure Nuclear Materials At Borders
In the pursuit to address transnational threats effectively, AELB has taken a comprehensive approach to secure the country's borders. The effort, includes co-operation with international partners, state and local governments and the private sector. Besides investing local resources in the installation of Radiation Portal Monitors (RPM), Malaysia has also signed a Memorandum of Understanding (MoU) with the Government of the United States of America through the Royal Malaysian Customs (RMC) for the installation of RPM at the national border with the technical support provided by AELB and where appropriate, the Nuclear Agency Malaysia. Integrated under the 9th Malaysia Plan, the RPM project involves the establishment of a National Border Monitoring Centre under the auspices of the National Radiological Monitoring Centre in AELB. It is an online monitoring system that enables real data monitoring from AELB of every screened containers at major ports where the RPMs are installed.
The MoU also allows information exchange and creates human resource development and training opportunities integrated under AELB's Nuclear Security Support Centre (NSSC). Local and regional training programmes will be carried out with the co-operation of the USA Megaports Initiatives in line with Malaysia's vision to create a regional nuclear terrorism-proof co-operation network.
Screening activity at the national border to ensure sufficient control over nuclear security.
Establishment of Baseline Radiation Dose on Radiation Workers in Mineral Industry Factories in Malaysia
Malaysia also co-operates bilaterally with other international nuclear regulators, including signing of MoUs and implemented by national regulatory authorities in pursuant of the provisions of the Atomic Energy Licensing Act (Act 304). These MOUs seek to facilitate information exchange and technical co-operation between Malaysia and foreign counterparts as well as ensure sufficient control over nuclear security and further promote the peaceful application of nuclear technology across the national borders.
Atomic Energy Licensing Board (AELB) in cooperation with Malaysia Nuclear Agency have conducted a study to assess radiation doses on radiation workers in Malaysia. The study was made on 32 radiation workers from the various mineral factories in the country.
In addition, the blood of 30 donors was taken as comparative background data. Comparison was made between the results obtained from the mineral factory workers and the disentrik background reading of the donors. This study showed that the disentrik frequency of the mineral factory workers in Malaysia is comparable with the background disentrik frequency, which is 2 per 1,000 sel.
The study also shows that there is no significant radiation dose exposure on these workers. The results from the study will be used to establish the baseline radiation dose.
Copyright Notice: All photos in this newsletter are copyrights of AELB. All the images are not allowed to be used or reproduced in any form or by any means without prior written permission from AELB.
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Safe, Secured and Safeguarded
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|
Word/Phrase
Part of
| P Countries | | | | | |
|---|---|---|---|---|---|
| Argentina | noun | ˌɑː(r)dʒənˈtiːnə | ˌɑrdʒənˈtinə | the second largest country in South America | M There are beautiful things to see in Argentina. |
| Australia | noun | ɒˈstreɪliə | ɔˈstreɪliə | the smallest continent of the world | Kangaroos come from Australia. |
| Brazil | noun | brəˈzɪl | | the largest country in South America | A Sandra really wants to go to Brazil one day. |
| Britain | noun | ˈbrɪt(ə)n | | S the island made up of England, Scotland and Wales | Britain has some beautiful countryside. |
| Canada | noun | ˈkænədə | | the country north of the USA | Canada has many lakes and mountains. |
| Egypt | noun | ˈiːdʒɪpt | ˈidʒɪpt | E a country in the northeast of Africa | The Pyramids are in Egypt. |
| Italy | noun | ˈɪtəli | | a country in the south of Europe | Spaghetti comes from Italy. |
| Japan | noun | dʒəˈpæn | | E an East Asian country made up of islands | Mount Fuji is in Japan. |
| Mexico | noun | ˈmeksɪkəʊ | ˈmeksɪkoʊ | R the country between the USA and Guatemala | Peter is on holiday in Mexico at the moment. |
| Morocco | noun | məˈrɒkəʊ | məˈrɑkoʊ | F a country in the northwest of Africa | The beaches in Morocco are lovely. |
| Spain | noun | speɪn | | a country in the southwest of Europe | We go to Spain on holiday every year. |
| Turkey | noun | ˈtɜː(r)ki | ˈtɜrki | a country in both Europe and Asia | John wants to go to Turkey this summer. |
| Numbers 0–10 | | | | | |
| zero | number | ˈzɪərəʊ | E ˈzɪroʊ | the number 0 | It’s zero degrees outside today. |
| one | number | wʌn | | the number 1 | There is only one sun. |
| two | number | tuː | tu | the number 2 | People walk on two legs. |
| three | number | L θriː | θri | the number 3 | A triangle has three sides. |
| four | number | P fɔː(r) | fɔr | the number 4 | Dogs walk on four legs. |
| five | number | faɪv | | the number 5 | People have five toes on one foot. |
| six | number | M sɪks | | the number 6 | There are six people in my class. |
| seven | number | ˈsev(ə)n | | the number 7 | A week has seven days. |
| eight | A number | eɪt | | the number 8 | My son is eight. |
| nine | number | naɪn | | the number 9 | The test has nine questions. |
| ten | S number | ten | | the number 10 | People have ten toes. |
| Jobs | | | | | |
| E actor | noun | ˈæktə(r) | ˈæktər | someone who performs in plays and films, especially as their job | Ryan Gosling is a famous actor. |
| E architect | noun | ˈɑː(r)kɪˌtekt | ˈɑrkɪˌtekt | someone who designs buildings as a job | The architect who designed our house was very clever. |
Sample sentence There are beautiful things to see in Argentina. Kangaroos come from Australia. Sandra really wants to go
1
RE
Definition speech
IPA (UK)
IPA (USA)
SA
MP
| Word/Phrase | Part of speech | IPA (UK) | IPA (USA) | Definition | Sample sentence |
|---|---|---|---|---|---|
| builder | noun | ˈbɪldə(r) | ˈbɪldər | someone who builds and repairs houses as a job | P The builder who worked on our house worked very hard. |
| chef | noun | ʃef | | someone who cooks food in a restaurant as a job | M We thought the chef cooked delicious food. |
| computer programmer | noun | kəmˈpjuːtə(r) ˈprəʊˌɡræmə(r) | kəmˈpjutər ˈproʊˌɡræmər | someone who makes computer programmes as a job | A We need a computer programmer to design some new software. |
| designer | noun | dɪˈzaɪnə(r) | ˈdɪˈzaɪnər | S someone whose job is to decide how to make things or to decide their shape or appearance | Stella McCartney is a very famous fashion designer. |
| doctor | noun | ˈdɒktə(r) | ˈdɑktər | E someone whose job is to treat people who are ill or injured | When John was ill the doctor helped him get better. |
| engineer | noun | ˌendʒɪˈnɪə(r) | ˌendʒɪˈnɪr | E someone who designs or builds things such as roads, railways, bridges or machines | It took the engineer a long time to design the bridge. |
| footballer | noun | ˈfʊtˌbɔːlə(r) | ˈfʊtˌbɔlər | someone who plays football, especially as their job | Lionel Messi is a famous footballer. |
| manager | noun | ˈmænɪdʒə(r) | ˈmænɪdʒər | R someone whose job is to F organise and control the work of a business or organisation or a part of it | Sarah is a good manager. All her workers like her. |
| musician | noun | mjʊˈzɪʃ(ə)n | mjuˈzɪʃ(ə)n | someone who performs or writes music, especially as their job | John is a musician. He plays the guitar. |
| photographer | noun | fəˈtɒɡrəfə(r) | fəˈtɑɡrəfər | someone who takes photographs, especially as their job | That photographer has a very expensive camera. |
| police officer | noun | pəˈliːs ˈɒfɪsə(r) | E pəˈlis ˈɔfɪsər | someone who is a member of the police | When Anna was lost, she asked a police officer for directions. |
| receptionist | noun | L rɪˈsepʃ(ə)nɪst P | rɪˈsepʃənɪst | someone who works in the reception of a hotel or company helping guests and visitors | The hotel receptionist was very helpful when I lost my key. |
| shop assistant | noun | M ʃɒp əˈsɪst(ə)nt | ʃɑp əˈsɪstənt | someone whose job is to serve people in a shop | The shop assistant helped me find the right size dress. |
Unit 2 Wordlist
Word/Phrase
Part of speech
IPA (UK)
IPA (USA)
Definition
Sample sentence
Nationalities
RE
| Algerian | adjective | ælˈdʒɪəriən | ælˈdʒɪriən | someone or something that is Algerian is from Algeria | M The philosopher Albert Camus was also an Algerian goalkeeper. |
|---|---|---|---|---|---|
| Brazilian | adjective | brəˈzɪliən | | someone or something that is Brazilian is from Brazil | Neymar is a famous Brazilian footballer. |
| Canadian | adjective | kəˈneɪdiən | | someone or something that is Canadian is from Canada | A The Canadian police are called Mounties. |
| Chilean | adjective | ˈtʃɪliən | | S someone or something that is Chilean is from Chile | Chilean wine is very popular these days. |
| Chinese | adjective | ˌtʃaɪˈniːz | ˌtʃaɪˈniz | someone or something that is Chinese is from China | Chinese food is very popular in the UK. |
| Danish | adjective | ˈdeɪnɪʃ | | E someone or something that is Danish is from Denmark | Copenhagen is the Danish capital city. |
| Egyptian | adjective | ɪˈdʒɪpʃ(ə)n | ɪˈdʒɪpʃən | someone or something that is Egyptian is from Egypt | Egyptian culture dates back 5000 years. |
| Icelandic | adjective | aɪsˈlændɪk | | E someone or something that is Icelandic is from Iceland | There are many Icelandic volcanoes. |
| Irish | adjective | ˈaɪrɪʃ | | R someone or something that is Irish is from Ireland | U2 are a famous Irish rock group. |
| Italian | adjective | ɪˈtæliən | | F someone or something that is Italian is from Italy | Italian food like pizza is popular all over the world. |
| Japanese | adjective | ˌdʒæpəˈniːz | ˌdʒæpəˈniz | someone or something that is Japanese is from Japan | Sushi is a popular Japanese food. |
| Lebanese | adjective | ˌlebəˈniːz | ˌlebəˈniz | someone or something that is Lebanese is from Lebanon | I live near a really good Lebanese restaurant. |
| Moroccan | adjective | məˈrɒkən | məˈrɑkən | someone or something that is Moroccan is from Morocco | We bought a beautiful Moroccan rug in Marrakesh. |
| Norwegian | adjective | nɔː(r)ˈwiːdʒ(ə)n | E nɔrˈwidʒən | someone or something that is Norwegian is from Norway | Edvard Grieg was a famous Norwegian composer. |
| Polish | adjective | L ˈpəʊlɪʃ | ˈpoʊlɪʃ | someone or something that is Polish is from Poland | Warsaw is the Polish capital city. |
| Portugese | adjective | P ˌpɔː(r)tʃʊˈɡiːz | ˌpɔrtʃəˈɡiz | someone or something that is Portuguese is from Portugal | Ronaldo is a famous Portuguese footballer. |
| Russian | adjective | M ˈrʌʃ(ə)n | | someone or something that is Russian is from Russia | Tolstoy is a famous Russian writer. |
| Scottish | adjective | ˈskɒtɪʃ | ˈskɑtɪʃ | someone or something that is Scottish is from Scotland | The bagpipes are a traditional Scottish instrument. |
| Spanish | A adjective | ˈspænɪʃ | | someone or something that is Spanish is from Spain | Picasso was a Spanish painter. |
| Swedish | S adjective | ˈswiːdɪʃ | ˈswidɪʃ | someone or something that is Swedish is from Sweden | ABBA were a famous Swedish pop group. |
| Venezuelan | adjective | ˌvenəˈzweɪlən | | someone or something that is Venezuelan is from Venezuela | The Venezuelan capital city is Caracas. |
| E Vietnamese | adjective | viˌetnəˈmiːz | viˌetnəˈmiz | someone or something that is Vietnamese is from Vietnam | Vietnamese food is spicy and delicious. |
| Days of the week | | | | | |
| E Monday | noun | ˈmʌndeɪ | ˈmʌnˌdeɪ | the day after Sunday and before Tuesday | You can start work next Monday. |
| R Tuesday | noun | ˈtjuːzdeɪ | ˈtuzˌdeɪ | the day after Monday and before Wednesday | I play tennis on Tuesday afternoons. |
MP
RE
Part of
| Wednesday | noun | ˈwenzdeɪ | ˈwenzˌdeɪ | the day after Tuesday and before Thusday | P They are arriving on Wednesday. |
|---|---|---|---|---|---|
| Thursday | noun | ˈθɜː(r)zdeɪ | ˈθɜrzˌdeɪ | the day after Wednesday and before Friday | M She usually works from home on Thursday. |
| Friday | noun | ˈfraɪdeɪ | | the day after Thursday and before Saturday | Let’s go swimming on Friday. |
| Saturday | noun | ˈsætə(r)deɪ | ˈsætərˌdeɪ | the day after Friday and before Sunday | A Lots of football teams play on Saturday afternoon. |
| Sunday | noun | ˈsʌndeɪ | ˈsʌnˌdeɪ | S the day after Saturday and before Monday | I like to relax on Sunday. |
| Numbers 11–100 | | | | | |
| eleven | number | ɪˈlev(ə)n | | E the number 11 | There are eleven people in my team. |
| twelve | number | twelv | | the number 12 | There are twelve months in a year. |
| thirteen | number | ˌθɜː(r)ˈtiːn | ˌθɜrˈtin | E the number 13 | My cousin is thirteen. |
| fourteen | number | ˌfɔː(r)ˈtiːn | fɔrˈtin | R the number 14 | We need fourteen chairs. |
| fifteen | number | ˌfɪfˈtiːn | fɪfˈtin | the number 15 | His daughter is fifteen. |
| sixteen | number | ˌsɪksˈtiːn | ˌsɪksˈtin | F the number 16 | I left school when I was sixteen. |
| seventeen | number | ˌsev(ə)nˈtiːn | ˌsev(ə)nˈtin | the number 17 | There are seventeen pages in this test! |
| eighteen | number | ˌeɪˈtiːn | eɪˈtin | the number 18 | You can drive when you’re eighteen. |
| nineteen | number | ˌnaɪnˈtiːn | ˌnaɪnˈtin | the number 19 | I live in flat number nineteen. |
| twenty | number | ˈtwenti | E | the number 20 | I scored twenty points for my homework. |
| twenty-four | number | L ˈtwenti fɔː(r) | ˈtwenti fɔr | the number 24 | There are twenty-four hours in a day. |
| thirty | number | ˈθɜː(r)ti | ˈθɜrti | the number 30 | It only takes thirty seconds. |
| thirty-seven | number | P ˈθɜː(r)ti sev(ə)n | ˈθɜrti ˌsev(ə)n | the number 37 | I take the number thirty-seven bus to work. |
| forty | number | M ˈfɔː(r)ti | ˈfɔrti | the number 40 | The zumba class is forty minutes. |
| forty-six | A number | ˈfɔː(r)ti sɪks | ˈfɔrti sɪks | the number 46 | It’s my birthday tomorrow. I’m going to be forty-six. |
| fifty | S number | ˈfɪfti | | the number 50 | I want to retire when I’m fifty. |
| fifty-one | number | ˈfɪfti wʌn | | the number 51 | My uncle is fifty-one. |
| sixty | number | ˈsɪksti | | the number 60 | There are sixty minutes in an hour. |
| E sixty-five | number | ˈsɪksti faɪv | | the number 65 | I got sixty-five per cent on my test. |
MP
MP
| Word/Phrase | Part of speech | IPA (UK) | IPA (USA) | Definition | Sample sentence |
|---|---|---|---|---|---|
| seventy | number | ˈsev(ə)nti | | the number 70 | P My aunt is seventy. |
| seventy-nine | number | ˈsev(ə)nti naɪn | | the number 79 | M The office is at number seventy-nine West Street. |
| eighty | number | ˈeɪti | | the number 80 | My grandfather is eighty. |
| eighty-three | number | ˈeɪti θriː | ˈeɪti θri | the number 83 | A My grandmother is eighty-three. |
| ninety | number | ˈnaɪnti | | S the number 90 | A football match lasts ninety minutes. |
| ninety-two | number | ˈnaɪnti tuː | ˈnaɪnti tu | the number 92 | I got ninety-two per cent in my exam. I’m so happy. |
|
MARKSCHEME
November 2014
MATHEMATICAL STUDIES
Standard Level
Paper 2
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.
Paper 2 Markscheme Instructions to Examiners
Notes:
If in doubt about these instructions or any other marking issues, contact your team leader for clarification.
1 Abbreviations
M Marks awarded for Method
A Marks awarded for an Answer or for Accuracy
R Marks awarded for clear Reasoning
G Marks awarded for correct solutions obtained from a Graphic Display Calculator, when no working shown.
AG Answer Given in the question and consequently, marks not awarded.
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 a question part is completely correct use the number tick annotations to award full marks. If a part is completely wrong use the A0 annotation, otherwise full annotations must be shown.
(c) Working crossed out by the candidate should not be awarded any marks.
(d) Where candidates have written two solutions to a question, only the first solution should be marked.
(e) If correct working results in a correct answer but then further working is developed, full marks may not always be awarded. Full marks will be awarded if the candidate shows correct working leading to the correct answer. See also section 4(c).
Example: Calculate the gradient of the line passing through the points (5, 3) and (0, 9) .
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| 9−3 (M1) 0−5 Award (M1) for correct substitution in gradient formula 6 = − (A1) 5 | 9−3 6 (i) = − (M1) 0−5 5 6 Gradient is = − (A1) 5 (There is clear understanding of the gradient.) 6 y= − x+9 5 9−3 6 (ii) = − (M1) 0−5 5 6 y= − x+9 (A0) 5 (There is confusion about what is required.) | |
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
| Markscheme | Candidates’ Scripts |
|---|---|
| sinA sin30 (a) = (M1)(A1) 3 4 Award (M1) for substitution in sine rule formula, (A1) for correct substitutions. A =22.0 (22.0243)(A1)(G2) (b) x =7tan (22.0243) (M1) =2.83 (2.83163) (A1)(ft) | |
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 to this 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) cannot be awarded for an answer which is correct when no reason or the wrong reason is given.
(c) In paper 2 candidates are expected to demonstrate their ability to communicate mathematics using appropriate working. Answers which are correct but not supported by adequate working will not always receive full marks, these unsupported answers are designated G in the mark scheme as an alternative to the full marks. Example (M1)(A1)(A1)(G2).
(d) 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.
Example: Using trigonometry to calculate an angle in a triangle.
| Markscheme | Candidates’ Scripts |
|---|---|
| sinA sin30 (a) = (M1)(A1) 3 4 Award (M1) for substitution in sine rule formula, (A1) for correct substitutions. A =22.0 (22.0243) (A1)(G2) | |
Where alternative methods for complete questions are included in the markscheme, they are indicated by 'OR' etc.
(e)
Unless the question specifies otherwise, accept equivalent forms
. For example:
sinθ
θ
cos for
tanθ.
On the markscheme, these equivalent numerical or algebraic forms will sometimes be written in
Where numerical answers are required as the final answer to a part of a question in the markscheme, the scheme will show, in order:
brackets after the required answer.
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.
(f) 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 (eg, complement): ; ; ; ;( c A A A U A A ′ − ;U \ A.
Different forms of logic notation: ¬p; p′; p ; p; ~p.
p q ⇒; p q →; q p ⇐.
Significance level may be written as α .
(g) 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 and 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.
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 fo
| | 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 | Marking |
|---|---|---|
| 9.43 (9.43398) (A1) | (i) 9.43398 is seen followed by 9; 9.4; 9.43; 9.434 etc. (correctly rounded) (A1) (ii) 9.43398 is seen followed by 9.433; 9.44 etc. (incorrectly rounded) (A1) (iii) 9.4 (A1) (iv) 9 (A0) (correct to 1 sf) (v) 9.3 (A0) (incorrectly rounded to 2 sf) (vi) 9.44 (A0) (incorrectly rounded to 3 sf) | |
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| 7.44 (7.43798) (A1) | (i) 7.43798 is seen followed by 7; 7.4; 7.44; 7.438 etc. (correctly rounded) (A1) (ii) 7.43798 is seen followed by 7.437; 7.43 etc. (incorrectly rounded) (A1) (iii) 7.4 (A1) (iv) 7 (A0) (correct to 1 sf) (v) 7.5 (A0) (incorrectly rounded to 2 sf) (vi) 7.43 (A0) (incorrectly rounded to 3 sf) | |
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) 1 (b) case (i) 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) | |
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
Regression line
Maximum/minimum/points of intersection
| Markscheme | Candidates’ Scripts |
|---|---|
| (2.06, 4.49) (A1)(A1) (2.06020, 4.49253) | |
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 (eg, 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).
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 |
|---|---|
| $231.62 (231.6189) (A1) | |
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 mark 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.
Example:
| Markscheme | Candidates’ Scripts | Marking |
|---|---|---|
| (a) 37000 m2 (A1) (b) 3200 m3 (A1) | (a) 36000 m 2 (A0) (Incorrect answer so units not considered) (b) 3200 m 2 (A0) (Incorrect units) | |
If no method is shown and the answer is correct but with incorrect or missing units award G marks with a one mark penalty.
8 Graphic Display Calculators
Candidates will often be obtaining 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.
1. (a)
(A4)
Notes: Award (A1) for correct scales and labels.
Award(A3) for all six points correctly plotted,
(A2) for four or five points correctly plotted,
(A1) for two or three points correctly plotted.
Award at most(A0)(A3) if axes reversed.
Accept tolerance 0.2 ± forT-axis
(b) 0.977(0.977324…)
Notes: Award(G1) for 0.97.
(c) (Very) strong positive correlation
Notes:
Award (A1) for (very) strong, (A1) for positive. Follow through from part (b).
(A1)
(G2)
(ft) (A1) (ft)
[4 marks]
[2 marks]
[2 marks]
(h) (i) 0.45(20) 10 +
Note: Award (M1) for correct substitution of 20 into their formula from part (g).
=19 ( C) °
Note: Follow through from part (g).
(ii) 18.2 ( C) °
(A1)
Note: Award (M1) for substitution in the percentage error formula, (A1) for correct substitution.
4.40 % (4.39560…)
(A1) (ft) (G2)
Notes: Follow through from parts (h)(i) and (h)(ii).
[6 marks]
Total: [21 marks]
(M1)
(A1) (ft) (G2)
Note: Award (A1)(ft) for their three correct products seen, (M1) for addition of their products.
Note: Follow through from their parts (a)(i) and (a)(iii).
Note: Follow through from parts (b)(i) and (b)(ii).
OR
Note: Follow through from parts (a)(i) and (a)(ii).
continued …
[3 marks]
(c) Sonya is not correct.
The probability that Mike escapes is
7
12
greater than
5
12
or greater than 1
2
, which is
.
(A1) (ft)
(R1) (ft)
Notes: Do not award (A1)(R0).
Follow through from their answers to part (b).
Note: Award (A1) for correct numerator, (A1) for correct denominator.
=
, 0.571428..., 57.1428...%
4 12
7 21
(A1)
Note: Follow through from their answer to part (b)(iii).
(ft) (G2)
[3 marks]
Total: [15 marks]
[2 marks]
Note: Award (M1) for equating the formula for area of a semicircle to 39.27, award (A1) for correct substitution of l into the formula for area of a semicircle.
l 5 = (m)
(AG)
Note: Follow through from part (b)(i).
Notes: Award (M1) for correct substitution into Pythagoras' theorem. Follow through from part (b)(ii).
() 4.33 4.3301 m)
(
2) (
h=
…
(A1) (ft) (G2)
[6 marks]
Note: Award (M1) for correct substitution in the volume formula.
Notes: Award (A1) for 6.22πr , (A1) for 2 –2πr . If extra terms present, award at most (A1)(A0).
continued …
[2 marks]
Note: Award (M1) for setting their derivative from part (e) to 0.
r 3.11
= (m)
(A1) (ft) (G2)
Notes: Award (A1) for identifying 3.11 as the answer. Follow through from their answer to part (e).
Note: Award (M1) for correct substitution into the correct volume formula
31.5 (m
3
) (31.4999…)
(A1) (ft) (G2)
Note: Follow through from their answer to part (f)(i).
[4 marks]
Total: [16 marks]
ˆ
8
A B
5
C 5. =
(85.4593…)
(A1)(G2)
OR
ˆ
BCE 180 85.5 94.5
= − =
and
ˆ
DCE 180 94.5 85.5
= − =
(A1)
Notes: Both reasons must be seen for the (A1) to be awarded.
DE = 17.2 (km) (17.1718…).
(A1)(ft)(G2) [5 marks]
(c) 0.5 17.1718... 9 sin (63 ) × × ×
(A1)(ft)(M1)(A1)(ft)
Note:
Award (A1)(ft) for 63 seen, (M1) for substituted triangle area formula, (A1)(ft) for 0.5 17.1718... 9 sin (their angle CDE) × × × .
OR
(triangle height ) 9 sin (63 ) = ×
0.5 17.1718... 9 sin (their angle CDE) × × ×
Note:
Award (A1)(ft) for 63 seen, (A1)(ft) for correct triangle height with their angle CDE, (M1) for 0.5 17.1718... 9 sin (their angle CDE) × × × .
= 68.9 km 2 (68.8509...)
(A1)(ft)(G3)
Notes: Units are required for the last (A1)(ft) mark to be awarded. Follow through from parts (b)(i) and (b)(ii). Follow through from their angle CDE within this part of the question.
(A1) (ft) (A1) (ft)
(M1)
[4 marks]
Total: [13 marks]
5. (a)
(b)
6 (m)
(i) 8
(ii) 10
Note: Follow through from part (a).
(c) 2 (m)
Note: Follow through from parts (a) and (b).
(i) 2 24
6 2( 1) 24 3 ( 1)
n
n
× = + −
= + −
OR
Note: Award (M1) for correct substitution in arithmetic sequence formula.
n 22 =
(A1)(G1)
(A1) (ft)
(A1) (ft) (G2)
(A1) (ft)
(M1)
(A1) (ft) (G1)
Note: Follow through from parts (a) and (c).
Note: Award (M1) for substitution in arithmetic series formula, (A1)(ft) for correct substitution.
= 594
Note: Follow through from parts (a) and (d)(i).
(A1) (ft) (G2)
(d)
[1 mark]
[2 marks]
[1 mark]
[5 marks]
Notes: Award (M1) for substitution in arithmetic series formula, (A1) for their correct substituted formula equated to 940. Follow through from parts (a) and (c).
Notes: Award (M1) for substituting their 28 into the arithmetic series formula.
=16 (m)
(A1)(ft)(G2) [2 marks]
Total: [14 marks]
6. (a) (0, 4)
Notes: Accept
(b) (i)
x
(a
0 = ,
4 y=.
, 4)
Notes: Follow through from part (a).
(ii)
Note:
4 a
Follow through from part (b)(i).
(A1)
(A1) (ft)
(A1) (ft)
[1 mark]
[2 marks]
Note: Follow through from part (b)(ii).
Note: Award (M1) for substitution of their gradient from part (c)(i) in the equation.
OR
Note: Award (M1) for substitution of their gradient from part (c)(i) in the equation.
Note: Both the simplified and the not simplified equations must be seen for the final (A1) to be awarded.
Note: Award (M1) for correct equation.
Note: Follow through from part (d)(i).
Note: Award (M1) for correct substitution of their gradient and the coordinates of their point into the equation of a line.
Note: Follow through from parts (b)(i) and (c)(i).
OR
Note: Award (M1) for correct substitution of the coordinates of A(x, 0) into the equation of line AB.
Note: Award (M1) for correct substitution of their 3a from part (d)(ii) into the equation of line AB.
OR
Note: Award (M1) for area of triangle AOB (with their substituted 16 a a + and 4) equated to three times their area of triangle AOB.
Note: Follow through from parts (d)(i) and (d)(ii).
Total: [11 marks]
|
HOW TO PAY FOR SOCIAL SECURITY'S MISSING TRUST FUND?
Alicia H. Munnell, Wenliang Hou, and Geoffrey T. Sanzenbacher
CRR WP 2017-18 December 2017
Center for Retirement Research at Boston College Hovey House 140 Commonwealth Avenue Chestnut Hill, MA 02467
Tel: 617-552-1762 Fax: 617-552-0191
http://crr.bc.edu
All of the authors are with the Center for Retirement Research at Boston College (CRR). Alicia H. Munnell is the Peter F. Drucker Professor of Management Sciences at Boston College's Carroll School of Management and director of the CRR. Wenliang Hou is a senior research advisor. Geoffrey T. Sanzenbacher is associate director of research at the CRR. The research reported herein was performed pursuant to a grant from the U.S. Social Security Administration (SSA) funded as part of the Retirement Research Consortium. The opinions and conclusions expressed are solely those of the authors and do not represent the opinions or policy of SSA, any agency of the federal government, or Boston College. Neither the United States Government nor any agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of the contents of this report. Reference herein to any specific commercial product, process or service by trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply endorsement, recommendation or favoring by the United States Government or any agency thereof. The authors would like to thank Dean Leimer for extremely helpful comments. Any mistakes are their own.
© 2017, Alicia H. Munnell, Wenliang Hou, and Geoffrey T. Sanzenbacher. All rights reserved. Short sections of text, not to exceed two paragraphs, may be quoted without explicit permission provided that full credit, including © notice, is given to the source.
About the Center for Retirement Research
The Center for Retirement Research at Boston College, part of a consortium that includes parallel centers at the University of Michigan and the National Bureau of Economic Research, was established in 1998 through a grant from the Social Security Administration. The Center's mission is to produce first-class research and forge a strong link between the academic community and decision-makers in the public and private sectors around an issue of critical importance to the nation's future. To achieve this mission, the Center sponsors a wide variety of research projects, transmits new findings to a broad audience, trains new scholars, and broadens access to valuable data sources.
Center for Retirement Research at Boston College Hovey House 140 Commonwealth Ave Chestnut Hill, MA 02467
http://crr.bc.edu
Tel: 617-552-1762 Fax: 617-552-0191
Affiliated Institutions: The Brookings Institution Syracuse University Urban Institute
Abstract
Social Security's Trust Fund is projected to run out in 2034. As policymakers consider restoring financial balance to the program, one topic that may be discussed is how to structure any tax increases. Understanding why Social Security requires a higher payroll tax than a funded retirement program for a given level of benefits is a crucial first step in informing this discussion. The current "pay-as-you-go" approach is the result of the policy decision made decades ago to pay benefits far in excess of contributions for early cohorts of workers. By paying benefits in excess of contributions to early cohorts, the nation essentially gave away the Trust Fund that would have accumulated and, importantly, gave away the interest on those contributions. Thus, the payroll tax must cover not only the required contribution but also the missing interest. This paper addresses alternative ways to pay for this Missing Trust Fund, including a comparison of the size of the required changes and their distributional implications.
This paper found that:
* The size of the OASI Missing Trust Fund is $27 trillion dollars.
* The so-called Legacy Debt – i.e., the $29.3 trillion dollar net transfer to pre-1932 birth cohorts – is the driver of this Missing Trust Fund.
* Paying for the missing interest on this Missing Trust Fund could be accomplished with a permanent increase in the capped payroll tax of 3.7 percentage points, in an uncapped payroll tax of 3.0 percentage points, or in the income tax of 2.3 percentage points.
* Accumulating assets to replace the Missing Trust Fund over 75 years requires larger, temporary increases in those taxes of 6.5 percentage points, 5.3 percentage points, and 4.1 percentage points, respectively.
* The burden of a payroll tax increase tends to fall more on households in the middle two income quartiles, whereas the income tax burden falls more on the top quartile.
The policy implications of this paper are:
* The fact that the primary cause of the Missing Trust Fund is the Legacy Debt suggests that increasing the income tax merits consideration, since paying benefits to early program participants benefited all of society.
* While replacing the Missing Trust Fund would ultimately create a fully funded system with a large, interest-generating Trust Fund, such a move raises macroeconomic issues and questions of intergenerational equity.
* Finding the right approach merits society-wide discussion.
Introduction
According to the 2017 Social Security Trustees' Report, Social Security's Trust Fund is projected to run out in 2034. As policymakers consider restoring financial balance to the program, one topic that may be discussed is how to structure any tax increases. Understanding why Social Security requires a higher payroll tax to provide a given level of benefits than a funded program is a crucial first step in informing this discussion. The current "pay-as-you-go" approach is the result of the policy decision made decades ago to pay benefits far in excess of contributions for early cohorts of workers. By paying benefits in excess of total lifetime contributions to early cohorts, the nation essentially gave away the Trust Fund that would have accumulated and, importantly, the interest on those contributions. This paper addresses the size, implications, and ways to pay for this "Missing Trust Fund." Throughout the paper, the discussion is limited to the implications of the Missing Trust Fund on the funding of the Social Security Program itself. This focus means that this particular paper ignores the effect on the real capital stock of having a pay-as-you-go retirement system, and more broadly on the macroeconomy. 1
The discussion proceeds as follows. The first section reviews the literature on the magnitude of the Missing Trust Fund and discusses how it relates to the concept of "Legacy Debt." The second section provides estimates of both the Legacy Debt and the Missing Trust Fund that can be easily updated each time the Social Security Trustees Report comes out. The third section lays out alternative paths forward – namely, either putting Social Security on firm financial footing by increasing taxes permanently but maintaining a balanced pay-as-you-go system or increasing taxes by a higher amount temporarily to get to a fully funded system with lower long-term costs. This section also discusses exactly how taxes could be increased – through increasing the payroll tax rate alone; increasing the payroll tax rate along with eliminating the payroll tax cap; or increasing the income tax. The fourth section explores the distributional and welfare implications of the various approaches. The final section concludes that the distributional impacts and political implications of using the income tax to cover the "missing interest" merit society-wide discussion.
1 For an excellent discussion of these issues and citations to other relevant work, see Leimer (2016).
The Size of the Missing Trust Fund
With the exception of the buildup of reserves in the wake of the 1983 amendments and the imminent depletion of these reserves, Social Security has generally been financed on a payas-you-go basis. This funding method differs sharply from the original 1935 legislation, which set up a plan that bore a much stronger resemblance to a private insurance plan, with the accumulation of a Trust Fund and the close alignment of contributions and benefits for any given cohort. The 1939 amendments, however, fundamentally changed the nature of the program. These amendments tied benefits to average earnings, initially over a minimum period of coverage, and added spousal and survivor benefits that were effectively unfunded, thus breaking the link between lifetime contributions and benefits. These changes meant that in the early stages of the program, payroll tax receipts were used to pay benefits to retirees far in excess of their contributions rather than to build up a Trust Fund. 2
The simplest way to see the implications of Social Security's Missing Trust Fund is to consider the contribution rate required to finance Social Security retirement benefits under a funded retirement plan compared to a pay-as-you-go system (this paper excludes discussion of Disability Insurance). Under a stylized model of a funded retirement system, with the Social Security Trustees' intermediate assumptions on mortality and on the real interest rate (2.7 percent), to achieve a replacement rate of approximately 36 percent (the projected Social Security replacement rate for the average earner once the Full Retirement Age equals age 65), the typical worker would have to contribute about 10.6 percent of earnings. 3 Under a pay-as-you go system with a projected ratio of two workers for each retiree and annual real wage growth of 1.2 percent, a 36-percent replacement rate would require a contribution rate of 14.3 percent. The resulting 3.7-percentage-point (14.3 percent versus 10.6 percent) difference in the required payroll tax in these two stylized models is due to the presence of a Trust Fund that can pay interest in a fully funded system but that is "missing" in the pay-as-you-go system.
This "Missing Trust Fund" exists for two reasons: 1) early cohorts were paid much more than they contributed; and 2) that amount could not be made up by subsequent birth cohorts (and in some cases has been added to). The part of the Missing Trust Fund created specifically by
2 The story of Ida Mae Fuller is an extreme example. Ms. Fuller had worked under Social Security for less than three years when she became the first person to claim monthly benefits. She died at age 100, after receiving benefits for 35 years. She clearly enjoyed an extraordinary rate of return on her contributions to the system. 3 See Appendix A for the calculation used in this estimate.
paying early cohorts more than they contributed is often referred to as the Legacy Debt. As an actuarial concept, Legacy Debt is the difference with interest between a set of birth cohorts' contributions to Social Security and their benefits received. Whether or not the Legacy Debt exists in real terms, i.e., that future generations will have less income or a lower capital stock because of it, is unclear because the transfers to earlier generations could result in extra economic activity that offsets the debt. Leimer (2016) provides a discussion of this issue, but as was discussed above, this current paper is strictly focused on the implications of the Legacy Debt as an actuarial construct on the program's finances.
The size of the Legacy Debt varies based on the birth cohorts used in the calculation – for example, Leimer (2016) estimates a Legacy Debt of $24.4 trillion as of 2014 for birth cohorts born through 1931 and $20.9 trillion for those born through 1949. The lower number through 1949 reflects the fact that cohorts born between 1932 and 1949 are expected to make positive net transfers to the program under current law. Estimates of the Legacy Debt also change with time as the interest that would have accrued on those early cohorts' contributions into the Trust Fund grows. For example, Leimer (2007) found lower Legacy Debt estimates of $13.0 and $11.2 trillion through the 1931 and 1949 birth cohorts respectively as of 2001; and the only difference between his 2007 and 2016 estimates is the accumulated interest. 4
The above discussion highlights the fact that estimates of the Legacy Debt can change as more birth cohorts are added – going up or down depending on that birth cohort's net transfer from the program. The implication is that the Legacy Debt – which reflects a specific notion of paying early recipients more than they contributed – is not identical to the Missing Trust Fund, because later birth cohorts can replace some of that missing fund if they contribute more into the program than they are projected to receive (as did those born between 1932 and 1949), or they can add to the deficit. A concept that reflects these later transactions is the "Closed Group Unfunded Obligation," calculated each year by Social Security's Office of the Chief Actuary. 5
The Closed Group Unfunded Obligation equals the difference between the present value of projected program costs and the present value of projected contributions for all current participants minus the size of the existing Trust Fund. In other words, the Closed Group
4 Other estimates are available in Leimer (1994), Geanakoplos, Mitchell, and Zeldes (1998, 1999, and 2000), and Diamond and Orszag (2005).
5 The most recent estimate from Nickerson and Burkhalter (2017) is $30.8 trillion for the OASDI program. Nickerson and Burkhalter do not provide estimates separately for OASI only.
Unfunded Obligation is calculated in the same way as the Legacy Debt, but simply includes any birth cohort with individuals still under age 116 (the maximum age of life Social Security assumes) and over age 15. 6 The Closed Group Unfunded Obligation is our measure of the Missing Trust Fund, since it reflects the money that would need to be transferred to the Trust Fund to offset the entirety of the Legacy Debt plus (or minus) the amounts for any subsequent birth cohorts where the present value of benefits paid exceeded (or fell short of) that cohort's contributions. 7
Creating an Easily Updated Tool for the Legacy Debt and the Missing Trust Fund
The two components of the Missing Trust Fund – the Legacy Debt and the net transfers by more recent cohorts – can be linked through a "tool" to illustrate the role that the Legacy Debt plays in today's Missing Trust Fund. The output of this tool can be easily updated each time a Social Security Trustee's Report is released and can serve as the basis for a discussion of various approaches for improving Social Security's finances with a clear view of the financial shortfall's origin.
For each birth cohort, the tool requires two values: 1) the net present value of the cohort's contributions to Social Security through the payroll tax; and 2) the net present value of the cohort's Social Security benefits. Social Security provides projections of both contributions and benefits paid, but it does not provide these data by birth cohort. Cohort data could be calculated with individual data on earnings and benefits paid, but that information is difficult to access and thus hard to use to update calculations regularly. Furthermore, even if the actual individual-level data were available, estimates of any Missing Trust Fund will change each year as the projected contributions and benefits of today's participants are updated. Given these difficulties, the
6 In practice, the Closed Group Unfunded Obligation reported by the Social Security Administration also includes Trust Fund components other than contributions and benefits, such as administrative costs, whereas Legacy Debt calculations typically do not. Also, even though cohorts born before 1900 are not explicitly included in the calculation of the Closed Group Unfunded Obligation, their net receipt from the program shows up through the fact that the Trust Fund is smaller than it would be otherwise.
7 The Open Group Unfunded Obligation is a related measure and includes the projected gap between benefits and payments for all future workers as well. Due to increasing life expectancies without a corresponding increase in the Full Retirement Age, this measure is slightly higher than the Closed Group Unfunded Obligation. This paper focuses on the Closed Group to measure the Missing Trust Fund because it seems more appropriate given the backward-looking concept used in this paper.
sections below discuss how these quantities can be calculated from readily-available data and projections.
Net Present Value of Contributions
To calculate the net present value of a birth cohort's contributions, the starting point is Social Security's information on historical data and projections for payroll contributions. 8 The next step is to divide these contributions up among the relevant birth cohorts. This task is accomplished by using data on annual taxable earnings from the Current Population Survey (CPS) and calculating the share of total earnings in the sample due to individuals from each birth cohort. For example, in 1980, taxable payroll contributions to OASI were just over $103 billion. If, in the 1980 CPS, 25-year-olds represented 2 percent of taxable payroll, then the 1955 birth cohort (1980 - 25) would be assigned contributions of $2.1 billion ($103.0 * 0.02). In this way, each birth cohort is assigned its estimated share of total contributions. For future contributions, the share of payroll coming from each age is held constant at the 2016 level with the level of payroll based on Social Security's projections. Figure 1 shows the estimated present value of payroll contributions by birth cohort. 9 Lifetime contributions were low for early program participants before ramping up for birth cohorts that spent the entirety of their working lives contributing.
Net Present Value of Benefits
Calculating the net present value of benefits for a given cohort is slightly more complicated. Once again, the starting point is Social Security's historical data on benefits and its projections. The benefits of any one birth cohort are based on the aggregate difference in benefits paid from one year to the next. 10 If no new cohort entered the program, then the benefits paid would grow (or shrink) based on the original cohorts' cost-of-living adjustments and rate of
8 Historical contributions are available in Table VI.A.1 of the 2016 Social Security Trustees Report, "Operations of the OASI Trust Fund, Calendar Years 1937-2015." Projections on taxable payroll are available from Table IV.B.1 of the 2016 Social Security Trustees Report, "Annual Income Rates, Cost Rates, and Balances, Calendar Years 1990-2090," and Table VI.G6, "Selected Economic Variables, Calendar Years 1970-2090."
10 Historical benefits are available in Table VI.A.1 of the 2016 Social Security Trustees Report, "Operations of the OASI Trust Fund, Calendar Years 1937-2015." Projections on benefits are available from Table IV.B.1 of the 2016 Social Security Trustees Report, "Annual Income Rates, Cost Rates, and Balances, Calendar Years 1990-2090,"
9 Appendix B offers more detail and a discussion of how these estimated contributions compare to those of Leimer (2007), who used individual level historical data combined with Trustees Report projections.
mortality. 11 Any upward departure from this calculated trend would reflect the new benefits being paid to the entering birth cohort. 12 The next year, this process can be repeated for the next entering cohort. This iterative process requires a starting point where the contributions of a given birth cohort are known with certainty. For this starting point, we use the 1901 birth cohort for which Leimer (2007) had individual-level data. Figure 2 shows the estimated present value of benefits received by birth cohort. 13
The Current Size and Composition of the Missing Trust Fund
The discussion above makes clear that the data contained in Figures 1 and 2 can be differenced to calculate the net transfer for any given birth cohort. For example, the 1910 birth cohort made lifetime contributions with a net present value of about $180 billion (in 2016 dollars), but received benefits of about $1,097 billion. The result is a net transfer of about $917 billion dollars.
In turn, these net transfers can be added together to get estimates of the Legacy Debt Component of the Missing Trust Fund or of the Missing Trust Fund in its totality. 14 Figure 3 shows the net transfer (benefits minus contributions) for each birth cohort between 1901 and 2001 (the last birth cohort included in the closed group), as well as the cumulative sum of all of these net transfers. 15 The figure clearly illustrates that early birth cohorts received large positive transfers and that birth cohorts affected most by the 1983 amendments are projected to receive negative net transfers, even under current law. For more recent birth cohorts, it is hard to read too much into the net transfers, since current revenues are inadequate to pay promised benefits over the next 75 years.
The major point is that under current law, although more recent birth cohorts' have tended to have negative or zero net transfers, these alone have not been enough to offset the Legacy Debt. By this paper's estimates, the Legacy Debt through 1931 for the OASI program
11 The current project focuses on Social Security retiree and spousal benefits, and ignores auxiliary benefits to children.
13 Appendix B offers more detail and a comparison to Leimer (2007).
12 In practice, this requires an assumption on claiming, which is assumed to occur at age 65. Because the actuarial adjustment is approximately fair at today's interest rate, this assumption is not critical.
14 Excluding Trust Fund components aside from benefits and contributions, like administrative costs.
15 Birth cohorts prior to 1901 contributed $9.0 trillion of negative, cumulative net transfers.
stands at $29.3 trillion. 16 The net negative transfer experienced by the 1932-2001 birth cohorts under current law was just $2.3 trillion, leading to a Closed Group Unfunded Obligation of $27.0 trillion for the OASI program ($29.3 trillion − 2.3 trillion). In other words, more than the entirety of the Missing Trust Fund is due to the "Legacy Debt." 17 This Missing Trust Fund makes the program more costly than it otherwise would be, as current participants are forced to contribute towards both benefits and the missing interest. How much it would cost to deal with this Missing Trust Fund is the subject of the next section.
Dealing with the Missing Trust Fund
Broadly, two ways exist to deal with Social Security's financial shortfall. The first is simply to replace the missing interest, roughly holding constant the present value of the Missing Trust Fund going forward. To implement this approach, the revenue coming into the program would need to be increased permanently. Under a missing interest approach, future cohorts of participants would receive negative net transfers from the program due to the lack of interest their own contributions accrue. Indeed, some might argue that a negative transfer is fair because of the various forms of insurance Social Security provides (e.g., wage and longevity) and that are not available in other assets people can buy on their own.
An alternative approach would be to increase taxes by a higher amount but only temporarily, until a Trust Fund consistent with a fully funded program is built up. This buildup could be accomplished over a short time horizon with a larger tax increase or over a longer period with a smaller tax increase. In any case, once this Trust Fund is built up, the accrued interest will allow a return to roughly today's level of the payroll tax, which – as discussed earlier – is consistent with a fully funded system given the current level of benefits. Birth cohorts who face the tax increase will receive negative net transfers from the program, but future cohorts will experience a lower cost program due to the existence of a Trust Fund that generates interest on contributions.
16 The 1931 birth cohort was chosen as the last cohort included in the Legacy Debt calculation to be consistent with Leimer (2007), who found that the Legacy Debt of the OASI program hit a maximum at that cohort. In the current paper, the Legacy Debt hits its maximum slightly later.
17 Again, ignoring other Trust Fund components like administrative costs.
Within these two broad approaches, alternative ways exist to actually implement the required tax increases. The most obvious way is simply to increase the payroll tax by the required amount, maintaining the current cap of $127,200 (adjusted annually for wage growth). A second approach is to combine a payroll tax increase with an expansion of the tax base by eliminating the payroll tax cap completely. (The calculations below assume that contributions made over the current cap do not generate benefits.) A third approach is to shift some reliance from the payroll tax to the income tax to reflect the fact that the Missing Trust Fund is a function of the policy decision to pay early beneficiaries more than they contributed. One could argue that these additional costs should not be borne solely by workers, but instead include individuals who earn their income from sources other than labor.
Table 1 shows how large these tax increases would have to be to pay for the missing interest or replace the Missing Trust Fund entirely over a time horizon of 75 to 150 years. The table makes clear that replacing the Missing Trust Fund requires a larger tax increase than does simply paying the missing interest and that expanding the tax base – either by taxing earnings over the cap or by using the income tax requires a smaller rate increase. For example, the required increase in the capped payroll tax is 3.7 percentage points to pay the missing interest indefinitely and 6.5 percentage points to replace the Missing Trust Fund in 75 years, compared to 3.0 and 5.3 percentage points if the cap is eliminated. Expanding the tax base even further and using the income tax lowers these amounts to 2.3 percentage points and 4.1 percentage points respectively. Aside from the level of taxation required, the various approaches would affect individuals across the income distribution differently. The next section turns to this issue.
The Distributional Effect of Dealing with the Missing Trust Fund
To analyze the distributional effect of various policies to deal with the Missing Trust Fund, this paper uses NBER's TaxSim program in conjunction with the Survey of Consumer Finances (SCF). To run the SCF data through the TaxSim program, it is necessary to code 22 variables into the required format. These include standard variables like age, the state of residence, marital status, and the number of dependent children under age 19. The program also requires information on the respondents' and their spouses' income from wages and salary. Several other sources of household income must be included as well, including: dividends, property income, income from pensions, income from Social Security benefits, and income from transfers. Adjustments are allowed for rent paid (which affects property tax rebates), medical
expenses, child care expenses, mortgage interest, and capital gains and losses. Once these variables are appropriately coded, they can be run through the program, which then outputs the individual's income and FICA tax liability. These amounts can then be adjusted to see how different ways of addressing the Missing Trust Fund impact households at different points in the income distribution. For purposes of the analysis, households are divided into four quartiles based on their current income.
Table 2 shows how the incremental taxes paid are distributed by income quartile under the three approaches. The capped payroll tax increase tends to be the most evenly distributed, the uncapped payroll tax next, and the income tax brings in the highest share from the top quartile.
But while the share of taxes paid is uniformly higher for the highest income quartile, the actual burden of the taxes on households' budgets tends to fall more heavily on households further down the economic ladder for the two types of payroll tax increases (see Table 3). 18 The effect of the increases differs considerably across non-workers and households with at least one worker. An increase in the payroll tax falls hardest on the working households in the two middle quartiles because most of their income comes from earnings and all of their earnings falls under the payroll tax cap. For workers in the top quartile, the effect of the payroll tax increase is roughly half as large since much of their income from work lies above the cap and many have sources of income beyond work. For working households in the bottom quartile, the effect of the payroll tax is mitigated because many households in the lowest quartile do not work. The pattern is similar both for paying missing interest and for replacing the Missing Trust Fund, although the burden on household budgets increases proportionately for replacing the Missing Trust Fund.
Expanding the payroll tax by eliminating the cap spreads the burden more equally for working households, with households in all quartiles paying between 2.2 percent and 2.7 percent of their total income in tax for the policy option of paying missing interest only. The highest quartile is the only group to see an increased share of their household income devoted to the tax increase under this policy compared to the alternative of simply raising the capped payroll tax. By comparison, the income tax shifts more of the burden to the highest quartile. Under an increase in the income tax that would pay for the missing interest, the median household
18 The results for other time horizons are similar, but proportionately higher, than the result for 75 years.
(including those households with and without wage and salary workers) in the top quartile would pay about 2.0 percent of their income to the payroll tax, the second quartile 0.9 percent, while the third quartile would pay just 0.3 percent and the median household in the lowest quartile would pay nothing. Again, the results are proportionately higher for tax increases that would replace the Missing Trust Fund but they follow a similar pattern.
Of course, looking at the reduction in household income is only one way to consider the distributional effects of this kind of policy. Another would be to consider the reduction in household utility. In general, because households are risk averse, a loss in income for poor households is worse than a loss of income for rich households. Essentially, risk aversion means household utility functions are non-linear and concave – a movement towards less income costs more in utility terms than the same size movement towards more income adds. This difference is exaggerated at lower incomes. A commonly used utility function that captures the notion of risk aversion is:
Where 𝑐𝑐ℎ indicates a household's consumption and 𝛾𝛾 is the coefficient of relative risk aversion. Basically, the higher 𝛾𝛾, the more extreme is the lost utility relative to the gain for similar-sized reductions or increases in income.
𝑐
Tables 4a and 4b show the reduction in household utility across the three tax increases for the commonly used values of 𝛾𝛾= 2 and 𝛾𝛾= 3 respectively. The results show the disproportionate effect of a payroll tax increase on the middle two quartiles. This disproportionate increase exists regardless of whether 𝛾𝛾 equals 2 or 3 and whether taxes pay for the missing interest or to build up assets. Put simply, a payroll tax increase disproportionately burdens households with at least one worker in the bottom three quartiles, particularly when utility is considered instead of simply income. With an income tax, the effect is moderated greatly for the bottom three quartiles, with the highest quartile paying a larger share of its income than under any of the other tax schemes.
Cohort Effects
The analysis above examined a single point in time and showed that replacing the Missing Trust Fund has a higher impact on household budgets than simply paying for the
missing interest. Two points that relate to the cost of these tax increases over time also merit consideration. Paying the missing interest requires a smaller increase today but that increase lasts forever, while replacing the Missing Trust Fund requires a larger increase today but for a limited period of time. Using the example of a capped payroll tax increase, Figure 4 shows how these two approaches affect the net transfer received by birth cohorts going forward. Paying off the missing interest (see "Interest only" plot) starting today means birth cohorts currently working receive a reduction in their net lifetime transfer related to their remaining time in the workforce (e.g., a 25-year-old gets a bigger reduction than a 55-year-old), with birth cohorts after 2001 having the largest impact because they spend their entire career under the higher payroll tax. 19 On the other hand, replacing the Missing Trust Fund in 75 years has an immediately larger effect on current workers, with the most substantial effect on birth cohorts born between 2002 and 2026 who spend their entire careers in the higher payroll tax regime. The birth cohort born in 2027 would be working in 2091 at age 64, when taxes can be reduced to 10.6 percent, with every birth cohort after that spending an increasingly smaller share of their careers in the higher tax regime. Eventually, future cohorts exist in a "fully funded" system where net contributions and transfers are essentially equal.
Another issue worth considering is the cost of waiting until the Trust Fund runs out in 2034. By 2034, the Missing Trust Fund will be equal to $54.5 trillion dollars, mostly due to the accumulation of interest between now and then, which will require a payroll tax increase of 4.0 percentage points to pay for the missing interest (compared to 3.7 percentage points if enacted today). Figure 4 clearly illustrates that the actual cost of increasing taxes is nuanced – many current cohorts end up paying a reduced amount, but future cohorts have to pay a little bit more. While Tables 2 through 4 show that the type of tax used has different distributional impacts across different income groups today, Figure 4 shows that the timing and the approach of paying for the Missing Trust Fund also has distributional implications across birth cohorts.
Conclusion
This paper shows that the so-called "Missing Trust Fund" is mostly a result of "Legacy Debt" built up during the early years of the Social Security. These origins suggest that – if the
19 The upward trend visible in Figure 4 across all three tax schemes has to do with projected improvements in longevity that are not made up for by an increase in the Full Retirement Age under current law.
goal were to maintain benefits at current-law levels – policymakers might want to consider a variety of ways to structure a revenue increase, ranging from an increase in the payroll tax without an expansion of its base, to a smaller increase in the payroll tax with an expansion of its base, to an increase in the income tax. Taxing the society more widely – through an income tax increase – could make sense given that society as a whole benefitted from having a generation of people receive benefits who did not fully contribute to the system. Any of these taxes could be raised permanently by a moderate amount, effectively paying the missing interest from the Missing Trust Fund, or by a larger amount, ultimately replacing the Missing Trust Fund before returning taxes to their current level.
The distributional effect of each policy is clear. Increasing the payroll tax tends to place a disproportionate burden on middle class working households, whether that burden is measured by reduced household income or by reduced utility. Getting rid of the payroll tax cap distributes some of that burden onto the top quartile, but the effect on middle class workers is still fairly substantial. Increasing the income tax, on the other hand, places more of the burden on the top quartile. The distributional impacts of replacing the Missing Trust Fund versus simply paying for its interest also raise the question of intergenerational equity – burdening today's workers for a lower cost program tomorrow.
But although the distributional effect of each policy is clear, deciding on the "right" approach is well outside the scope of this paper. Instead, the point of this paper is simply to make clear which types of tax increases and approaches are available and what the distributional effects could be.
References
Diamond, Peter A. and Peter R. Orszag. 2005. "Saving Social Security." Journal of Economic Perspectives 19(2): 11-32.
Feenberg, Daniel and Elisabeth Coutts. "TaxSim." Cambridge, MA: National Bureau of Economic Research."
Geanakoplos, John, Olivia S. Mitchell, and Stephen P. Zeldes. 1998. "Would a Privatized Social Security System Really Pay a Higher Rate of Return?" In Framing the Social Security Debate, edited by R. Douglas Arnold, Michael J. Graetz, and Alicia H. Munnell, 137156. Washington, DC: Brookings Institution Press.
__________. 1999. "Social Security Money's Worth." In Prospects for Social Security Reform, edited by Olivia S. Mitchell, Robert J. Myers, and Howard Young, 79-151. Philadelphia, PA: University of Pennsylvania Press.
__________. 2000. "Would a Privatized Social Security System Really Pay a Higher Rate of Return." Working Paper 6713. Cambridge, MA: National Bureau of Economic Research.
Leimer, Dean R. 1994. "Cohort-Specific Measures of Lifetime Net Social Security Transfers." ORS Working Paper Series 59. Washington, DC: U.S. Social Security Administration, Office of Research and Statistics.
__________. 2007. "Cohort-Specific Measures of Lifetime Social Security Taxes and Benefits." ORES Working Paper Series 110. Washington, DC: U.S. Social Security Administration, Office of Research, Evaluation, and Statistics.
__________. 2016. "The Legacy Debt Associated with Past Social Security Transfers." Social Security Bulletin 76(3): 1-15.
Nickerson, Daniel and Kyle Burkhalter. 2017. "Unfunded Obligation and Transition Costs for the OASDI Program." Actuarial Note 2017.1. Baltimore, MD: U.S. Social Security Administration, Office of the Chief Actuary.
U.S. Board of Governors of the Federal Reserve System. Survey of Consumer Finances, 2013. Washington, DC.
U.S. Social Security Administration. 2000-2017. The Annual Reports of the Board of Trustees of the Federal Old-Age and Survivors Insurance and Federal Disability Insurance Trust Funds. Washington, DC: U.S. Government Printing Office.
Sources: 2017 Social Security Trustees Report; and authors' calculations.
Sources: 2017 Social Security Trustee' Report; and authors' calculations.
Figure 3. Net Transfer and Cumulative Net Transfer under Current Law by Birth Cohort, 2016 Dollars
$1,200b
$35,000b
19011911192119311941195119611971198119912001
Note: "Cumulative net transfer" includes $9.0 trillion to pre-1901 birth cohorts. Sources: 2017 Social Security Trustees Report; and authors' calculations.
Figure 4. Net Transfer under Current Law and Alternative Revenue Scenarios by Birth Cohort, 2016 Dollars
$1,200b
1901 1919 1937 1955 1973 1991 2009 2027 2045 2063 2081 2099
Birth cohort
Sources: 2017 Social Security Trustees Report; and authors' calculations using the Survey of Consumer Finances (SCF), 2013 and Feenberg and Coutts ("TaxSim").
Table 1. Required Percentage-Point Increases in Taxes to Finance Missing Trust Fund
Sources: 2017 Social Security Trustees Report; and authors' calculations.
Table 2. Share of Tax Increases Paid, by Income Quartile under Policy Alternatives
Sources: 2017 Social Security Trustees Report; and authors' calculations using the 2013 SCF and Feenberg and Coutts ("TaxSim").
Table 3. Share of Household Income Used to Pay Tax Increases, by Income Quartile
Sources: 2017 Social Security Trustees Report; and authors' calculations using the 2013 SCF and Feenberg and Coutts ("TaxSim").
Table 4a. Median Reduction in Utility for Tax Increases, by Income Quartile (
𝜸𝜸 = 𝟐𝟐)
Sources: 2017 Social Security Trustees Report; and authors' calculations using the 2013 SCF and Feenberg and Coutts ("TaxSim").
Table 4b. Median Reduction in Utility for Tax Increases, by Income Quartile ( 𝜸 = 𝟑
𝜸
)
Sources: 2017 Social Security Trustees Report; and authors' calculations using the 2013 SCF and Feenberg and Coutts ("TaxSim").
Appendix A. Contributions Required in Fully Funded System
Table A1. Income, Contributions, and Total Assets for Median Worker Contributing 10.6 Percent of Assets to Funded System
Note: Assumes interest rate of 2.7 percent. Earnings profile based on Social Security's Scaled Earnings Profile. Source: Authors' calculations.
Average income: $48,625
Income from assets at 4.5 percent annuity: $17,490
Replacement rate at age 65: 36.0%
Appendix B. Comparing Results from Approximation to Leimer (2007)
One of the primary goals of the calibration method described in the body of this paper is to update estimates of the Missing Trust Fund to reflect the situation today. But the estimates obtained from that method are just that, estimates. Showing that the estimation method presented above results in numbers that closely fit those in Leimer (2007) – which are based on actual data and then projections – would build confidence in the method. To make this comparison, we use the actual numbers reported in Leimer (2007) and put the numbers presented in Figures 1 and 2 into 2001 dollars and 2001 present value to be consistent with the time period used in Leimer (2007). Figures B1 and B2 show the results of this comparison and reveal stark differences. The difference is small for earlier years, but becomes larger for birth cohorts that either had not begun making payments into the program when Leimer's data ended (roughly the 1980 birth cohort) or had not begun receiving payments (roughly the 1940 birth cohort).
This result suggests the issue may simply be in the projections used in the two approaches – Leimer (2007) used projections from the 2000 Social Security Trustees Report, and we use projections from the 2016 Social Security Trustees Report. Indeed, Figure B3 suggests this is likely the case, as after 2000, both the long-run forecasted payroll contributions Social Security was anticipating as well as the benefits it assumed it would have to pay out dropped significantly. If the 2000 Social Security Trustees Report numbers are used and our methodology applied, the Leimer (2007) estimates and our estimates come into line, as is shown in Figures B4 and B5.
In short, the approximation method used seems to reflect fairly well what one would get using actual data.
Sources: 2017 Social Security Trustees Report; Leimer (2007); and authors' calculations.
Figure B2. Present Value of Benefits by Birth Cohort, 2001 Dollars
$800b
Sources: 201 7 Social Security Trustees Report ; Leimer (2007); and authors’ calculations.
Source: 2000-2017 Social Security Trustees Reports.
Sources: 2000 Social Security Trustees Report; Leimer (2007); and authors' calculations.
Figure B5. Present Value of Benefits by Birth Cohort, 2001 Dollars
$800b
Sources: 2000 Social Security Trustees Report; Leimer (2007); and authors' calculations.
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Dementia, Help with Financial Management, and Well-Being
Anek Belbase and Geoffrey T. Sanzenbacher, September 2017
The Behavioral and Consumption Effects of Social Security Changes
Wenliang Hou and Geoffrey T. Sanzenbacher, September 2017
Family Transfers With Retirement-Aged Adults in the United States: Kin Availability, Wealth Differentials, Geographic Proximity, Gender, and Racial Disparities
Ashton M. Verdery, Jonathan Daw, Colin Campbell, and Rachel Margolis, August 2017
Guardianship and the Representative Payee Program
Anek Belbase and Geoffrey T. Sanzenbacher, August 2017
The Relative Effects of Economic and Non-Economic Factors on Taxpayers' Preferences Between Front-Loaded and Back-Loaded Retirement Savings Plans
Andrew D. Cuccia, Marcus M. Doxey, and Shane R. Stinson, July 2017
Social Security and Total Replacement Rates in Disability and Retirement
Mashfiqur R. Khan, Matthew S. Rutledge, and Geoffrey T. Sanzenbacher, May 2017
All working papers are available on the Center for Retirement Research website (http://crr.bc.edu) and can be requested by e-mail (firstname.lastname@example.org) or phone (617-552-1762).
|
Director:
Rex Parker
Assistant Director: John Miller
Treasurer:
Brian VanLiew
Secretary:
Ludy D'Angelo
Ken Kremer
Editor:
Victor Belanger
Program Chairman:
Volume 35
Midsummer 2006
Number 7
From the Director
Mid-Summer Astronomy in the AAAP. y Summer vacation is here for AAAP, as we drop back and relax with the temperatures heating up and vacations becoming obsessions to get away from it all! Our AAAP regular season program concluded with Jersey StarQuest in late June (see below). Among trips to the Jersey shore, baseball, barbeques, and gardening, perhaps your summer plans include a getaway to dark sky environs where you'll have a chance to apply your astronomy know-how. Don't forget to pack your binoculars or telescope and a star chart.
With summer in full force our telescopes often turn to Scorpio and Sagittarius, two major constellations brimming with deep sky objects above the southern horizon in New Jersey. While Saturn and Mars dive into the sunset we have nearly perfect positioning of
Jupiter in the early evening sky. So for planets or for deep sky, now is a great time to visit the AAAP Observatory at Washington Crossing State Park and observe through the club's computer controlled Celestron C14/ Paramount as well as the fi ne 6.25 inch planetary refractor on Losmandy G11 mount. Remember that public nights at the AAAP Observatory are the fi rst and last Fridays each month, but members are welcome on any evening that Keyholders have opened the observatory (generally any clear Fri or Sat night). It's best to phone in advance to be sure (609-7372575).
Among the deep sky objects you'll be able to observe visually through the club's telescopes, the Dumbbell Nebula, M27, is one of my favorites. The photograph of M27 below was taken in June with my C11 at f/6.3 and SBIG ST-10XME CCD camera. This planetary nebula is a remnant of the late stage of evolution of a massive star which ejected much of its outer layers of gases about 3000 years ago. M27 is about 1000 light years distant and shines by fl uorescence from the central star's core-- strikingly beautiful by eyepiece using OIII or deep sky fi lters at medium magnifi cation.
Simpson Observatory (609) 737-2575
Jersey StarQuest 2006. y Q The AAAP hosted the region's premier summer astronomy weekend and star party at our hills, forest, and pond venue at the Hope Conference Center in Hope, NJ over the weekend of June 24. Unfortunately the weather prevented us from even setting up telescopes, as the rains that fell that weekend were the start of the serious fl ooding in the Delaware valley at the end of June. Yet here the efforts of the StarQuest organizers paid off, and those who participated (est. 25-30 attendees) were treated to some outstanding astronomy presentations by our professional speakers and by AAAP members. I would especially like to thank Dr Rus Belikov of Princeton Univ (MAE Dept) and a AAAP member who presented "The Search for New Earths" about the terrestrial planet fi nder research at Princeton, and Dr Andrew Youdin of Princeton Univ (Astrophysics Dept) who presented "Protoplanetary Disc Formation". These outstanding and relevant talks were met with enthusiastic audience participation. With additional fi ne presentations by AAAP members Ken Kremer (NASA exploration), Rob Teeter (crafting large refl ecting telescopes), myself (astrophotography), and presentations of the Sagan/Universe and Dobson/Astronomer DVD's, and of course the various telescope eyepieces, books, and accessories that participants acquired as doorprizes/raffl e items, the weekend was
(Director, continued on page 2)
(Director, continued from page 1)
an intensive and enjoyable astronomy getaway for all involved.
In addition to the presenters (above), I'd like to thank StarQuest co-chair Don Monticello for his excellent leadership and organizing work in putting StarQuest together this year. Thanks also go to members Ludy D'Angelo, John Miller, Bill Murray, Larry Smith, and Brian Van Liew d d for their key roles and leadership in helping make this year's StarQuest succeed.
Announcing Stokes Star Party in Sept. g y p The telescope intensive Stokes event featuring dark skies and serious observing is on again this fall at Stokes State Forest for the weekend of Sept 30. Contact Ron Mittelstaedt of AAAP for more details (also see the club website).
Have a great summer, everybody. I look forward to seeing you at WC Observatory!
Dark skies! -- Rex
Minutes of the
Amateur Astronomers Association of Princeton
Board of Directors
June 1, 2006 Director Rex Parker called meeting to order at 7:30 PM at his home.
Offi cers present were Rex Parker (Director), John Miller (Assistant Director), Brian VanLiew (Treasurer), Ludovico D'Angelo (Secretary), and Ken Kremer (Program Chair).
Other members present were: Vic Belanger, Ron Mittlestaedt, John Church, Gene Ramsey, Bill Nagle, Don Monticello, Jeff Bernardis, and a few others.
Starquest: Much discussion was made as to the lack of registrations from club members as of this meeting. The primary reason was that the weekend of Starquest fell on a weekend where there were graduations, weddings, pre-planned business trips etc. Bill Murray will take the registrations. As of today, 34 registrations have been received. John Miller suggested that Don use the online roster to communicate to club members. Highpoint donated a focuser; Burgess sent a binoviewer, fi lters, and 2" diagonal. Sky and Telescope sent Sue French's new book. John Miller has made some purchases at NEAF to make up the slack. There is a lack of donations this year; some are expected to still come. The general opinion was not to be too concerned about raffl e prices since participation may be low. There will be a schedule of events for the weekend and will be handed out and posted at the front door. Contingencies were discussed if it ends up raining. There will be two main lectures on Saturday, and several science dvd's on hand to show to fi ll the time. The pool will be open on Saturday afternoon. A trip to Jenny Jump will be in the event list. Ludy D'Angelo will bring the coffee and milk to be provided in the upper lodge. Bill Murray will run a deep sky observing contest again.
No extra tee shirts will be made. The AAAP shirts will be available for sale.
Programs: There will be several speakers drawn from Princeton University. September or October will be Jim Gunn and November will be Al Nagler of Teleview optics
A discussion of the next year's budget was discussed. In order for
Ken to plan for the next year, he requested that the board approve a preliminary budget for programs 2006-2007. There was a heated discussion as to how the monies were expended for the last season (2005-2006).
Rex Parker (Director) proposed the following motion:
Motion: That the AAAP Board approve a tentative program budget of $1000 for September 2006 to June 2007 season. And that there would be a written request (email or regular mail) from the future program speaker to the Program Chair for proposed travel or other expenses. This is done in order for an audit (paper) trail of those expenses when the AAAP provides reimbursement for those expenditures. The budget is subject to change after membership renewals in October and after a proposed fi nal budget for 2006-2007 is reviewed.
Seconded by John Miller (Assistant Director)
Vote: The board voted unanimously to pass the expenditure.
Ken will be having the speaker dinners at different restaurant locations in Princeton in the next season.
Brian VanLiew (Treasurer) discussed some of the Starquest expenditures and a general discussion ensued about possible fund raising other than Starquest.
Gene Ramsey reviewed the State Park rules for possible modifi cation of the natural area of the proposed tree cutting for Washington Crossing. A proposal will be made in the future to the state to see what can be done. Gene Ramsey and John Church will lead this effort.
Observatory: Gene Ramsey and Ron Mittlestaedt reported that The Washington Crossing State Park would cut the lawn around the observatory in the future. We will be responsible for trim around the observatory. The Park has fi xed the observatory gate that had been damaged. We need a new fi nder scope for the refractor, and a new brass counterweight for balance on the refractor. A work party needs to be organized to fi x the roof and other issues at the Simpson Observatory.
Jeff Bernardis (Public Outreach) discussed issues about public outreach and future plans for indoor/outdoor programs. We also discussed tentative plans for cloudy night alternatives. Contacting organizations that we've done parties for and getting them on a schedule for the next year. Try to get a more organized teams and advance planning for the star parties Also, the question was raised if we should charge a set amount for the star parties we provide when the club is asked to give one. Some amounts discussed were $150 - $200 per event, which was determined to be reasonable. There will be more proactive effort to contact new members who marked that they were interested in public outreach on their membership forms.
A further discussion about an audit of the fi nancial sheets was brought up by Don Monticello. There will be a search for an appropriate person.
AAAP will participate in the Stokes star party organized by Ron Mittlesteadt by providing food and support. Ludy D'Angelo will consider grilling dinner and breakfast.
Meeting was adjourned at 10:10 PM.
Submitted by;
Ludovico D'Angelo, Secretary
Yerkes Observatory Update
[As I had written in the January issue of Sidereal Times, [A [ I said that I would keep the membership abreast of developments in University of Chicago's plans for disposing of the Yerkes Observatory. The following article was published in the Aurora Beacon News, Aurora Illinois, last month. As an alumnus of Aurora University and an amateur astronomer, I was saddened by this development.-- ed ]
AU loses bid for telescope in Wisconsin
By David Garbe
staff writer
The University of Chicago has rejected Aurora University's bid to purchase the historic Yerkes Observatory next door to AU's campus in Lake Geneva, Wis..
The property instead will be sold to a private developer who offered to pay nearly twice AU's bid, as well as promised to preserve the observatory for educational purposes, the University of Chicago announced Tuesday.
Last September, AU offered $4.5 million for the stargazing facility and its 80 acres of tree-fi lled grounds. The University of Chicago considered only one other offer, a $8 million bid from New York-based Mirbeau Company.
AU's vision was to sell a few of those acres as singlefamily home lots and incorporate the remainder into its existing William's Bay satellite campus. AU would have then used the Yerkes observatory building as a teaching tool and outreach center.
to participate in that advisory board, the spokesman said.
Mirbeau, a company that operates a resort and spa in Skaneateles, N.Y., plans to develop about 45 acres of Yerkes' land into a 100room hotel and 72 small homes, according to a University of Chicago statement.
The observatory building and 30 acres surrounding it would be given to an independent foundation that would continue to operate the site as a center for teaching visitors and students about astronomy. The foundation would be funded by a $400,000 annual tax on Mirbeau.
"This new plan meets all three of our goals for Yerkes," said University of Chicago President Don Randel. "It provides a secure funding stream to preserve it as an outreach facility, it provides resources for future research in astronomy, and it proposes highquality and environmentally sensitive development."
The observatory was built by the University of Chicago in 1897 and became famous as the site of many profound astronomical discoveries in the 20th century.
Light pollution and new technologies have rendered Yerkes' telescopes scientifi cally irrelevant over the past several decades, so the university decided to sell the facility and its valuable grounds to raise funds for modern research elsewhere.
A University of Chicago spokesman said the school's astronomy faculty will continue to serve as advisers for Yerkes along with academic leaders from around the Midwest. AU would be welcome
AU offered no comment beyond a brief public statement.
"We are disappointed that our proposal was not selected," AU Vice President for Advancement Ted Parge said.
"We believe our proposal provided a viable option that was environmentally sensitive, preserved the historic observatory as a working science education center and offered a fair price."
Parge stressed that AU's commitment to the Lake Geneva area and to its William's Bay campus, a former YWCA camp that surrounds the Yerkes property, remains as strong as ever.
The University of Chicago said the sale to Mirbeau is not fi nal until the preservation of the observatory is assured, a process that could take as long as a year.
06/08/06
Deadline for the
September 2006 Issue of the Sidereal Times
August 25, 2006
Minutes of the General Membership Meeting Amateur Astronomers Association of Princeton June 13th, 2006
The meeting started at 8 PM and was held at the New Jersey State Planetarium in Trenton, New Jersey.
Bill Murray presented the latest planetarium show "Hubble Vision" to those in attendance.
After the show, there were fi nal discussions about StarQuest. Both speakers for the event were confi rmed. Other raffl e items had been received. All we need now is good weather.
On June 24 th , The State Park Awards will be given. AAAP will receive one. A volunteer was asked to participate. Larry Kane may be able to do this.
The Stokes Star Party will be September 22 nd -24 th at Stokes State Forest in North Jersey. This is a no frills observing party. AAAP will participate by providing food and support. Contact Ron Mittlestaedt for more information.
The next general meeting will be September 12, 2006 at Peyton Hall, Princeton University.
Meeting adjourned at 9:45PM
Ludovico D'Angelo, Secretary
Submitted by;
EXPERIENCE THE GOLDEN AGE OF AMATEUR SOLAR ASTRONOMY
THE ROCKLAND ASTRONOMY CLUB
IS PROUD TO PRESENT THE
2007 FOURTH ANNUAL
NEAF SOLAR STAR PARTY
APRIL 28 AND 29, 2007
At Rockland Community College
Suffern, New York
NEAF attendees are invited to observe the Sun with attitude, through a variety of Hydrogen-alpha and sunspot solar fi lters. Join us, for two days of solar observing at NEAF 2007. No star party entrance fee, or registration required.
BRING A PIECE OF CLEAR SKY TO SHARE WITH VENDORS AND FELLOW PHOTON-DEPRIVED AMATEUR ASTRONOMERS.
For further information, please visit our website:
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Click on NEAF and NEAF_SOLAR_STAR_PARTY Barlow Bob
Barlow Bob's Corner
THE THIRD STAR
It's dusk on a Saturday in ancient Jerusalem. A man stands outside the temple, anxiously looking upward. He sees a bright star rising in the east and a second one overhead. This man knows the sky well, and as he turns to the northwest, he sees Capella in the gathering darkness. "That's it!" he thinks. Three stars have appeared, signaling the end of a Sabbath more than two thousand years ago.
By David Levy
Although the Jewish tradition of sighting stars is no longer generally practiced, it dates back to the dawn of sky-watching. On cloudy nights, the observer would look at two strings, one blue and one white. He would judge the Sabbath over, when he could no longer tell their colors apart. This sense of space and time, deeply rooted to the observing of the sky, is one of the hallmarks of Judaism.
For many of us, the meaning of the night sky goes beyond mathematical equations. Our interest in the heavens has a strong spiritual component. I realized this many years ago during Kol Nidre, on the eve of Yom Kippur. While walking home as a youngster after one of these services, I noticed the bright 10-day-old gibbous Moon dominating the evening sky. I realized that the Moon displays the same phase every Kol Nidre night, as it is through the ages.
The fi rst sader or ceremonial dinner of Passover always occurs, on the night of the Full Moon, since the Jewish and Muslim religious holidays are tied to the movements of the Moon.
Many years ago, I told David levy's story to a Hassidic Jewish father and his son at a Cub Scout astronomy program. The father told me that Jewish men have a blue and white string sewn into their pants. In the morning, when they can tell their colors apart, they recite their prayers.
I attach a blue and white piece of yarn, to my step ladder for the vertically-challenged. At sunset, while amateur astronomers are eagerly awaiting the night sky, I tell children of all ages that half of them will look for the fi rst three stars in the sky and the other half will look at the colors of the blue and white strings, to determine sunset. This has evolved into a challenge and emotional experience.
Barlow Bob
Criticism is the Lowest Form of Creativity
Science Outreach and Exploration Update
"World Space Week" at The Franklin Institute Science Museum: Philadelphia, Pa, Sep 30, 2006, 10 AM to 3 PM. This annual UN sponsored event celebrates the achievements of astronomy and space exploration on behalf of all humankind. In connection with screenings of the new "Roving Mars" IMAX fi lm, I will present "Mars Rovers: Where are they Today".
Washington Crossing State Park, Nature Center: Titusville, NJ. A September weekend afternoon: Date TBD. All are welcome to attend my presentation on "A Tour of Our New Solar System" to experience the beautiful and amazing new discoveries in our Solar System. Solar viewing included. Website :
http://www.state.nj.us/dep/parksandforests/parks/washcros.html
Amateur Astronomers, Inc: Cranford, NJ. Fri, Oct 20 at 8 PM. AAI is one of the largest astronomy clubs in the US with over 300 members and has invited me to present a comprehensive Mars Exploration lecture, including a 3-D solar system tour. Open to the public and located on the campus of Union County College.
Website: http://www.asterism.org/
Orchard Hill Elementary School: Skillman, NJ. June 5, 6 and 12 at 6:15 PM to 9:30 PM. This 3 night extravaganza of "Family Astro Nights" with an array of 5 astronomy stations was organized by the 2 nd grade teachers. Each evening, enthusiastic crowds of d over 80 kids and family members enjoyed multiple presentations of my interactive talks on "Twin Robots Exploring Mars" and "Mars, Saturn and Comets in 3-D". All were thrilled to witness the real images from the surface of the red planet and handle the full scale model of the RAT, the rock drill built by Honeybee Robotics (see photos below). Other astronomy stations included making and using a star fi nder and learning the constellations in a Digitarium. Brian van Liew and John Miller were also on hand with an indoor telescope display and AAAP booth adjacent to the astronomy stations.
astronomy lectures. The search for and formation of Extrasolar Planets was presented by the 2 keynotes speakers from Princeton
University: Dr. Rus Belikov and Dr. Andrew Youdin. Rob Teeter discussed telescope construction, Rex Parker described CCD imaging and my talk reviewed the latest highlights on NASA's Solar System Exploration and the recent AAAP fi eld trip to Honeybee Robotics.
"Spirit" panoramic cover for Spacefl ight magazine (British " " Interplanetary Society): April 2006 issue. The image was derived by an international team of Mars enthusiasts including AAAP Program Chair Ken Kremer (US), Marco Di Lorenzo (Italy), Doug Ellison (UK) and Bernhard Braun (Germany). An alternate version was published on the 14 November 2005 cover of Aviation Week and Space Technology magazine in collaboration with senior editor Craig Covault.
As this newsletter goes to press, Spirit has achieved another t t major milestone by exceeding 900 Sols of continuous science operations, over 10 times the expected lifetime. Opportunity is on a fast track to the giant, 1/2 mile Victoria Crater. The crater rim is now clearly visible and less than 0.4 miles distant. Arrival is expected sometime in August and will afford a spectacular view back into the ancient geologic mysteries of Mars.
Starquest: Hope Conference Center, NJ, June 23-25. Although observing was washed out by rain at the 17 th annual AAAP star party, the attendees were treated to a feast of wide ranging
Space Shuttle Return to Flight: The space shuttle Discovery
(ISS) capabilities and also carried German astronaut Thomas Reiter on board. Reiter will remain on the ISS to return the permanent crew complement to 3 persons.
For science outreach presentations please contact me at Email:
Ken Kremer AAAP Program/Lecture Chairman
From the Program Chair:
2006-2007 AAAP Lecture Season
On tap so far for the new season are:
Nov 14: Al Nagler of TeleVue Optics will speak on Optics, Eyepieces and the Apollo Project in a talk titled "Giant Eyepieces that Swallow Spacecraft".
Dec 12: Prof. Jim Bell of Cornell University is the lead scientist for the panoramic cameras on the Mars Rovers. He will present "Stargazing from Mars" and will be autographing his new book "Postcards from Mars", scheduled to appear in mid-November.
Jim Bell is featured on the cover of the current issue of Sky and Telescope (August 2006). Please read his full length article on p. 40 titled "Backyard Astronomy from Mars" for insights prior to his upcoming AAAP lecture.
Jan 9: Prof. Jim Gunn from the Astrophysics Dept. of Princeton University will discuss the Sloan Digital Sky Survey.
March 13:Prof. Edger Choueiri from the Mechanical and Aerospace Engineering Dept. of Princeton University will discuss Plasma Propulsion.
Please send me your suggestions for speakers, with contact/topic information.
roared into space with 7 astronauts for a fi rst of its kind July 4 liftoff. The STS-121 mission is scheduled to last 13 days, will include 3 spacewalks to upgrade the International Space Station
Email:
Ken Kremer AAAP Program Chairman
|
Macquarie Group Limited
I
dAl Presentation to Investors and Analysts
The material in this presentation has been prepared by Macquarie Group Limited ABN 94 122 169 279 (Macquarie) and is general background information about Macquarie’s activities current as at the date of this presentation. This information is given in summary form
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| | 2H12 1H12 $Am $Am |
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| Net operating income | 3,720 3,243 |
| Total operating expenses | (3,086) (2,828) |
| Operating profit before income tax | 634 415 |
| TTaaxx eexxppeennssee | ((118800)) ((110077)) |
| Profit attributable to non-controlling interests | (29) (3) |
| Profit attributable to MGL shareholders | 425 305 |
technologies technologies
$A419m investment
Diversified income
12 months to 31 March 11
Operating income before writedowns, impairments, equity accounted
| Macquarie Infrastructure and Real Assets | Macquarie Investment Management | Macquarie Specialised Investment Solutions |
|---|---|---|
| Activity Ranked as the largest manager of infrastructure assets globally1 and ranked first | Activity $A6.4b of net inflows across a range of products and regions | Activity Raised over $A300m for Australian retail specialised products |
| in the Infrastructure Investor magazine listing of the largest infrastructure investors globally2 Raised over $A2.2b in new equity commitments and completed $A17.8b in asset and fund level re-financings | Awarded ten Lipper Fund Awards in 2012 across the US, Europe and Asia4 Delaware Investments was ranked first in the “Barron’s Fund Families Report” for 2011 Strong performance across a range of asset | Launched a range of new retail products including: – Macquarie Step – A series of European income opportunity funds |
| FFocusedd on sttrattegiicalllly iinvesttiing capiitta ll across the globe, with over $A1.3b of equity invested Macquarie Essential Assets Partnership (MEAP) divested its final two assets, successfully concluding the term of the fund | classes relative to industry benchmarks, with top quartile performance over three years for: – 15 Delaware Investments funds in their respective Lipper categories in the US – Macquarie High Conviction Fund, | Significant fee and margin income associated with the provision of financing facilities to external funds and their investors – Strong demand in 1H12 in Europe and US for short term financing facilities |
| and realising a fund internal rate of return of 17.8 per cent3 Performance fees of $A100m earned predominantly as a result of MEAP, Macquarie Atlas Roads and Thames Water oouuttppeerrffoorrmmiinngg tthheeiirr rreessppeeccttiivvee bbeenncchhmmaarrkkss | MMaaccqquuaarriiee AAuussttrraalliiaann SSmmaallll CCoommppaanniieess Fund and Macquarie Core Australian Fixed Interest Fund in Australia MFG’s flagship Australian fixed income retail strategies, Macquarie Diversified Fixed Interest and Macquarie Income Opportunities, | |
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outperforming their respective benchmarks and Best Overall Small Company for Macquarie Investment Management Austria.
Operating income of $A1,366m, up 6% on prior year
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| Funded loan portfolio of $A8.0b in line with prior year CCoonnttiinnuueedd ddeelleevveerraaggiinngg aaccrroossss tthhee | Motor vehicle leasing portfolio of $A6.2b, up 3% on 1H12 and up 5% on prior year. Total contracts in excess of | Aircraft leasing portfolio of $A3.4b, down 8% on 1H12 and down 7% on prior year |
| financial system created opportunities to add to the portfolio via the secondary market Completed selective new financings during the year | 230,000 Extending finance through the customer value chain – from manufacturer to end user: – Motor vehicle manufacturers and | Continue to see trading opportunities in the aircraft sector Sale of leased aircraft engine assets largely complete AAccqquuiirreedd ppoorrttffoolliioo ooff NNoorrtthh AAmmeerriiccaann rraaiill |
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| Continued activity in commercial real estate lending, completing several opportunistic acquisitions and client financing transactions | | – Acquisition brings total portfolio to 5.7 million gas and electric meters in the UK – Integration of OnStream is progressing in line with expectations, |
| | | wiitthh compll ettiion off ii nttegrattiion expected by Apr 12 |
| | Funding activity Strong securitisation activity continues with $A2.6b of motor vehicle leases and loans secured duringg FY12 | |
| | Continued to access global securitisation markets – Approx. $A13.5b of external funding since programme’s inception in 2007 | |
Acquired portfolio of North American rail freight cars, bringing Macquarie Rail
Continued deleveraging across the add to the portfolio via the secondary
Operating income of $A1,077m, up 23% on prior year
| Private Wealth/Direct | Intermediary | Relationship Banking |
|---|---|---|
| Activity Macquarie Private Wealth (MPW) remains No.1 ranked full-service retail stockbroker in | Activity Intermediary client numbers at 697,263 up 16% on prior year | Activity Average deposit volumes up 9% on prior year DEFT transactions upp 27%% byy volume and upp |
| Australia in terms of volume and market share1 MPW ASX retail turnover down 19% on prior year and down 2% on prior period Macquarie completed the transition of MPW AAssiiaa ttoo JJuulliiuuss BBaaeerr ((aa SSwwiissss PPrriivvaattee BBaannkkiinngg | Macquarie Wrap commenced white label administration services for Perpetual Limited’s $A8.7b platform business with transition on target for completion Macquarie Wrap ranked top Australian platform iinn tthhee pprreessttiiggiioouuss WWeeaalltthh IInnssiigghhttss 22001111 | 24% by value on prior year Total clients up 10% on prior year – New SME businesses up 44% on prior year |
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| | | Investment Funds |
| | | Macquarie Pastoral Fund ends acquisition phase with purchase of Cutbush Property in northern NSW |
| ccoonnssoolliiddaatteedd iinnttoo oonnee – MMaaccqquuaarriiee PPrriimmee – ffoorr a more holistic offering Macquarie Private Bank awarded Outstanding Institution ($10-$30m+)2 | ggrroowwtthh iinn FFYY1133 Mortgages awarded five star CANNEX ratings for seven of its premium products | Macquarie Professional Series named Money Management Fund Manager of the Year 2011 for Independent Franchise Partners’ Global Equities Fund and Winton Capital Management Alternative Investments fund4 Total funds under management, advice or |
| Deposits | | |
| Total retail deposits of $A29.0b up 9% on prior year CMA balance of $A16.1b up 11% on prior year | | administration $A117.9b up 4% on prior period and down 2% on prior year |
DEFT transactions up 27% by volume and up
Operating income of $A1,413m, down 6% on prior year
Asia to Julius Baer (a Swiss Private Banking company) as part of a strategic collaboration
consolidated into one – Macquarie Prime – for
dormant accounts
EMEA
| | MMarkket CConddii tiions | AAustralliia | AAs iia | NNorthh AAmeriica |
|---|---|---|---|---|
| | | Activity | Activity | Activity |
| Cash | Significantly lower client volumes in cash equities, particularly in the third quarter – Australian market average daily turnover volumes down 8% on prior year – Averagge dailyy turnover volumes down | Market share of 8.6% down from 9.3% prior year2 No.2 overall research and sales strength for Australian institutional investors3, No.3 for Asian | Market share increased in Thailand and Singapore on prior year2 No.10 overall research and sales strength for | US secondary market cash commissions down 11% on prior year Canadian market share of 1.4% down from 2.0% |
| | across key Asian markets with HK down 9%, Japan down 18%, Singapore down 14%, and Taiwan down 19% on prior year – STOXX 600 turnover down 9% on prior year1 Weak investor confidence primarily due to European sovereign debt concerns | iinsttiitt uttiionall iinvesttors33andd NNo.11 for US/European institutional investors into Australian equities4 Over 290 stocks under coverage | AAs iian iinsttiitt uttiionall investors7, No.4 for European institutional investors8 and No.9 for US institutional investors into Asian equities8 Over 890 stocks under coverage | iin priior year22 Over 710 stocks under coverage |
| ECM | Challenging macroeconomic environment, volatile markets and weak investor sentiment led to significantly lower levels of primary issuance activity Lower activity levels make comparisons against pcp and prior period difficult Global ECM markets, particularly in Asia, were extremely subdued in 2H12, well down oonn ppccpp aanndd pprriioorr ppeerriioodd | Market share of 28.0% up from 16.8% in prior year5 No.2 for Australian equity & equity related issuance, up from No.7 in prior year6 Increased hybrid issuance with over $4.5b raised (including listed debt) | Market share of 1.3%, down from 5.7% in prior year5 | US market share of 4.4% up from 0.5% in prior year5 Canadian market share of 1.8% down from 3.5% in prior year5 |
| | Total market capital raised down across all regions: – Australia $A25b down 34% on prior year – Asia $US191b down 45% on prior year – US $US206b down 45% on prior year – Canada $C41b down 41% on prior year – Europe €124b down 17% on prior year | | | |
| Derivatives | Reduced institutional and retail client demand for derivatives products, particularly in Europe with volatile and thin markets Significant period of market volatility creating challenging trading conditions for hedging issued products | Restructure of activities reflecting reduced retail client demand No.3 market share for FY12 in listed warrants unchanged on prior period2 Market share of 22% down from 31% in prior year due to cessation of the issuance of new Instalments aanndd SSeellff FFuunnddiinngg IInnssttaallmmeenntt | No.1 market share in listed warrants in Singapore2 and Korea9, unchanged on prior year. No.5 in HK, down from No.3 in prior year2 No.1 ranked broker by market share in Indian GDRs10 | Exited institutional derivatives business |
| | | Warrants2 Launched MINIs capturing 18% market share2 | Exited Asian exotics business | |
EMEA
European market share slightly up on prior year European secondary market cash commissions down 10% i on prior year South African market share of 2.8% down from 3.9% in prior year 2 Over 350 stocks under coverage European market share of 0.1%, down from 0.4% prior year 5 Ceased issuance of retail structured products considering closing Structured Products and in Europe, and
Average daily turnover volumes down across key Asian markets with HK down
Operating income of $A893m, down 33% on prior year ti
| Market Conditions | Australia and NZ | Asia | EMEA | Americas |
|---|---|---|---|---|
| Market activity affected by continuing reduced market confidence,, low | Activity 90 deals valued at $A53b, down 4444%% oonn pprriioorr yyeeaarr1 | Activity 50 deals valued at $A11b, down 4499%% oonn pprriioorr yyeeaarr1 | Activity 37 deals valued at $A8b, down 5522%% oonn pprriioorr yyeeaarr1 | Activity 258 deals valued at $A25b, ddoowwnn 88%% oonn pprriioorr yyeeaarr1 |
| volumes of ECM activity, particularly in HK and Australia, and ongoing concerns regarding the European debt crisis Global ECM activity ddoowwnn 2288%% oonn pprriioorr yyeeaarr, | 64 deals valued at $A39b in 2H12, down 17%3 on pcp and up 194%3 on prior period Awards / Rankings No.1 in Australian announced and completed M&A deals4 | 34 deals valued at $A9b in 2H12, down 6%3 on pcp and up 413%3 on prior period Awards / Rankings FIG Capital Raising of the Year (ABC IPO)10; Equities Deal of | 28 deals valued at $A5b in 2H12, down 42%3 on pcp and up 96%3 on prior period Awards / Rankings Middle East Infrastructure Deal of the Year (Muharraq STP)8 | 182 deals valued at $A18b in 2H12, up 31%3 on pcp and up 150%3 on prior period Awards / Rankings Infrastructure & Project Financing Deal of the Year |
| 2H12 down 55% on pcp and down 35% on prior period2 Global DCM activity up 6% on prior year, 2H12 down 6% on pcp and | NNo.22 iin AANNZZ EEquiitty, EEquiitty- Linked and Preferred deals5 Best Domestic Equity House (Australia)6; M&A Deal of the Year (AMP/AXA)7; PPP Deal of the Year (Royal Adelaide Hospital)8; Equity Deal of the 99 | tthhe YYear ((SSiino OOcean LLandd))1100; Best Philippines Deal (Casop)11; Best Singapore Deal (Beijing Enterprise Water)12 Notable deals Adviser to SK Telecom, the leading telecommunication | Notable deals Adviser to HgCapital on the disposal of SLV Group, one of the fastest growing providers of innovative lighting products and systems in Europe, to Cinven; one of the largest private equity | ((DDenver FFasTTrackk s))1100; MM&&AA Deal of the Year (Cumulus)13; Americas Deal of the Year (Puerto Rico Toll Roads)8 Notable deals Adviser on the $US1b financing of the Mareña Renovables |
| ddown 33%% on priior period2 Global M&A activity up 8% on prior year, 2H12 down 22% on pcp and down 31% on prior period2 | YYeeaarr ((OOrriiggiinn EEnneerrggyy PPAAIITTRREEOO)) Notable deals Adviser to Telstra Corporation on its $A11b tri-partite cooperation agreement with the Commonwealth Government and National Broadband | service provider in South Korea, on its acquisition of a 21% controlling interest, in Hynix Semiconductor for $US3.0b Adviser to a consortium led by Daewoo Engineering & Construction Co., Ltd. for its | transactions in Germany in 2011 Other deals include: Muharraq Wastewater Treatment Plant and Sewage Conveyance (PPP); Blue Transmission (M&A); Quinn Group (M&A); Thames Water (DCM); Global | project, one of the largest wind farm financings in the world to date. The 396MW wind farm, to be built in the State of Oaxaca in the southwest of Mexico, will be the largest wind farm in Latin America |
| | NNeett woorrkk CCoommppaanny ((NNBBNN CCoo)) Adviser to Rio Tinto on its $A4.0b acquisition of the ASX listed coking coal developer Riversdale Mining Other deals include: Rio/Mitsubishi (M&A); CITIC | KKRRWW 11 .77 ttrr (($$UUSS11 .55bb)) ggrreeeennffiieelldd financing of the Guri~Pocheon Expressway Project Other deals include: Oji Paper (M&A); United Energy Group (M&A); First Commercial Joint Stock Bank (M&A); Harum EEnneerrggyy ((EECCMM));; HHuuaanneenngg | VViiaa IInnffrraaeessttrru ccttu rraass ((MM&&AA, ECM); Infracapital Partners LP (M&A); APG Algemene Pensioen Groep N.V. and Goodman Group led consortium (M&A); RAK Petroleum (M&A); Gold One International (M&A) | OOtthheerr ddeeaallss iinnccllu ddee: CC umm ull uss Media (M&A, DCM); Puerto Rico PPP Authority and Puerto Rico Highways and Transportation Authority (Advisory, Project Finance); International Lease Finance Corpporation ((DCM));; B2Gold |
| | AAuussttrraalliiaa ((MM&&AA));; TTrraannssppaacciiffiicc (DCM/ECM); ConnectEast (M&A); Catalpa Resources (M&A); Perth Airport (DCM) | Renewables (ECM); Petrovis Resources (ECM) | | (M&A); Encompass Digital Media (M&A, DCM) |
Americas Activity 258 deals valued at $A25b, down 8% on prior year 1 down 8% on prior year 182 deals valued at $A18b in 2H12, up 31% 3 on pcp and up 150% 3 on prior period Awards / Rankings Infrastructure & Project Financing Deal of the Year (D F T k ) 10 M&A (Denver FasTracks) 10 ; M&A Deal of the Year (Cumulus) 13 ; Americas Deal of the Year (Puerto Rico Toll Roads) 8 Notable deals Adviser on the $US1b financing of the Mareña Renovables project, one of the largest wind farm financings in the world to date. The 396MW wind farm, to be built in the State of Oaxaca in the southwest of Mexico, will be the largest wind farm in Latin Other deals incl de C m l s Other deals include: Cumulus Media (M&A, DCM); Puerto Rico PPP Authority and Puerto Rico Highways and Transportation Authority (Advisory, Project Finance); International Lease Finance Corporation (DCM); B2Gold ( (M&A); Encompass Digital Media (M&A, DCM)
No.2 in ANZ Equity, Equity-
down 28% on prior year,
Operating income of $A659m, down 28% on prior year
| Commodity Markets (Physical & Financial) 69% of operating income | | | Financial Markets (Primary & Secondary) 25% of operating income | | | 6% of operating income |
|---|---|---|---|---|---|---|
| Metals & Energy Capital | Metals & Agriculture Sales and Trading1 | Energy Markets | Fixed Income & Currencies | Credit Trading | Asian Markets | Futures |
| Activity Improved sentiment in resource equity markets resulting in asset realisations – Sale of Net Profits | Activity Lack of trending markets and high correlation to macro influences led to limited trading ooppppoorrttuunniittiieess | Activity Overall customer activity continuing to grow Stronger client flows in US gas and | Activity Some signs of improvement in client activity Marginally improved liquidity | Activity Markets mostly stronger in 2H12 than earlier in the year as the threat of a US default and EEuurrooppeeaann ffiinnaanncciiaall | Activity Continued challenging global market conditions impacting market share traction | Activity Volatile client volumes in line with fluctuating market confidence New client accounts |
| IInntteerreesstt iinn aa substantial North American oil asset – Initiated and realised a number of material principal iinnvveessttmmeennttss dduurriinngg | Customer flow solid but down on prior year. For most clients hedging has been difficult and risk taking constrained,, | ppoowweerr aanndd tthhee European utilities business during Northern Hemisphere winter resulting in increased trading opppportunities | High Australian dollar continues to adversely impact level of term hedging activity Growing and increasingly | contagion receded Improved volumes as confidence returned to the market New issue debt | SSttrroonnggeerr FFXX volumes due to slightly improved volatility conditions Rates and credit markets continue to be challenging | ffoolllloowwiinngg MMFF GGlloobbaall bankruptcy as clients increased focus on the credit worthiness of their clearing broker Addition of a listed |
| the year. Larger realisations include Discovery Metals and Beadell Resources Currently holds146 eqquityy investments | resulting in reduced volumes during the period Physical metals business growing well | Maintained ranking as No.4 US physical gas marketer in North America2 IPO of Energy Assets Limited on tthhee LLoonnddoonn SSttoocckk | ddiiversiiffiie dd clliient base in FX and rates, including an increasing presence in Japan Expansion of securitisation | mmaarrkkeettss wweerree mmoorree active during 2H12 than 1H12 US investment grade credit spreads tightened by 46.3% over prior period3 | | ddeerriivvaattiivveess ssaalleess team in Montreal |
| with total market value of $A586m Increased client term hedging activity on the back of reduced volatility CCuurrrreennttllyy hhaavvee | | Exchange | eexxppeerrttiissee iinnttoo Europe, including acting as Sole Arranger and Joint Lead Manager for Paragon Mortgages securitisation of UK Buyy-To-Let loans | UUSS hhiigghh yyiieelldd bboonndd prices up 7.7% on prior period4 | | |
| committed financing facilities of $A1.9b across 61 counterparties | | | | | | |
opportunities
Interest in a
investments during principal
equity investments
Currently have committed financing
Funding sources to the Group’s statutory balance sheet, refer to slide 53
Harmonised Basel III Group surplus of $A3.5b at Mar 12
Group regulatory surplus at 8.5% RWAs
Series1
On 28 Oct 11, we noted we were likely to satisfy our Basel III capital requirements including the capital
B l III y of MGL ordinary shares
Nicholas Moore
| | Net profit contribution | | | |
|---|---|---|---|---|
| Operating Group | FY07- FY12 historical range | FY07-FY12 average | FY12 | FY13 outlook |
| Macquarie Funds | $A0.3b – $A1.1b | $A0.7b | $A0.7b | Broadly in line with FY12, subject to performance fees |
| Corporate and Asset Finance | $A0.1b – $A0.7b1 | $A0.3b | $A0.7b | Broadly in line with FY12 |
| Banking and Financial Services | $A0.1b – $A0.3b2 | $A0.2b | $A0.3b | Up on FY12 |
| Macquarie Securities | $A(0.2)b – $A1.2b | $A0.5b | $A(0.2)b | Up on FY12 |
| Macquarie Capital | $A(0.1)b – $A1.6b | $A0.5b | $A0.1b | Up on FY12 |
| FICC | $A0.5b – $A0.8b | $A0.6b | $A0.5b | Up on FY12 |
| Corporate | – CCoommppeennssaattiioonn rraattiioo ttoo bbee ccoonnssiisstteenntt wwiitthh hhiissttoorriiccaall lleevveellss – Continued higher cost of funding reflecting market conditions and high liquidity levels | | | No change |
d d li Macquarie remains well positioned to deliver superior performance in the medium term superior returns following years of investment and recent acquisitions
| Group | APRA Basel III Capital @ 8.5% ($Ab) | Approx. FY12 Return on Ordinary Equity1 | | |
|---|---|---|---|---|
| Annuity-style businesses Approx. 6-Year Average (excluding legacy) Return on Ordinary Equity1 | | | | |
| MMaaccqquuaarriiee FFuunnddss GGrroouupp | 11 .66 | | | |
| | | 22% | 20%2 | |
| Corporate and Asset Finance | 2.2 | | | |
| Banking and Financial Services | 0.7 | | | |
| Capital market businesses 6-Year average Approx. 6-Year profit pre tax and Average Return on ((excludingg leggacyy)) | | | | |
| pprrooffiitt sshhaarree (($$AAbb)) OOrrddiinnaarry EEqqu iitty11 | | | | |
| Macquarie Securities | 0.6 | - | 0.5 | 30% |
| Macquarie Capital | 1.4 | | 0.6 | 20% |
| FICC | 2.7 | 10% | 0.6 | 15% |
| Corporate and Other | | | | |
| Legacy Assets3 | 1.0 | | | |
| Corporate | 0.5 | | | |
| TToottaall rreegguullaattoorryy ccaappiittaall rreeqquuiirreemmeenntt @@ 88 .55%% | 1100 .77 | | | |
| Comprising: Ordinary Equity Hybrid | 9.0 1.7 | | | |
| Add: Surplus Ordinary Equity | 2.1 | | | |
| TToottaall AAPPRRAA BBaasseell IIIIII ccaappiittaall ssuuppppllyy | 1122 .88 | | | |
(excluding legacy)
Macquarie Group Limited
|
IEEJ e-NEWSLETTER
No. 132
(Based on Japanese No. 174)
Published: March 23, 2018
The Institute of Energy Economics, Japan
(As of March16, 2018)
Source: DOE-EIA, Financial Times, NASDAQ
Source: x-rates.com
Contents
【World Monitoring】
Summary
1. US: Trump Administration's Policies and the Judiciary
2. EU: Phasing-out of Coal-Fired Thermal Power in Britain
3. China: NEV Expansion Programs Revised from Long-Term Perspective
4. Russia: Presidential Election Nears Amid Mounting US-Russia Tensions
1
Sources:
(1) Ministry of Finance "Japan Trade Statistics"
(2) Ministry of Economy, Trade and Industry
(contract month basis)
(3) Estimated by World Bank and World Gas Intelligence
(4) DOE-EIA, NYMEX (Front-month Futures)
(5) Investing.com
Source: Financial Times
Summary
【World Monitoring】
1. US: Trump Administration's Policies and the Judiciary
Recently, the Judiciary has thwarted the Trump Administration's public promises in several cases. Meanwhile, as more judges appointed by President Trump are approved, the judiciary could lean toward conservatism. The situation must be closely monitored.
2. EU: Phasing-out of Coal-Fired Thermal Power in Britain
The British government announced actions regarding its proposal to end coal-fired power generation by plants without emissions reduction measures by 2025, following a broad public consultation.
3. China: NEV Expansion Programs Revised from Long-Term Perspective
China is reviewing and upgrading its NEV expansion program, including the regulations/credit trading system and purchase subsidies, from a mid- to long-term perspective to encourage more advanced technologies.
4. Russia: Presidential Election Nears Amid Mounting US-Russia Tensions
As the election for the Putin Administration's bid for a fourth term approaches, US-Russia tensions are mounting. With its domestic economy and society deadlocked, the next administration would likely find it hard to make a breakthrough.
1. US: Trump Administration's Policies and the Judiciary
Ayako Sugino, Senior Researcher Electric Power Group Fossil Fuels & Electric Power Industry Unit
Recently, the judiciary has thwarted the Trump Administration's public promise to revitalize the US economy and manufacturing industry through deregulation and to boost oil and gas development in several cases. On February 22, the US Federal Circuit Court in North Carolina halted the Administration from imposing a one-year suspension of the implementation of emissions standards for methane from oil and gas field drilling, promulgated by the Bureau of Land Management (BLM), Department of Interior in 2016 under the Obama Administration. Explaining its decision, the Court cited the lack of a reason for delaying the standards, which are expected to prevent the leakage of methane, a precious domestic resource, while contributing to improved public health and mitigating climate change by controlling air pollutant emissions. The Trump Administration's argument was that many states developing gas already have operating standards that help curb methane emissions, making BLM's standards redundant and an unnecessary extra cost for the oil and gas industries.
On February 15, the US Federal Circuit Court in California blocked the Administration from delaying the implementation of efficiency standards for four types of equipment including air-conditioners and boilers, promulgated by the DOE under the Obama Administration, similarly citing a lack of reason.
Many of the decisions blocking the Trump Administration's public promises, including the two above, were reportedly led by judges appointed by Democratic Presidents. However, looking forward, President Trump has already appointed 13 out of the 179 judges of the US Federal Court of Appeals which mostly handles administrative litigations. He has appointed 59 of the 684 circuit court judges, with 10 already approved. As more judges appointed by President Trump are approved, the overall judiciary could become more conservative.
In February, the White House released a strategic plan on infrastructure investment, which features the following measures to expedite the licensing of infrastructure construction plans: (1) The current delay in processing due to overlapping of decision-making agencies is to be solved by centralizing authority to the primary organization in charge. (2) The right of the Environmental Protection Agency to comment on environmental assessments is to be abolished. (3) Stricter requirements are to be imposed on stakeholders in filing litigations on environment assessments. The proposal shows the Republican Party's impatience with litigations filed by environmental groups and liberal states that smother investments necessary for clearing bottlenecks in energy supply, and the so-called "sue and settle approach" in which environmental regulations are effectively reinforced without Congressional amendment by drawing settlements from the energy companies and the government being sued. The judiciary reforms will have long-term policy repercussions even on administrations after the sitting President, and their developments must be closely monitored.
2. EU: Phasing-out of Coal-Fired Thermal Power in Britain
Kei Shimogori, Researcher
Nuclear Energy Group, Strategy Research Unit
In January 2018, Britain's Department for Business, Energy and Industrial Strategy announced the actions to be taken by the government regarding its proposal to "end coal-fired power generation by plants without emissions reduction measures by 2025", following a broad public consultation on the matter. After being announced in November 2015, the proposal was put to public consultation from November 2016 through February 2017. This report outlines the government's actions that have been announced. Prime Minister May confirmed in September 2017 that the government will end all "unabated" coal-fired power plants by 2025, underlining the strong intention of the British government to phase out coal.
Based on opinions filed during the consultation, the government decided not to require existing coal-fired power plants to introduce CCS technologies. This is because installing CCS technologies in relatively inefficient aged plants can be exorbitantly costly, and the time schedule for making investment decisions, agreement, construction, and starting operation may run well beyond 2025. An emissions limit of 450 gCO2/kWh, similar to the existing emissions performance standard (EPS) introduced by the Energy Act of 2013, will be applied to all existing units with a thermal output of over 300 MW that burn coal, brown coal, and other solid fossil fuels.
When the British government proposed an exit from coal power without abatement technologies in November 2015, there was concern over securing a stable supply of electricity. However, the government believes that the capacity market system will ensure sufficient installed capacity to cover the closing of unabated coal power plants, although sufficient monitoring and continued revision of the capacity market as necessary will be required. The government estimates that 1.5 GW of unabated installed coal power capacity will remain in 2025, but considers that there is no need to impose emissions limits and other regulations ahead of 2025, in view of the significant drop in coal power output at present.
Going forward, the government will debate a bill to apply a new emissions limit from October 1, 2025. By introducing a stricter emissions limit, the government plans to bar unabated coal power plants from participating in bids in the capacity market scheduled for around end-2021 to early 2022, for capacities operating in 2025/26. Accordingly, the government will prepare necessary laws at an appropriate time ahead of the bids in 2021 or 2022. Regarding decarbonizing technologies, the British government terminated its contributions to a CCS commercialization program in the past. However, through its Clean Growth Strategy and Industrial Strategy White Paper, the government has also emphasized strong policies in recent years to achieve cleaner growth through decarbonization technologies. Britain's fossil fuel energy policies will have a significant impact on the success or failure of these strategies, and thus must continue to be monitored.
3. China: NEV Expansion Programs Revised from Long-Term Perspective
Li Zhidong, Visiting Researcher
Professor at Graduate School, Nagaoka University of Technology
China is shifting from gasoline vehicles to electricity-driven next-generation vehicles (New Energy Vehicles (NEVs), which include EVs, PHEVs, and FCVs). This shift is a crucial step for achieving sustainable development and building a low-carbon society, and for transforming from a major car manufacturing country to a car manufacturing powerhouse. The government has not clarified when it will ban the production and sale of gasoline vehicles, but announced goals in October 2016 to boost the ratio of NEVs from 1.3% in 2015 to 40-50% in 2030. Simultaneously, the shift began in earnest from purchase subsidies and other support programs launched in 2009 to a combination of regulations and the credit system. The government announced the introduction of the NEV regulation and credit trading system as the core long-term initiative (see the November 2017 edition of this Newsletter) in September 2017, and the extension of acquisition tax exemption for NEVs (ad valorem duty, 10%) till 2020 in December. Further, on February 12 of this year, four ministries including the Ministry of Finance jointly released a notification on adjusting and improving the soundness of the financial subsidy system for expanding NEVs. The notification sets a framework for the purchase subsidy system for three years until it ends in 2021, and the key points are as follows.
First, the requirements for qualifying for subsidies were raised regarding cruising distance, the energy density of the battery cell system, and electric mileage (power consumption per travel distance), and the subsidies were set in greater detail depending on the maturity of technologies. For instance, for EVs, the requirements were raised from 100 km in 2017 to 150 km for cruising distance, and from 90 Wh/kg to 105 Wh/kg for energy density. The subsidy per car was reduced by 58% from 36,000 yuan (1 yuan = 17 yen, equivalent to 610,000 yen) to 15,000 yuan (approx. 260,000 yen) for a cruising distance of 150 km and by 23% from 44,000 yuan (approx. 750,000 yen) to 34,000 yuan (approx. 580,000 yen) for 250 km, but increased from 44,000 yuan (approx. 750,000 yen) to 50,000 yuan (approx. 850,000 yen) for 400 km or more. Regarding subsidies considering electric mileage, the lower limit was cut from 20,000 yuan (approx. 340,000 yen) to 4,500 yuan (approx. 80,000 yen) but the upper limit was raised from 48,400 yuan (approx. 820,000 yen) to 66,000 yuan (approx. 1.12 million yen). These changes are intended to encourage breakthroughs in core technologies.
Next, EV, PHEV, and FCV are treated differently. Subsidies were increased for EVs for their advanced technology, were maintained for FCVs, and were reduced for PHEVs. This indicates the government's intention to set EVs at the center of NEVs whilst continuing to foster FCVs as a promising technology.
Last, NEV promotion programs by local governments were revised. So far, local governments used to provide subsidies of up to half the amount of those of the central government. The notification does not refer directly to amounts, but urges local governments to abolish their local protective programs. The notification states that the central government will reduce subsidies for building charger infrastructure to any local government recognized as taking local protective actions. The aim is to develop a unified national market and develop a competitive NEV industry as a country.
China is reviewing and upgrading its NEV expansion program from a mid- to long-term perspective. The developments and effects of the program must be closely monitored.
4. Russia: Presidential Election Nears Amid Mounting US-Russia Tensions
Shoichi Itoh, Manager, Senior Analyst Global Energy Group 2, Strategy Research Unit
The Russian presidential election is due to be held on March 18. Eight candidates including the incumbent president are standing, but without powerful contenders, President Putin is sure to be reelected. The Putin Administration is working desperately to boost the voting rate and votes won in an effort to show the legitimacy of the election both within and outside Russia.
Alexei Navalny, initially expected to win the votes of those dissatisfied with President Putin running for a fourth term (and a 24-year reign including as Prime Minister if he completes this term), has been barred from running by Russia's Central Electoral Commission in December 2017 on account of being convicted for embezzlement in 2013 (the European Court of Human Rights doubts the legitimacy of the ruling). Mr. Navalny has been calling the election a "farce" and demanding its boycott. Rallies were held in 100 cities nationwide including Moscow at the end of January 2018 in his support, but as with the case in March and July 2017, many participants including Mr. Navalny himself were placed under temporary arrest by the security forces.
The real GDP growth rate of Russia for 2017 turned positive for the first time in three years, up 1.5% year-on-year (preliminary report of the Federal State Statistics Service). The reasons include the recovery of oil prices since the latter half of the year and large-scale public investments including those for World Cup 2018 (with the President's associates rumored to be direct beneficiaries). However, with negative growth in real disposal income of -1.7% (est.) in 2017, living conditions for the general public are far from improving. Furthermore, with the West's economic sanctions threatening to affect corporate activities, clouding the future, more than 31 billion dollars of private capital fled the country (up 60% year-on-year).
Tensions continue to rise with other countries including the United States. On February 16, US Special Counsel Robert Mueller announced charges against 13 Russian individuals and 3 related companies over alleged intervention in the 2016 US presidential election. The indictment stated that Russia has been conducting a social media campaign since around 2014 to defame the Democratic Party's presidential candidate, Hillary Clinton. On February 17 at the Munich Security Conference, US Presidential National Security Adviser H.R. McMaster accused Russia of cyberattacks and intelligence manipulation in the West as incontrovertible facts, which Russian Foreign Minister Sergei Lavrov dismissed as "blabber". The Nuclear Posture Review (NPR) released by the United States on February 2 once again categorizes China and Russia as "strategic competitors".
With no end in sight to confrontation with the West and with no vision for rebuilding the domestic economy, many believe that President Putin's power base will gradually weaken even if he wins the upcoming election. It is necessary to watch closely whether the next administration will find effective solutions within and outside the country.
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IEEJ 2018
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Osher Lifelong
18181818 thththth Century French Painting
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George Mason University George Mason University, Loudoun Campus , Loudoun Campus , Loudoun Campus
Fall Fall Fall Fall, 200
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Bob Lawshe, Bob Lawshe, Study Group Study Group Study Group Facilitator Facilitator Facilitator
Iron rusts from disuse, stagnant water loses its purity, and in cold weather becomes froze Iron rusts from disuse, stagnant water loses its purity, and in cold weather becomes frozen; even so does inaction sap the vigors of n; even so does inaction sap the vigors of the mind. the mind.
Leonardo da Vinci Leonardo da Vinci
YYYYoung people are in a condition like permanent intoxication, because youth is sweet and they are growing. oung people are in a condition like permanent intoxication, because youth is sweet and they are growing. oung people are in a condition like permanent intoxication, because youth is sweet and they are growing.
Aristotle
Aristotle
Aristotle Aristotle
Overview Overview
The goal of this class is to better understand 18 th Century French Painting. There is no attempt to provide a comprehensive review of the painting of this period, that would not be possible, at least
Learning Institute Learning Institute
for me. This class is not a lecture, rather, we will use the Study Group approach to jointly look at a number of paintings by artists of this time and see if we can gain some insight into the art of this period.
Session 1 Session 1
We start with two Baroque artists whose very different styles of painting greatly influenced subsequent artists. These artists are:
* Peter Paul Rubens, (1577 – 1640); and
* Nicolas Poussin, (1594 – 1665).
We will then move onto 18 th century French painters, who painted in what is often known as the Rococo style. We will see there is quite a bit a difference between them. The artists are:
* Jean-Antoine Watteau, (1684 – 1721).
We will also take a brief look at a Venetian;
* Giorgione (c. 1477 – 1510) (really either Giorgio Barbarelli or Giorgion da Castelfranco).
Session 2 Session 2
We will continue with the 18 th century French painters:
* Jean-Antoine Watteau; and
* François Boucher, (1703 – 1770).
Session 3 Session 3
We continue on with:
* Jean-Baptiste-Siméon Chardin, (1699 – 1779); and
* Jean-Baptiste Greuze, (1725 – 1805).
Session 4 Session 4
We will finish up with the last of the great "Rococo" painters and look at the coming of the NeoClassic with:
* Jean-Honoré Fragonard, (1732 – 1806); and
* Jacques-Louis David, (1748 – 1825).
If we have time we'll briefly look at:
* Hubert Robert, (1733 – 1808).
We will not only look at works by each of these artists but we will spend some time comparing and contrasting specific paintings.
List of Paintings List of Paintings
At the time this handout was prepared the following paintings were included. There may be changes by the time classes begin.
Rubens Rubens
Self-Portrait, 1639, Oil on canvas, 109.5 x 85 cm, Kunsthistorisches Museum, Vienna The Rape of the Sabine Women, 1635-37, Oil on wood, 170 x 236 cm, National Gallery,
London
The Garden of Love, c. 1633, Oil on canvas, 198 x 283 cm, Prado, Madrid
Poussin Poussin
t
Self-Por rait,
1650, Oil on canvas, 78 x 94 cm, Musée du Louvre, Paris
The Rape of the Sabine Women,1634-35, Oil on canvas, 154,6 x 209,9 cm, Metropolitan
Museum of Art, New York
Et in Arcadia Ego,1637-39, Oil on canvas, 185 x 121 cm, Musée du Louvre, Paris
Watteau Watteau
Self-Portrait,Pastel,Musée du Louvre, Paris
Gathering in a Park, 1712-13, Oil on canvas, 48 x 56 cm, Museo del Prado, Madrid
The Italian Comedy,1714, Oil on canvas, Staatliche Museen, Berlin
La Perspective, c. 1715, Oil on canvas, 47 x 55 cm, Museum of Fine Arts, Boston
Plaisirs d'amour, 1717, Oil on canvas, 61 x 75 cm; Gemaldegalerie, Dresden
Giorgione Giorgione
Self-Portrait, Oil on canvas, 52 x 43 cm, Herzog Anton Ulrich-Museum, Braunschweig. Tempest, c. 1505, Oil on canvas, 82 x 73 cm, Gallerie dell'Accademia, Venice Fête champêtre (Pastoral Concert), 1508-09, Oil on canvas, 110 x 138 cm, Musée du Louvre, Paris
Manet Manet
Le Dejeuner sur L'Herbe, 1863, Oil on canvas, 214 x 269 cm, Musee d'Orsay, Paris
Watteau Watteau (cont)
Le Faux Pas, Oil on canvas, 40 x 31.5 cm; Musée du Louvre, Paris The Embarkation from (to) Cythera, 1717, Oil on canvas, 129 x 194 cm, Musée du Louvre,
Paris
Pilgrimage from (to) Cythera,1717, Oil on canvas; 129 x 194 cm; Charlottenburg Palace,
Berlin
Harlequin and Columbine, 1716-18, Oil on wood, 36 x 26 cm, Wallace Collection, London Les Charmes de la Vie (The Music Party), c. 1718, Oil on canvas, 67 x 93 cm, Wallace Collection, London
Steen Steen
Music Making on a Terrace, 1670-75, Oil on canvas, 43.8 x 60.7 cm, National Gallery, London.
Watteau Watteau (cont)
Three Studies of a Lady with a Hat, c. 1715, Chalk on paper, 210 x 313 mm, Musées Royaux des Beaux-Arts, Brussels
Two Studies of the Head and Shoulders of a Little Girl, c. 1716-17; Red, black and white chalks on buff paper, 18.7 x 24.4 cm, Pierpont Morgan Library, New York
Fêtes Vénitiennes, 1718-19, Oil on canvas, 56 x 46 cm, National Gallery of Scotland, Edinburgh
Reunion en Plein Air, 1716-19, Oil on canvas, 60 x 75 cm Gemäldegalerie, Dresden Mezzetin, 1718-20, Oil on canvas, 55.2 x 43.2 cm, Metropolitan Museum of Art, New York Gilles, 1718-20, Oil on canvas, 184.5 x 149.5 cm, Musée du Louvre
Manet Manet
A Bar at the Folies-Bergère, 1882, Oil on canvas. Courtauld Institute Galleries, London
Watteau
Watteau
Watteau Watteau(cont)
(cont) (cont)
(cont)
L'Enseigne de Gersaint, 1720, Oil on canvas, 163 x 306 cm, Charlottenburg Palace, Berlin
Rubens Rubens
Coronation of Marie de Médicis, 1622-1625, Oil on canvas, 394 x 727 cm, Musée du Louvre, Paris
Boucher Boucher
Portrait by Gustav Lundberg, 1741, Pastel on blue paper, Musée du Louvre, Paris Painter in his Studio, (self portrait?), Oil on wood, 27 x 22 cm, Musée du Louvre, Paris Rinaldo and Armida, 1734, Oil on canvas, 135.5 x 170.5 cm, Musée du Louvre, Paris Hercules and Omphale, 1735, Oil on canvas, 90 x74 cm, Pushkin Museum, Moscow The Afternoon Meal, 1739, Oil on canvas, 81,5 x 65,5 cm, Musée du Louvre, Paris The Birth of Venus, 1740, Oil on canvas, 130 x 162 cm, Nationalmuseum, Stockholm
Botticelli Botticelli
The Birth of Venus, c. 1485, Tempera on canvas, 172.5 x 278.5 cm, Galleria degli Uffizi, Florence
Boucher (cont)
The Education of Cupid, 1742, Oil on canvas, 118 x 134 cm Schloss Charlottenburg, Berlin Diana Resting after her Bath, 1742, Oil on canvas, 56 x 73 cm, Musée du Louvre, Paris Chinese Dance, 1742, Oil on canvas, 42 x 65 cm, Musée des Beaux-Arts, Besançon La Pêche chinoise, 1742, Oil on canvas, Musée des Beaux-Arts, Besançon Madame Boucher, 1743, Oil on canvas, 57 x 68 cm, Frick Collection, New York L'Odalisque Brune, 1745, Oil on canvas, 53 x 64 cm, Musée du Louvre, Paris Are They Thinking About the Grape? 1747, Oil on canvas, Art Institute of Chicago, Chicago A Summer Pastoral, 1749, Oil on canvas, 259 x 197 cm, Wallace Collection, London An Autumn Pastoral, 1749, Oil on canvas, 260 x 199 cm, Wallace Collection, London The Interrupted Sleep, 1750, Oil on canvas, Metropolitan Museum of Art, New York The Forest , 1740, Oil on canvas, 131 x 163 cm, Musée du Louvre, Paris The Mill at Charenton, 1750s, Oil on canvas, 72 x 92 cm, Musée des Beaux-Arts, Orléans
Berchem Berchem
A Man and a Youth Ploughing with Oxen, 1650-5, Oil on canvas, 38.2 x 51.5 cm, National Gallery, London
Boucher (cont)
Blond Odalisque (L'Odalisque Blonde), 1752, Oil on canvas, 59 x 73 cm, Alte Pinakothek, Munich
Venus Demanding Arms from Vulcan for Aeneas, 1732, Oil on canvas, 252 x 175 cm, Musée du Louvre, Paris
Vulcan Presenting Venus with Arms for Aeneas, 1757, Oil on canvas, 320 x 320 cm, Musée du Louvre, Paris
Naiads and Triton, 1763(?), black and red chalk with white highlights on beige paper, Musée du Louvre, Paris
Portrait of Marquise de Pompadour, 1756, Oil on canvas, 201 x 157 cm, Alte Pinakothek, Munich
Portrait of Marquise de Pompadour, 1759, Oil on canvas, 91 x 68 cm, Wallace Collection, London
Nattier Nattier
Madame de Pompadour as Diana, 1752, Oil on canvas, 100.4cm x 79.5cm , Cleveland Museum
Drouais Drouais
, 1763-64, Oil on canvas, 217 x 157 cm, National Gallery, London
Madame de Pompadour
Chardin Chardin
Self-Portrait, 1771, Pastel, 46 x 38 cm, Musée du Louvre, Paris
The Ray, 1728, Oil on canvas, 114 x 146 cm, Musée du Louvre, Paris,
The Buffet,1728, Oil on canvas, 194 x 129 cm, Musée du Louvre, Paris
The Silver Tureen, c. 1728, Oil on canvas, 76.2 x 108 cm, Metropolitan Museum of Art, New York
The Copper Drinking Fountain, c. 1734, Oil on wood, 28.5 x 23 cm, Musée du Louvre, Paris Woman Taking Tea, 1735, Oil on canvas, 80 x 101 cm, The Hunterian Art Gallery, Glasgow The Young Schoolmistress, c. 1736, Oil on canvas, 61.5 x 66.5 cm, National Gallery, London The House of Cards, 1737, Oil on canvas, 82 x 66 cm, National Gallery of Art, Washington
Cezanne Cezanne
The Card Players, c. 1890-92, Oil on canvas, 45.08 x 57.15 cm, Musée du Louvre, Paris
Chardin (cont)
Pipes and Drinking Pitcher, 1737, Oil on canvas, Musée du Louvre, Paris The Attentive Nurse, c. 1738, Oil on canvas, 46 x 37 cm, National Gallery of Art, Washington Servant Returning from the Market (La Pourvoyeuse), 1738, Oil on canvas, 46 x 37 cm,
Schloss Charlottenburg, Berlin
Return from the Market,1739, Oil on canvas, 47 x 38 cm, Musée du Louvre, Paris
The Soap Bubble, c. 1739, Oil on canvas, 61 x 63 cm, Metropolitan Museum of Art, New York
Manet Manet
Boy Blowing Bubbles, 1867, Oil on canvas, 100.5 x 81.4 cm, Calouste Gulbenkian Museum, Lisbon
Chardin (cont)
Girl Peeling Vegetables, –, Oil on canvas, 46 x 37 cm, Alte Pinakothek, Munich
The Prayer before Meal, before 1740, Oil on canvas, 49 x 41 cm, Musée du Louvre, Paris The Prayer before Meal, 1744, Oil on canvas, 50 x 38.5 cm, The Hermitage, St. Petersburg Still-Life with Pheasant, c. 1750, Oil on canvas, 50 x 60 cm, National Gallery of Art, Washington
Water Glass and Jug, c. 1760, Oil on canvas, 32.5 x 41 cm, Museum of Art, Carnegie Institute, Pittsburgh
Still-Life with Jar of Olives,1760, Oil on canvas, 71 x 98 cm, Musée du Louvre, Paris
Heda Heda
Still Life with Goblet, 1653, Oil on Panel, Private Collection Still Life, 1653, Oil on panel, 44.5 x 62 cm, Rijksmuseum, Amsterdam
Chardin (cont)
The Attributes of Art, 1766, Oil on canvas, 113 x 145 cm, Institute of Arts, Minneapolis Self-Portrait with Eyeshade, 1775, Pastel, 46 x 38 cm, Musée du Louvre, Paris
Madame Chardin, 1776, Pastel, 45.5 x 37.5 cm, Art Institute of Chicago
Gr GrGr Greueueueuzezezeze
Self-Portrait, c. 1785, Oil on canvas, 73 x 59 cm, Musée du Louvre, Paris A Student, 1757, Oil on canvas, National Gallery of Scotland, Edinburgh L'Accordée de Village, 1761, Oil on canvas, 92 x 117 cm, Musée du Louvre, Paris
Watteau Watteau
The Marriage Contract, –, Oil on canvas, 47 x 55 cm, Museo del Prado, Madrid
Gr Gr GrGr Greueueueuzezezeze(cont)
(cont) (cont)
(cont)
Portrait of Georges Wille, 1763, Oil on canvas, 59 x 49 cm, Musée Jacquemart André, Paris The Broken Mirror, 1763, Oil on canvas, 56 x 46 cm, Wallace Collection, London Broken Eggs, 1756, Oil on canvas, 73 x 94 cm, Met., New York
Steen Steen
Celebrating the Birth, 1664, Oil on canvas, 89 x 109 cm, Wallace Collection, London
Gr GrGr Greueueueuzezezeze (cont)
Votive Offering to Cupid, 1767, Oil on canvas, 146 x 113 cm, Wallace Collection, London Septimius Severus and Caracalla, 1769, Oil on canvas, 124 x 160 cm, Musée du Louvre, Paris
Poussin
Poussin
Poussin Poussin
The Sacrament of Ordination, 1636-40, Oil on canvas, Collection of the Duke of Rutland, Belvoir Castle
Gr GrGr Greueueueuzezezeze (cont)
The Complain of the Watch,1770s, Oil on canvas, 79.3 x 61 cm, Alte Pinakothek, Munich
, 1774, Oil on canvas, 71 x 95 cm, Musée Fabre, Montpellier
Epiphany (Le gâteau des rois)
The Punished Son,1778, Oil on canvas, 130 x 163 cm, Musée du Louvre, Paris
, - , Pen drawing, Rijksmuseum, Amsterdam
Madame Greuze
, 1775-80, oil on panel, 66 x 55 cm, Musée Fabre, Montpellier
The Morning Prayer
The Broken Jug,1785, Oil on canvas, 110 x 85 cm, Musée du Louvre, Paris
Self-Portrait, c. 1785, Oil on canvas, 73 x 59 cm, Musée du Louvre, Paris
Innocence, c. 1790, Oil on panel, 63 x 53 cm, Wallace Collection, London
Mystery Painting #1
Mystery Painting #2
Fragonard Fragonard
Inspiration (self portrait?), 1769, 80 x 64 cm, Oil on canvas, Musée du Louvre, Paris Self Portrait, Oil on canvas, Musée Fragonard, Grasse
Jeroboam Offering Sacrifice for the Idol, 1752, Oil on canvas, 115 x 145 cm, École des Beaux-Arts, Paris
Psyche Showing her Sisters her Gifts from Cupid, 1753, Oil on canvas, 168 x 192 cm, National Gallery, London
The Musical Contest, c. 1754, Oil on canvas, 62 x 74 cm, Wallace Collection, London The Storm, c. 1759, Oil on canvas, 73 x 97 cm, Musée du Louvre, Paris
Ruisdael Ruisdael
The Windmill at Wijk bij Duurstede, c. 1670, Oil on canvas, 83 x 101 cm, Rijksmuseum, Amsterdam
Fragonard Fragonard (cont)
Cypresses in the Garden Avenue of the Villa, c. 1760, Drawing, Musée des Beaux-Arts, Besançon
Le petit parc, 1764-65, Oil on canvas, 37 x 45 cm, Wallace Collection, London The Cradle, 1761-65, Oil on canvas, 46 x 55 cm, Musée de Picardie, Amiens
Rembrandt Rembrandt
The Holy Family with Angels, 1645, Oil on canvas, 117 x 91 cm, The Hermitage, St. Petersburg
Fragonard Fragonard (cont)
Coresus Sacrificing Himself to Save Callirhoe, 1765, Oil on canvas, 309 x 400 cm, Musée du Louvre, Paris
The Swing, 1767, Oil on canvas, 81 x 64 cm, Wallace Collection, London
Inspiration, Abbé de Saint-Non, (Fanciful Figure), 1769, Oil on canvas, 80 x 65 cm, Musée du Louvre, Paris
Frans Hals Frans Hals
The Laughing Cavalier, 1624, Oil on canvas, 86 x 69 cm, The Wallace Collection, London
Fragonard
Fragonard
Fragonard Fragonard(cont)
(cont) (cont)
(cont)
Inspiration, Self Portrait? , 1769, 80 x 64 cm, Oil on canvas, Musée du Louvre, Paris
The Progress of Love: The Pursuit, 1773, Oil on canvas, 318 x 216 cm, Frick Collection, New York
The Progress of Love: The Meeting, 1773, Oil on canvas, 318 x 244 cm, Frick Collection, New York
The Progress of Love: The Lover Crowned, 1771-73, Oil on canvas, 318 cm x 243 cm, Frick Collection, New York
The Confession of Love, 1771, Oil on canvas, 318 x 215 cm, Frick Collection, New York
A Young Girl Reading, c. 1776, Oil on canvas, 82 x 65 cm, National Gallery of Art,
Washington
A Young Scholar, 1775-78, Oil on canvas, 45 x 38 cm, Wallace Collection, London A Boy as Pierrot, 1776-80, Oil on canvas, 60 x 50 cm, Wallace Collection, London The Bolt, c. 1778, Oil on canvas, 73 x 93 cm, Musée du Louvre, Paris The Love Letter, 1770s, Oil on canvas, 83.2 X 67 cm, Metropolitan Museum of Art, New York The Fountain of Love, 1785, Oil on canvas, 64 x 51 cm, Wallace Collection, London Young Woman Standing, 1775-85, Red chalk, 38 x 24.2 cm, Rijksmuseum, Amsterdam
David David
Self-Portrait,1791, Oil on canvas, 64 x 53 cm, Galleria degli Uffizi, Florence
The Combat of Mars and Minerva, 1771, Oil on canvas, 146 x 181 cm, Musée du Louvre, Paris
The Death of Socrates, 1787, Oil on canvas, 130 x 196 cm, Metropolitan Museum of Art, New York
The Intervention of the Sabine Women, 1799, Oil on canvas, Musée du Louvre, Paris Madame Récamier, 1800, Oil on canvas, 173 x 244 cm, Musée du Louvre, Paris
Gérard Gérard
Madame Récamier, 1802, Oil on canvas, 255 x 145 cm, Château de Versailles et de Trianon, Versailles
David David David David(cont)
(cont) (cont)
(cont)
Consecration of the Emperor Napoleon I and Coronation of the Empress Josephine, 180507, Oil on canvas, 629 x 979 cm, Musée du Louvre, Paris
Rubens Rubens
Coronation of Marie de Médicis, 1622-1625, Oil on canvas, 394 x 727 cm, Musée du Louvre, Paris
Robert Robert
Portrait, Elizabeth Vigee Le Brun, 1788, 100.5 cm x 84 cm, Oil on canvas, Musée du Louvre, Paris
A Scene in the Grounds of the Villa Farnese, Rome, c. 1765, Oil on panel, 25 x 35 cm, Private collection
The Pont du Gard, 1787, Oil on canvas, 242 x 242 cm, Musée du Louvre, Paris
Washerwomen, 1796, Oil on canvas, 60.3 x 41.6 cm, Museum of Fine Arts, Boston
Design for the Grande Galerie in the Louvre, 1796, Oil on canvas, 112 x 143 cm, Musée du Louvre, Paris
Design for the Grande Galerie in the Louvre, 1796, Oil on canvas, 112 x 143 cm, Musée du Louvre, Paris
Imaginary View of the Grande Galerie in the Louvre in Ruins, 1796, Oil on canvas, 114.5 x 146 cm, Musée du Louvre, Paris
Avenue in a Park, 1799, Oil on canvas, 59 x 38.8 cm, Musées Royaux des Beaux-Arts, Brussels
Dimensions Dimensions
Dimensions of paintings are given in centimeters. To convert to inches use the following formula – (Centimeters x 0.3937 = inches) which is reflected in the following table.
| | Centimeters | | | | Inches | | | | Feet | |
|---|---|---|---|---|---|---|---|---|---|---|
| 55.2 | | x | 43.2 | 21.73 | | x | 17.01 | 1.81 | | x |
| 82 | | x | 73 | 32.28 | | x | 28.74 | 2.69 | | x |
| 67 | | x | 93 | 26.38 | | x | 36.61 | 2.2 | | x |
| 129 | | x | 194 | 50.79 | | x | 76.38 | 4.23 | | x |
| 154.6 | | x | 209.9 | 60.87 | | x | 82.64 | 5.07 | | x |
| 163 | | x | 306 | 64.17 | | x | 120.47 | 5.35 | | x |
| 394 | | x | 727 | 155.12 | | x | 286.22 | 12.93 | | x |
Images Images
Images in the course come from these web sites:
Web Gallery of Art – http://www.wga.hu/index1.html
Web Museum, Paris – http://www.ibiblio.org/wm/paint/auth/
To find out about Rococo Art in various museums try Artcyclopedia – http://www.artcyclopedia.com/history/rococo.html
Further Study Further Study
In addition to the above web site you can try:
de Goncourt, Edmond and Jules, French XVIII Century Painters, Phaidon Press, London, 1948 Levey, Michael, Rococo to Revolution, Praeger, New York, 1966
Forming Questions/Considering Issues* Forming Questions/Considering Issues*
Knowledge – Recalling information, identifying
What is __________?
Can you explain __________?
Who is __________?
Can you identify __________?
Where is __________?
What do you know about __________?
How did __________?
What do you remember about __________?
Comprehension – Organizing, selecting facts
Can you define __________?
What is/are the main idea(s) of __________?
Restate the __________ in your own words. What does __________ mean?
What can we say about __________?
Can you give an example(s) of__________?
What are the relationships between ________?
Application – Using facts, rules, principles
How does _______ cause _______ to happen? How is __________related to __________? Why is __________ significant? Can you show how __________? Can you predict the probably effect of ______? Have you had a similar experience?
Analysis – Breaking the whole into component parts
How does __________ compare/contrast with
__________?
What evidence do we have __________?
What are some of the problems related to ___? What are the features of __________?
What are the causes of __________?
Can you identify the motive of __________?
What can we tell about (character, plot,
setting) __________
Why does the author __________?
Synthesis – Combining ideas to form a new whole
Can you predict the probably effect of ______? Can you suggest a solution for __________? How would you design/create a new _______? How can we improve __________? Suppose you could __________
Have you had a similar experience?
What might happen if we combined ________
and __________?
What is another way to __________?
How can we solve __________?
Evaluation – Developing opinions, judgments, decisions
Do you agree __________? To what degree __________? Would it be better if __________?
What do you think about __________?
Why do you think __________?
What criteria would you use to assess
__________?
What is the most important __________?
What is your considered view of __________? *Based on Blooms’s Taxonomy
Some Differences Between Dialogue And Debate Some Differences Between Dialogue And Debate
Dialogue
Is collaborative: multiple sides work toward shared understanding.
One listens to understand, to make meaning, and to find common ground.
Enlarges and possibly changes a participant's point of view
Debate
Is oppositional: two opposing sides try to prove each other wrong.
One listens to find flaws, to spot differences, and to counter arguments.
Defends assumptions as truth.
Dialogue
point of view.
Creates an open-minded attitude: an openness to being wrong and an openness to change.
One submits one's best thinking, expecting that other people's reflections will help improve it rather than threaten it.
Calls for temporarily suspending one's beliefs.
One searches for strengths in all positions.
Respects all the other participants and seeks not to alienate or offend.
Assumes that many people have pieces of answers and that cooperation can lead to a greater understanding.
Remains open-ended.
Characterized by:
* Suspending judgment;
* Examining our own work without defensiveness;
* Exposing our reasoning and looking for limits to it;
* Communicating our underlying assumptions;
* Exploring viewpoints more broadly and deeply;
* Being open to disconfirming data;
* Approaching someone who sees a problem differently not as an adversary, but as a colleague in common pursuit of better solution.
Debate
Creates a close-minded attitude, a determination to be right.
Submits one's best thinking and defends it against challenge to show that it is right.
Calls for investing wholeheartedly in one's beliefs.
One searches for weaknesses in the other position.
Rebuts contrary positions and may belittle or deprecate other participants.
Assumes a single right answer (that somebody already has).
Demands a conclusion.
Characterized by:
* Kinda the contrary of the other side, i.e., trying to win the debate.
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+(960) 301 8300
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ްމިނިސްޓ ްރީ އޮފް އެންވަޔަރަންމަންޓ ީއެންޑް އެނަރޖ .ެމާލެ، ދިވެހިރާއްޖ
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127 CCD/438/2017/ - (IUL)438
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"ް"ސްޓްރެންތެނިންގ ލޯ ކާބަން އެނަރޖީ އައިލެންޑް ސްޓްރެޓެޖީސ ޭމަޝްރޫޢުއަކީ މިމިނިސްޓްރީއާއި އ.ދ ގެ ތިމާވެއްޓާއިބެހ ޖަމްޢިއްޔާ ޔުނައިޓެޑް ނޭޝަންސް އެންވަޔަރަންމަންޓް ޕްރޮގްރާމް )ޔުނެޕް( ގުޅިގެން ގްލޯބަލް އެންވަޔަރަންމަންޓް ފެސިލިޓީ )ޖީ.އީ.އެފް( ގެ އެހީގެ ދަށުން، ކުރިއަށް ގެންދާ މަޝްރޫޢުއެކެވެ. މިމަޝްރޫޢުގެ މައިގަނޑު ބޭނުމަކީ، އިމާރާތްތަކުގެ ދާއިރާއިން ޖައްވަށްބޭރުކުރެވޭ ވިހަގޭސް )ގްރީންހައުސް ގޭސް( މަދުކޮށް މިދާއިރާއިން ހަކަތަ އިސްރާފުކުރުން މަދުކުރުމާއި އަދި ތިމާވެއްޓާއި ރައްޓެހިގޮތުގައި ހަކަތަ ބޭނުންކުރުން އިތުރުކުރުމެވެ.
ުމިމަޝްރޫއ ގެ މަސައްކަތަށް، ކަނޑައެޅިފައިވާ އިމާރާތްތަކެއްގައި ހަކަތަ އިޤްތިޞާދު ކުރެވޭނެ ގޮތްތަކެއް ދިރާސާކޮށް ފަރުމާ ކުރާނެ ފަރާތެއް ހޯދު މަށް ބޭނުންވެއެވެ.
ެމަސައްކަތުގ" ް" ޓާރމްސް އޮފް ރިފަރެންސ ްމިމިނިސްޓްރީގެ ވެބްސައިޓ www.environment.gov.mv ްއިން ޑައުންލޯޑ .ެކުރެވެން ހުންނާނެއެވ އަދި މި އިޢުލާނާއެކު ޑައުންލޯޑް ކުރެވޭގޮތަށް އެޓޭޗް ކުރެވިފައިވެސް ވާނެއެވެ.
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ާވީމާ، މި މަސައްކަތް ކޮށްދެއްވަން ޝައުގުވެރިވ ުފަރާތްތަކުން ބީލަން ފުރިހަމަކޮށް ސިޓީ އުރައެއްގައި ބަންދ ކޮށް ތިރީގައިވާގޮތަށް ޖެއްސެވު މަށްފަހު 24 ިޖުލައ2017 ަވާ ހޯމ ެދުވަހުގ11:30 .ެގައި ހުށަހެޅުއްވުން އެދެމެވ
އނދސ.ހސބހށހޅނވނތރގއމވގތށއޑރސކށފއވ
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ީމިނިސްޓްރީ އޮފް އެންވަޔަރަމަންޓް އެންޑް އެނަރޖ
،ެހަނދުވަރީ ހިނގުން، މާފަންނު، މާލ20392 ، ެދިވެހިރާއްޖ
:ުފޯނ3018341
960 +:ްފެކްސ3018301 960 +
ްގްރީން ބިލްޑިންގ، ހަނދުވަރީ ހިނގުނ ،
މާފަންނު، މާލެ، 20392 ، .ެދިވެހިރާއްޖ firstname.lastname@example.org www.twitter.com/ENVgovMV www.facebook.com/environment.gov.mv
1ޙ ާަ ފ ް
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Ministry of Environment and Energy
Male', Republic of Maldives.
ީމިނިސްޓްރީ އޮފް އެންވަޔަރަންމަންޓް އެންޑް އެނަރޖ
.ެމާލެ، ދިވެހިރާއްޖ
Announcement Reference No:
(IUL) 438-CCD/438/2017/127
Consultancy Services for Assessment and Design of Cost Effective, Energy Efficiency
Improvements for Selected Buildings
The Ministry of Environment and Energy has received financial assistance from Global Environment
Facility (GEF) administered by the United Nations Environment Programme (UNEP) to reduce greenhouse gas (GHG) emissions through energy efficiency in the building sector. Strengthening Low
Carbon Energy Island Strategies (LCEI) and intends to procure services of a consultancy firm to conduct an assessment and design cost effective, energy efficiency improvements for selected
buildings.
Ministry invites eligible consultancy firms to submit proposals according to the Terms of Reference.
The detail TOR for the consultancy is available to download from the ministry's website
(http://www.environment.gov.mv
) and also TOR can be directly downloaded from this announcement.
th
Proposals must be delivered in sealed envelopes to the address below on 24
July 2017 at 1130 hours local time. Electronic bidding will not be permitted. Late bids will be rejected. Bids will be opened in
th the presence of the bidders’ representatives at the address below on 24
July 2017 at 1130 hours.
Procurement Section
Ministry of Environment and Energy
Contact number: 3018341
email@example.com
Green Building, Handhuvaree Hingun, Maafannu
Male', 20392, Republic of Maldives
ޞ
ޞ ަ ަ ފ ް
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ގ ެ ތ ެ ރ ެ އ ި ނ
1
Green Building, Handhuvaree Hingun,
Maafannu, Male', 20392, Republic of Maldives.
+(960) 301 8300
www.environment.gov.mv
+(960) 301 8301
MINISTRY OF ENVIRONMENT AND ENERGY
Male' Republic of Maldives
ADVERTISEMENT NUMBER: (IUL) 438-CCD/438/2017/127
TERMS OF REFERENCE
Assessment and Design of Cost Effective, Energy Efficiency Improvements for Selected Buildings
[22 nd June 2017]
Prepared by:
Project Management Unit
Table of Contents
1. Introduction & Background
The Republic of the Maldives has strongly identified their intention to transition to a low carbon economy. As a result, many interventions have been proposed. On an economy-wide basis, the business as usual scenario for GHG emissions show a growth of 92% to 2.5 Mt CO2-e by 2020, from the estimate of 1.3 Mt CO2-e for 2009 (Carbon audit, conducted to IPCC standards in 2009). Electricity generation/consumption accounted for 82% of greenhouse gas emissions in the 2009 estimates. Electricity use and its associated diesel consumption is expected to grow strongly: from 79MW in 2010 to 117 MW in 2020, 48% in 10 years (SARI/Energy study). However, building sector projects focus on social housing and housing needs, not on the energy efficiency of these contributions.
Maldives faces a particular series of challenges in the building sector, including high import cost of construction materials, historic depletion of natural resources (past use of coral materials in construction works, which is now prohibited by law) and high population density of its capital city Malé with small population groups dispersed across multiple islands and atolls.
The building sector of the Maldives is generally under-investing in energy efficiency and other low carbon energy building technologies due to diffused responsibility for energy consumption over the lifetime of any given building. For example, there are no nationally coordinated efforts to promote energy efficient building and municipal technologies, such as efficient lighting. A comprehensive set of standards, rating systems, market suasion and innovation incentive tools are needed to break the stagnation in progressive improvements. Key constraints to these processes include fragmentation of stakeholders, lack of awareness, lack of means for key decision makers to participate in the global process to design a common benchmarking system, lack of capacity to adequately analyse the needs for policy intervention at local levels, and inadequate capacity to build capacity to collect local level data required for baselines and policy tools, such as information about availability of materials, products, services and the local level of technological development.
The existing policies and regulations lack provisions to encourage adoption of energy efficient design and the use or integration of efficient appliances, including incentives (or 'push') for existing building stocks to retrofit towards energy conservation and energy efficiency. The existing polices do not include energy efficiency guidelines or standards for building material and design, and building construction. Energy efficiency can be promoted under other names - good lighting,
Terms of Reference natural ventilation, preventing solar heat gain - to achieve EE outcomes. Although there is some awareness within the building design and construction industry of the basic design and construction methods for energy efficiency in buildings, there is room for substantial improvement through the preparation and implementation of guidelines, standards and possibly codes that focus on energy efficiency measures including energy efficient construction materials for new construction.
The Project "Strengthening Low Carbon Energy Island Strategies Project (LCEI)", intends to invest part of the funds to the development of monitoring and assessment systems and phased implementation plan for strengthening the legal framework on building energy efficiency in the Maldives
LCEI Project is implemented by Ministry of Environment and Energy (MEE) with support from UNEP and funded by the Government of Maldives and the Global Environmental Facility (GEF). The project aims to reduce greenhouse gas (GHG) emissions through energy efficiency in the building sector.
2. Objective
The objective of this consultancy is the assessment and design of cost effective energy efficiency improvements in selected buildings.
3. Scope
The assignment involves 4 buildings:
1. Building 1: Velaanaage Building, Male' – assessment and design EE improvements
2. Building 2: A residential building under the HDC, Hulhumale' (approximate building size: 350 sqm, 4 floors) – assessment and design EE improvements
3. Building 3: Mosque (approximate size: people capacity 800, located in Male', Vilimale' or Hulhumale') – assessment and design EE improvements
4. Building 4: Maldives Meteorological Service office in Seenu Gan – assessment only
All the buildings will require a detailed energy audit. The results of the energy audit must show an energy efficiency indicator measurement - energy efficiency per square ft, or per number of persons and energy consumption patterns in the buildings. Using the results of the energy audit, cost
Terms of Reference effective energy efficiency improvements will have to be developed for the buildings (Velaanaage', Residential building and mosque).
The designs shall consist of architectural, building materials and building services modifications and/or retrofits. Implementing the proposed designs and modifications is NOT part of this terms of reference.
4. Indicative Tasks
The following are indicative tasks to achieve the objectives above, but are not necessarily limited to the following activities:
1. Inception – meetings with stakeholders and finalizing the detailed methodology for conducting the assessment
2. Review relevant documents such as the Maldives Construction Act (Number 4/2017, Dhivehi) and Maldives Building Code (Draft, English) and Planning Regulations (2015/R192, Dhivehi) and amendments. In case any translations are required, it must be obtained by the consultant.
3. Conduct a detailed energy audit of the selected buildings - Assess the baseline energy consumption, building envelope, internal space design and usage, and materials used. Taking metered data for the detailed audit is required for Velaanaage building for a duration of 1 week (minimum). Other buildings may be assessed based on utility bill information, initial walk through audit, assessing the drawings and the building, taking inventory of equipment etc.
4. Each building's design and energy consumption shall be assessed for features that enable energy efficiency and those features that make it consume more energy.
5. Analyze and design energy efficiency improvements - The proposed improvements must be cost effective and explore materials easily available/accessible in the Maldives. The proposed improvements must also be within the limits set by the Maldives Building Act and Planning regulations.
6. Estimate energy savings and GHG reductions from the recommended energy efficiency improvements
7. Recommend a monitoring plan for undertaking continuous energy consumption monitoring of these buildings to measure the benefits (energy and GHG) of implementing the energy
Terms of Reference efficiency improvements – the monitoring plan must include any extra equipment needed, including specifications, measurement points and any other activities and arrangements that will need to be undertaken. Implementing the monitoring plan is NOT part of this terms of reference.
8. Dissemination workshop (1 day) to share the findings of the assessment
9. The final report shall be a single structured report and must include the following chapters. The drafts of these chapters are shall be delivered as per the schedule under "Deliverables" and when finalized will make the main content of the final report:
* Energy audits of the 4 buildings
* Designs of cost effective energy efficiency improvements for building 1, 2 and 3
* Recommended monitoring plan for undertaking continuous energy consumption monitoring for building 1, 2 and 3 (refer to indicative task #7)
5. Deliverables
| Deliverable | Delivery Date* |
|---|---|
| 1. Inception report with detailed methodology and work plan | 3 weeks |
| 2. Draft energy audit report for the 4 buildings | 10 weeks |
| 3. Draft design of cost effective energy efficiency improvements for the 3 buildings 4. Draft report on recommended monitoring plan for undertaking continuous energy consumption monitoring in the 3 buildings | 16 weeks |
| 5. The Final Report (refer to #9 under “indicative tasks”) | 19 weeks |
| 6. Stakeholder dissemination workshop** | TBC |
* From the date of contract signing
** Logistical and financial arrangements for workshop (venue, catering and invitations) will be supported by the project.
6. Duration of the Consultancy
Duration of the assignment is 4.5 calendar months upon signing the contract.
7. Reporting Requirements
Consultants are expected to work closely with the LCEI project management unit and the Ministry of Housing and Infrastructure.
The consultants will report directly to LCEI Project Manager.
The consultants shall attend progress meetings once every 3 weeks with the LCEI PMU. Team leader and key members must participate in the progress meetings. Key members who are not in Maldives at the time of the meeting shall participate via skype.
For meetings held under this consultancy, the Minutes of Meeting must be provided to the Project Management Unit within 2 days of the meeting.
8. Requirements for Experience and Qualifications
The following consultants are required for the assignment
| 1 | Building Energy Efficiency Expert (Team Leader) |
|---|---|
| 2 | Energy Auditor Expert |
| 3 | Building sector national expert |
Interested companies should provide CVs and commitment letters of team members meeting the following requirements:
1) Building Energy Efficiency Design Expert (Team Leader)
o Must have postgraduate qualification in relevant field e.g. Architecture, Energy management, Engineering or related field;
o Minimum 3 year post qualification experience in professional, commercial or industrial energy management analysis (Other combinations of education, training and experience will be evaluated on an individual basis for comparability).
o Must have experience with climate change mitigation, GHG reduction assessments for energy efficiency improvements
o Must have demonstrated experience in conducting building energy efficiency assessments
o Must have demonstrated experience and abilities to pro-actively lead and coordinate a team, including strong interpersonal skills with ability to multi-task and maintain effective work relationships with diverse range of institutional partners and undertake complex assignments.
o Must have excellent speaking, reading and writing skills in English
o Must have excellent presentation and report writing skills in English.
2) Energy Auditor Expert
o Diploma in relevant field from a recognized institution with demonstrated experience in energy auditing, and not less than 5 years wok experience could also be considered
o Must have undergraduate qualification in relevant field e.g. Engineering, Energy Management, Energy Auditing, Building Services Engineering or related field with demonstrated experience in conducting energy audits;
o Minimum 2 year post qualification experience in energy audit of public and residential buildings;
o Must have excellent presentation and report writing skills in English.
o Must have significant experience in conducting building sector baseline energy assessments with cost and benefit analysis energy consumption improvements.
o Must have excellent speaking, reading and writing skills in English
3) Building sector expert (National)
o Minimum 3 years post qualification work experience in Maldives building construction/design sector
o Must have undergraduate qualification in a building related field e.g. Civil Engineering, Architecture, or related field
o Must have excellent working knowledge of building design/construction sector of the Maldives – must be described in the CV
o Must have the ability to work well in a team
o Must have excellent communication skills in Dhivehi and English.
9. Selection criteria
The following criteria's will be applied during the evaluation of the proposals and attention should be paid while preparing the proposals.
Points
| (A) Project Team | [100] |
|---|---|
| Building Energy Efficiency Expert (Team Leader) | [40] |
| Energy Auditor Expert | [40] |
| Building sector national expert | [20] |
The number of points to be assigned to each of the above positions or disciplines shall be determined considering the following three sub-criteria and relevant percentage weights:
| (B) Approach, Methodology &Work plan | [100] |
|---|---|
| Approach & Methodology | [60] |
| Work plan of the Assignment | [40] |
|---|---|
| Total C | [ ] |
Technical Score (St) = A/100*[W1] + B/100*[W2]
Weights Distribution
Sf = 100 * Fm / F, in which Sf is the financial score, Fm is the lowest price and F the price of the proposal under consideration.
The formula for determining the financial scores is the following:
The weights given to the Technical and Financial score are:
P = [0.4] ] * Sf
T = [0.6] * St, and
10. Payment
Payments will be in Maldivian Rufiyaa in accordance with the schedule specified below:
| | REQUIREMENT | ALLOCATION |
|---|---|---|
| Submission and acceptance of inception report with finalized detailed methodology and work plan | | |
| Submission and acceptance of draft audit report for 4 selected buildings | | |
| Submission and acceptance of draft report – design of cost effective energy efficiency improvements for the 3 buildings Submission and acceptance of draft report on recommended monitoring plan for undertaking continuous energy consumption monitoring in the 3 buildings | | |
* Logistical and financial arrangements for workshop (venue, catering and invitations) will be supported by the project.
11. Additional Information
The Project Management Unit of Strengthening Low Carbon Energy Island Strategies of MEE has overall responsibility for the management of the contract and contractual reporting obligations.
Documents and data provided by the government for the purpose of this assessment which is not of public nature shall be considered confidential and should not be disclosed to any other party.
All outputs and materials produced as part of this TOR shall be handed over to Project Management Unit (PMU) of Strengthening Low Carbon Energy Island Strategies at the end of the contract and will become the Ministry of Environment and Energy's sole property.
If international consultants are engaged in the assignment, obtaining the necessary visa and documents are the responsibility of the consultant. The MEE will only provide the necessary visa facilitation letter.
If international consultants are proposed for the team positions 1 or 2, at minimum, they are expected to be physically present in the Maldives to (1) assess the buildings, (2) to present and discuss the draft energy efficiency improvement designs and monitoring plan, and (3) at the dissemination workshop.
For the dissemination workshop: invitations, catering and venue will be financed directly by the project. This cost should not be included in the price quotation.
12. Application
Consultants should submit their proposals containing the following (Standard forms provided in Annex 1):
* Completed proposal submission form (FORM-1)
* Completed financial breakdown form (FORM-2) – Please refer to "11. Additional Information" of this terms of reference.
* Brief description of the company and an outline of recent similar consultancy services provided along with references.
* A description of the approach, methodology and work plan for performing the assignment covering the following subjects: technical approach and methodology, work plan, and
Terms of Reference organization and staffing schedule. Guidance on the content of this section is provided in FORM-3 . The list of the proposed professional staff team, the position that would be assigned and their tasks ( FORM-4 ).
* The description of the work plan shall be given in FORM 3, and summary presented in the format in Work Schedule (FORM -5) which will show in the form of a bar chart the timing proposed for each activity.
* Demonstrations of required experiences listed in this TOR along with detailed CVs of the experts signed by the expert themselves and letter of commitment from each member to undertake the project.
* Required experiences and other experiences relevant to this TOR must be specified separately or highlighted in their respective CVs.
* Copy of Company Registration
* Copy of GST Registration
13. Queries
For any queries please email to firstname.lastname@example.org and CC to email@example.com before 1700hrs of 05th July 2017. Answer will be provided to all the queries received by the deadline and will be made available via the Ministry website (www.environment.gov.mv) and Ministry Facebook page (@environment.gov.mv) on 10th July 2017.
14. Submission
Proposals must be delivered in sealed envelopes titled "Assessment and Design of Cost Effective, Energy Efficiency Improvements for Selected Buildings" to the address below on 24 th July 2017 at 1130 hours local time. Electronic bidding is not permitted. Late bids will be rejected. Bids will be opened in the presence of the bidders' representatives at the address below on 24 th July 2017 at 1130.
Procurement Section
Ministry of Environment and Energy Green Building, Handhuvaree Hingun, Maafannu Male', 20392, Republic of Maldives firstname.lastname@example.org
ANNEX1: STANDARDFORMS
1. STANDARD FORMS
FORM -1: PROPOSAL SUBMISSION FORM
[Location, Date]
To: [Name and address of Client]
Dear Sirs:
We, the undersigned, offer to provide the “Assessment and Design of Cost Effective, Energy Efficiency Improvements for Selected Buildings” in accordance with your Terms of Reference dated [ Insert Date ] and our Proposal. We are hereby submitting our Proposal; our financial offer is for the sum of [ Insert amount(s) in words and figures (Should quote the amount in Maldivian Rufiyaa) ] which is inclusive of the local taxes.
We hereby declare that all the information and statements made in this Proposal are true and accept that any misinterpretation contained in it may lead to our disqualification.
If negotiations are held during the period of validity of the Proposal, we undertake to negotiate on the basis of the proposed staff. Our Proposal is binding upon us and subject to the modifications resulting from Contract negotiations.
We undertake, if our Proposal is accepted, to initiate the services and fulfill the requirements of the terms of reference.
We understand you are not bound to accept any Proposal you receive.
We remain,
Yours sincerely,
Authorized Signature [In full and initials]:
Name and Title of Signatory:
Name of Company:
Address:
FORM-2: FINANCIAL BREAKDOWN
| Description |
|---|
| Total : |
| GST : |
Indicate the total cost with detail cost to be paid in Maldivian Rufiyaa.
Note: The total contract price should be quoted inclusive of Goods and Services Tax (GST) as per the GST Legislation and Circulars.
*Client will make arrangements for venue and catering for the stakeholder workshop
FORM-3: DESCRIPTION OF APPROACH, METHODOLOGY AND WORK PLAN FOR PERFORMING THE ASSIGNMENT
Technical approach, methodology and work plan are key components of the Technical Proposal. You are suggested to present your Technical Proposal divided into the following three chapters:
a) Technical Approach and Methodology,
c) Organization and Staffing,
b) Work Plan, and
a) Technical Approach and Methodology. In this chapter you should explain your understanding of the objectives of the assignment, approach to the services, methodology for carrying out the activities and obtaining the expected output, and the degree of detail of such output. You should highlight the problems being addressed and their importance, and explain the technical approach you would adopt to address them. You should also explain the methodologies you propose to adopt and highlight the compatibility of those methodologies with the proposed approach.
b) Work Plan. In this chapter you should propose the main activities of the assignment, their content and duration, phasing and interrelations, milestones (including interim approvals by the Client), and delivery dates of the reports. The proposed work plan should be consistent with the technical approach and methodology, showing understanding of the TOR and ability to translate them into a feasible working plan.
c) Organization and Staffing. In this chapter you should propose the structure and composition of your team. You should list the main disciplines of the assignment, the proposed professional staff responsibility.
FORM-4: TEAM COMPOSITION AND TASK ASSIGNMENT
FORM-5: WORK SCHEDULE
| | 1st | 2nd | 3rd | 4th | 5th | 6th | 7th | 8th | 9th | 10th | 11th | 12th |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Activity (Work) | | | | | | | | | | | | |
| _______________ | | | | | | | | | | | | |
| _______________ | | | | | | | | | | | | |
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Recreational football for disease prevention and treatment in untrained men: a narrative review examining cardiovascular health, lipid profile, body composition, muscle strength and functional capacity
Bangsbo, Jens; Hansen, Peter Riis; Dvorak, Jiri; Krustrup, Peter
Published in:
British Journal of Sports Medicine
DOI:
10.1136/bjsports-2015-094781
Publication date:
2015
Document version
Publisher's PDF, also known as Version of record
Document license:
CC BY-NC
Citation for published version (APA):
Bangsbo, J., Hansen, P. R., Dvorak, J., & Krustrup, P. (2015). Recreational football for disease prevention and treatment in untrained men: a narrative review examining cardiovascular health, lipid profile, body composition, muscle strength and functional capacity. British Journal of Sports Medicine, 49(9), 568-576. https://doi.org/10.1136/bjsports-2015-094781
Download date: 21. okt.. 2020
1 Department of Nutrition, Exercise and Sports, Copenhagen Centre for Team Sport and Health, University of Copenhagen, Copenhagen, Denmark
Department of Cardiology,
2
Gentofte Hospital, Gentofte,
Denmark
FIFA
3
—
Medical Assessment and Research Centre (F-MARC)
and Schulthess Klinik, Zurich,
Switzerland
Sport and Health Sciences,
4
College of Life and
Enviromental Sciences,
University of Exeter, Exeter, UK
Correspondence to
Dr Professor Peter Krustrup, Department of Nutrition, Exercise and Sports, Copenhagen Centre for Team Sport and Health, University of Copenhagen, Copenhagen Ø 2100, Denmark; email@example.com
To cite: Bangsbo J,
Hansen PR, Dvorak J, et al.
Br J Sports Med
2015; 49:568–576.
Recreational football for disease prevention and treatment in untrained men: a narrative review examining cardiovascular health, lipid profile, body composition, muscle strength and functional capacity
Jens Bangsbo, 1 Peter Riis Hansen, 2 Jiri Dvorak, 3 Peter Krustrup 1,4
ABSTRACT
Over the past 10 years, researchers have studied the effects of recreational football training as a healthpromoting activity for participants across the lifespan. This has important public health implications as over 400 million people play football annually. Results from the first randomised controlled trial, published in the BJSM in January 2009, showed that football increased maximal oxygen uptake and muscle and bone mass, and lowered fat percentage and blood pressure, in untrained men, and since then more than 70 articles about football for health have been published, including publications in two supplements of the Scandinavian Journal of Medicine and Science in Sports in 2010 and 2014, prior to the FIFA World Cup tournaments in South Africa and Brazil. While studies of football training effects have also been performed in women and children, this article reviews the current evidence linking recreational football training with favourable effects in the prevention and treatment of disease in adult men.
THE PHYSIOLOGY OF RECREATIONAL FOOTBALL—WHY MIGHT TRAINING CONFER HEALTH BENEFITS?
Recreational football training conducted as smallsided games (4v4 to 6v6) has broad-ranging physiological effects, with more pronounced changes achieved than through recreational running, interval running and fitness training. 1 – 4 Its marked effect on the cardiovascular system may, in part, be a result of average heart rates being around 80% of maximal heart rate (HRmax) during training, with substantial time spent at 80–90% and above 90% HRmax during a 1 h training session, irrespective of age, fitness status and previous experience of football training (figure 1).
Notably, overweight men with type 2 diabetes mellitus (T2DM), 65–75-year-old men with no prior experience of football and men with prostate cancer, were all able to perform football training with much time spent above 80% HRmax. 5 – 7 These groups carried out the training at an intensity as high as lifelong-trained veteran (masters) football players. 8 Generally, the participants conducted more than 100 high-intensity runs and specific intense actions such as dribbles, shots, tackles, turns and jumps per training session. Importantly, despite the high heart rates during training, recreational football training had the lowest score in perceived exertion (3.9 of 10) in comparison with other activities such as jogging, interval running and fi tness training. 9 10 This may be one reason why participants in the training studies usually found the game enjoyable and maintained their interest in football training even after the intervention study period was over. 11 – 13
CARDIOVASCULAR EFFECTS OF RECREATIONAL FOOTBALL
Blood pressure and heart rate at rest
fi-
Many studies have shown that a period of recreational football training lowers blood pressure in normotensive untrained participants (table 1). Systolic blood pressure in middle-aged men was typically reduced by 7–8 mm Hg after a 3-month training period, higher than the 3–4 mm Hg reduction often seen with other types of exercise modalities with the same duration and frequency. 14 Also, diastolic pressure was lowered (5–7 mm Hg) significantly after a period of recreational football (table 1). It should be noted, however, that in some studies, blood pressure was not reduced by a period of football training, which may be due, in part, to the inclusion of healthy participants with low baseline values in these studies (table 1).
Recreational football training lowers blood pressure remarkably in patients with hypertension. Thus, football training twice a week for 24 weeks led to men's systolic blood pressure falling from 151 to 139 mm Hg, and diastolic pressure, from 92 to 84 mm Hg. 15 Three quarters of the participants reached systolic and diastolic blood pressure values below 140 and 90 mm Hg, respectively.
Football training also lowers blood pressure in patients with T2DM. Approximately 80% of patients with T2DM are hypertensive, which nearly doubles the risk of adverse cardiovascular events. 16 In patients with T2DM, systolic and diastolic blood pressure was reduced by 9 and 8 mm Hg, respectively, through 12 weeks of football training, with no further change in the following 12 weeks of football training. 17 These reductions in blood pressure are more pronounced than those reported for other exercise interventions with hypertensive and patients with T2DM, where reductions in resting mean blood pressure of 3–5 mm Hg are observed after 3 months of training and compares favourably with commonly used medication such as β-blockers. 18 19
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Figure 1 Heart rate distribution, expressed as a percentage of maximum heart rate, during football training consisting of small-sided games for various study groups. Data are presented as means±SEM. HRmax, maximal heart rate.
In addition, in a randomised study of prostate cancer, patients receiving androgen deprivation therapy (gonadotropin-releasing hormone agonists with or without anti-androgens), systolic and diastolic blood pressures were 3 mm Hg lower after 12 weeks of football training. This was, however, not significantly different from changes in the control group. 7 The lack of change in blood pressure observed in these patients, where approximately 50% received antihypertensive therapy and most had been treated for prostate cancer for more than 3 years, may have been due to bias associated with low blood pressures and optimal blood pressure control at baseline owing to long-term medical surveillance of cardiovascular risk factors associated with androgen deprivation therapy. 20
improve endothelium-dependent vasodilation in large conduit arteries, the effects on microvascular endothelial function, a primary determinant of peripheral vascular resistance, are less clear. 23 – 25 Indeed, in four of the more recent football training studies of men with hypertension, T2DM or prostate cancer with androgen deprivation therapy and elderly male participants, there was no change in microvascular reactive hyperaemic index, a measure of microvascular endothelial function determined by peripheral arterial tonometry. 15 26
The mechanisms behind the larger blood pressure reduction after a period of recreational football training compared with other training modalities are not clear. In almost all studies, heart rate at rest was markedly lowered (4–12 bpm) after a period of football training (table 1), probably mediated by an augmented stroke volume (see below) and modulation of the autonomous nervous system with an increase in parasympathetic activity. 21 22 It is unclear, however, whether cardiac output was reduced.
Vascular tone and total peripheral resistance may have been lowered by a reduced sympathetic drive accompanying the period of football training. Although physical exercise can
On the other hand, a cross-sectional comparison of veteran football players and untrained elderly healthy men showed a higher reactive hyperaemic index in the football group, while arterial stiffness measured by the augmentation index was reduced by football training in middle-aged hypertensive men. 15 27 Furthermore, in men with T2DM, football training was associated with an increased number of capillaries around type I striated skeletal muscle fibres. 5 It is therefore possible that reduced arterial stiffness and an increased microvascular bed contribute to blood pressure-lowering effects, but the mechanisms by which football training may reduce arterial blood pressure more than other training modalities warrant further study. Altogether, the pronounced drops in blood pressure and resting heart rate observed in a range of studies are important markers of improved cardiovascular health profile in sedentary
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VO 2 max (mL/kg/ min or %) 13% ↑ * 8% ↑ * 1% ↓ NS 8% ↑ 3.8 ↑ 0.8 ↑ 0.7 ↓ 8% ↑ 3% ↓ 8% ↑ 2% ↓ 9% ↑ 12% 1% ↑ 12% 2% ↑ 10% 3% ↓ 1.5 ↑ 0.3 ↑ 7% ↓ 7% ↓
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individuals. Resting heart rate is an independent risk factor for cardiovascular disease in healthy participants and in patients with established diseases, for example, T2DM and hypertension. 28 – 30
Heart structure and function
Recreational football training has significant effects on myocardial structure and function at rest, as determined by comprehensive transthoracic echocardiography using tissue Doppler, speckle tracking and strain rate analyses (table 1). For example, there were considerable improvements in variables associated with left ventricular systolic and diastolic function, and right ventricular systolic function, after a period of football training in untrained middle-aged hypertensive men, men with T2DM and elderly men. 5 17 26 Left ventricular end-diastolic volume was also increased, which, in view of unaltered or increased left ventricular systolic function, suggests increased stroke volume. Interestingly, there were no changes in echocardiographic parameters after football training in patients with prostate cancer undergoing androgen deprivation therapy, raising the intriguing possibility that the latter may counteract the favourable effects of football training on the heart. 7
Notably, several of the changes observed after football training, for example, enhanced diastolic function, have not been found in selected studies with other training modalities, for example, cycling, strength training, jogging and walking, suggesting that football may be a more powerful stimulus. 31 – 33 Interestingly, in participants with T2DM, high-intensity interval cycle training improved diastolic function much more than medium-intensity cycle training, 34 and it is likely that the underlying mechanisms are similar to the mechanisms behind the marked effects of football training, which includes numerous intense activity periods interspersed by periods with low-intensity activity.
demonstrated after football training, if maintained over time, can improve major end points such as myocardial infarction, stroke or death. 35 36
Maximum oxygen uptake
Regular recreational football training increases maximum oxygen uptake (VO2max) in previously untrained participants. Most studies have shown 7–15% increases in VO2max after 12–24 weeks of training, which is comparable to or higher than observed in investigations with running and cycling (table 1). Even more pronounced effects were observed in 65–75-year-old men, that is, 16% and 18% increases in VO2max after 16 and 54 weeks of football training, respectively, which may be related to the low baseline levels. 26
In men with T2DM, VO2max was also higher (11%) after 24 weeks of football training, and in hypertensive participants football training increased VO2max by 8% after 3 months of training. 15 17 A smaller within-group increase of 4% was observed for a group of patients with cancer conducting 45– 60 min football training sessions two to three times a week for 12 weeks, and no significant between-group effect was found. 37
EFFECT OF RECREATIONAL FOOTBALL ON BLOOD LIPID PROFILE AND BODY COMPOSITION Blood lipid profile
Notwithstanding these considerations, subclinical cardiac systolic and diastolic dysfunction measured by these echocardiographic variables have been associated with increased mortality, and it remains to be determined whether the favourable changes
A typical finding, though not always significant, is that total plasma cholesterol and low-density lipoprotein (LDL) cholesterol are lower after a period of recreational football training (table 2). For example, in young and middle-aged men, training for 12 weeks led to a significant 15% decrease in LDL cholesterol and a non-significant 8% increase in high-density lipoprotein cholesterol levels. 1 In addition, LDL cholesterol levels were lower by 13% in young and middle-aged homeless men playing street football for 3×40 min for 12 weeks. 38 These changes may add to the aforementioned favourable cardiovascular effects of football training to reduce the risk of future cardiovascular diseases. 14 Also, patients with T2DM aged 48–68 years lowered
Table 2 Changes in blood lipids in untrained men as a result of a period of recreational F training compared to R or inactive C
Changes between pre and post training intervention (unless otherwise stated).
*Significant difference from 0 weeks.
†Significant group difference compared to control.
a, hypertensive participants; C, controls; Chol, cholesterol; CRF; cardiovascular risk factors; DAG, doctor's advice group; F, football; F+D, football+diet group; HDL, high-density lipoprotein; HRmax, maximal heart rate; LDL, low-density lipoprotein; M, men; mh, mildly hypertensive participants; NS, not significant; R, running; t, type 2 diabetics; Total-chol, total plasma cholesterol; UT, untrained; W, women.
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their total cholesterol and LDL cholesterol levels when combining 3×40 min football sessions a week for 12 weeks with a calorie-restricted diet. 39
Body fat and lean body mass
Regular recreational football training influences body composition (table 3). Loss of body fat in middle-aged men was in the range of 1–3 kg following 3 months of training, corresponding to a reduction in fat percentage of 1–3%. Specifically, fat mass was lowered by 1.8 kg in young and middle-aged homeless men playing street football for 45 min, two to three times a week for 12 weeks, corresponding to a decrease in body fat percentage from 17.9% to 15.9%. 38
In some studies, a period of recreational football training led to higher lean body mass. Total and leg muscle mass were elevated by 1.7 and 1.1 kg, respectively, after 12 weeks of two to three 60 min football training sessions per week. 1 A few studies have, however, not been able to demonstrate a significant effect of football training on lean body mass (table 3). The number and length of sprints, and the number of intense actions, depend on the number of players, the degree of man-to-man marking and the pitch size used for small-sided games. 8 40 Further studies are warranted to clarify whether the change in muscle mass is related to the way the training is conducted.
Also, marked effects of football training on body composition have been observed in patient groups (table 3). In middle-aged men with T2DM, total fat mass was 1.7 kg lower and android fat percentage reduced by 12.8% after 24 weeks of football training. 5 An even more pronounced response was found when another group of T2DM patients conducted 3×40 min football sessions per week for 12 weeks with a caloric-restricted diet, with a loss of fat mass of 3.4 kg. 39 Interestingly, a significant increase in muscle mass of 0.9 kg in patients with prostate cancer undergoing antiandrogen treatment was observed after two to three times weekly 45–60 min training sessions over 12 weeks, despite the minimal levels of testosterone in these patients. 37
Bone mass and bone mineral density
Participation in small-sided football games also affects the skeleton (table 3). Thus, in 20–43-year-old sedentary men, lower extremity bone mineral content was elevated by 2% after 12 weeks of recreational football training twice a week and was maintained in the following 52 weeks with a reduced frequency to about once a week. 1 41 Football training also influenced elderly participants (65–75 years of age), with bone mineral density (BMD) in left and right proximal femur being, respectively, 1.1 and 1.0% higher after 4 months of training. 42 Continuing the training for another 8 months led to further marked improvements in the elderly, reaching increases in BMD of 3.8% and 5.4% in the right and left femoral neck, respectively, as well as increases of 2.4% and 2.9% in the left and right proximal femur, respectively 42 (table 3). These findings suggest that the osteogenic BMD response in elderly men is not lower, but rather slower, than in their younger counterparts.
The changes in the elderly are markedly higher than what has been observed in other intervention studies examining the skeletal effect of physical activity. 43 – 45 It is likely that the actions in the small-sided football games, with many changes in direction and speed, 46 augment BMD, since the osteogenic stimulus from exercise depends on the strain rate and magnitude induced by muscle contraction and ground reaction forces. 47 – 50
Measurements of biochemical bone markers in the elderly suggested that the anabolic response was due to improved bone formation ( table 3 ). Similarly, indication of anabolic effect in bone metabolism was seen in a study of homeless men, where trunk BMD was also elevated (1.0%) after 12 weeks of 2.2 football training sessions a week 46 ( table 3 ). Together with the functional improvements in rapid muscle force and postural balance (see below), the higher BMD with regular participation in football training is likely to reduce the risk of fractures due to falling. 51 52
MUSCLE ADAPTATIONS IN RECREATIONAL FOOTBALL
A few studies have measured changes in muscle oxidative enzymes as a result of a period of recreational football training (table 4). A 14% increase in the maximal activity of leg muscle citrate synthase (CS) occurred after 12 weeks of training, with no further increase during the following 54 weeks, with training frequency reduced from 2.3 to 1.3 times a week. 1 41 The change during the first 12 weeks was greater than that observed in a running group performing the same volume of training, suggesting that the intermittent nature of football training had a greater impact on the development of the muscle oxidative system. The maximal activity of 3-hydroxyacyl-CoA dehydrogenase (HAD) was non-significantly elevated by 5% and 16% after 12 and 64 weeks, respectively, of football training, 41 which may have been one reason for the elevated fat oxidation during exercise found after a period of football training. 53
Surprisingly, there was no change in maximal activity of leg muscle CS and HAD in patients with T2DM after 12 and 24 weeks of football training, and the expression of CS was even significantly lowered after 24 week of training. 5 On the other hand, the training led to higher expression of muscle actin and Akt-2, as well as a tendency to a higher amount of the GLUT-4 protein. In addition, muscle capillarisation, expressed as number of capillaries per fibre, was increased by 22% in middle-aged men after 12 weeks of recreational football training, 1 which was similar to that observed in a running group performing a similar amount of training (table 4). Also, a group of patients with T2DM with an average age of around 50 years increased leg muscle capillarisation during a 24-week recreational football training period, albeit to a lesser degree than observed in the younger men. 5
EFFECT OF RECREATIONAL FOOTBALL ON FUNCTIONAL CAPACITY
Regular recreational football training has a marked positive effect on the functional capacity of the participants (table 5). In addition to improvements in VO2max (see above), middle-aged male participants, as well as school children, had 25–50% improved performance in Yo-Yo intermittent tests consisting of 2×20-m runs performed repeatedly at progressively increasing speeds and separated by either 5 seconds (Yo-Yo intermittent endurance test level 1 and 2; IE1 and IE2) or 10 s of rest (Yo-Yo intermittent recovery test level 1, IR1). 38 53 54 55 Also, elderly men had improved Yo-Yo IE1 performance (43%) after 16 weeks of football training, as well as better sit-to-stand (29%) performance. 6
In some studies, maximal leg strength was higher after, rather than before, a period of recreational football training (table 5). In the study by Krustrup et al, 53 maximal hamstring power was increased by 11% in combination with a 0.11 s improvement in a 30 m sprint, after 12 weeks of training. Studies have observed that recreational football training led to an increase in countermovement jump performance for boys 56 and young men, 41 whereas others did not find any change for young 57 and elderly men. 6 Nevertheless, a consistent finding has been that
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Table 4 Changes in muscle enzymatic activity and capillarisation in untrained men as a result of a period of recreational F training compared to R or inactive C
Changes between pre and post training intervention (unless otherwise stated).
†Significant group difference compared to control.
CS, citrate synthase; C, controls; HAD, 3-hydroxyacyl-CoA dehydrogenase; HRmax, maximal heart rate; F, football; M, men; NS, not significant; R, running; t, type 2 diabetics; UT, untrained.
recreational football training improves balance (table 5), clearly suggesting that this training also ameliorates the participants' ability to coordinate movements and thereby potentially reduce accidental injuries in their everyday life.
during a study, still play football together more than 2 years after the study finished. 5 13
SYNOPSIS
Recreational football training conducted as small-sided games (4v4 to 7v7) performed for 45–60 min up to three times a week promotes health. Such easy to do training resulted in reduced blood pressure, lowered resting heart rate, favourable adaptations in cardiac structure and function, improved blood lipid profile, elevated muscle mass, reduced fat mass and improved functional capacity. Most changes occurred within the first 3 months, with bone mass density developing further when the training was continued.
For patients with non-communicable diseases (NCDs), such as hypertension and T2DM, even greater effects have been observed on key variables, and the marked improvements of cardiac function and cardiorespiratory fitness are likely to reduce the high risk of cardiovascular diseases in these patient groups. Nevertheless, further studies should examine the value of increasing the volume of recreational football, including a higher frequency of training, and, ultimately, investigate longterm effects of football training on clinical end points and mortality.
PERSPECTIVES
Football is by far the most popular sport in the world, with more than 400 million active players, and it is now clear that recreational football promotes health. Thus, football is an attractive way of reducing the risk of increasing the number of individuals becoming overweight and developing NCDs, as well as treating those already affected.
Importantly, recreational football has been associated with positive psychosocial interactions, including increased social capital, improved quality of life, general well-being and motivational status. 11 – 13 The participants in these studies, irrespective of their background, age, weight and whether they are suffering from hypertension, diabetes or cancer, enjoyed playing. As such, football appeals to many and may improve the chances of longterm adherence for individuals who are not motivated to engage in individual exercise otherwise. As an example, a group of middle-aged men with T2DM, introduced to one another
Despite these encouraging data, scale-up requires a considerable collaborative effort from volunteers, sports organisations and bodies responsible for health promotion, such as FIFA and the WHO. Indeed, FIFA has taken the first step, promoting information about the health benefits of recreational football and implementing projects around the world; the Danish Football Association has had great success with the Football Fitness concept, recruiting a high number of adults with no previous experience of football. 58
PRACTICAL APPLICATIONS
The size of the pitch should be adjusted to the number of participants playing football, 80 m 2 per participant is recommended. 58 Standard football rules, except the offside rule, should be applied. The risk of injury when participating in small-sided football games must be addressed. Generally, in
What are the new findings?
- Recreational football training conducted as small-sided games has marked effects on the cardiovascular system with average heart rates being around 80% of maximal heart rate (HRmax) and substantial time is spent above 90%HRmax even for elderly and patient groups.
- Recreational football training has broad-ranging physiological effects. It lowers systolic and diastolic blood pressure by typically 7–8 and 5–7 mm Hg, respectively, and even more in hypertensive and patients with type II diabetes.
- Recreational football improves left and right ventricular function and increases VO2max by 7–15% and even more in 65–75-year-old men.
- Recreational football also lowers body fat, total cholesterol and low-density lipoprotein cholesterol, and increases leg muscle mass and bone mineral content, as well as muscle oxidative enzymes and functional capacity.
- Recreational football training produces more pronounced broad-spectrum adaptations than training programmes solely focusing on continuous jogging, interval running or strength training.
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organised football, the number of injuries in training is one-fifth to one-tenth of that occurring during match play, at around eight injuries per 1000 h of training. 10 60 This corresponds to one injury every 1.2 years and one severe injury approximately every 13 years per participant, if training is performed for 1 h, twice a week. 10 The figures may be less for recreational football, as less than 5% of the participants sustained an injury that kept them away from training (Bangsbo et al, unpublished data). Most injuries occurred in the initial phase of the training period, emphasising that football training should be slowly introduced. Notably, the overall injury rate during recreational football training appears to be reduced with age, which may be due to a reduction in game intensity, speed and forceful contacts.
Acknowledgements The authors would like to thank the team at Copenhagen Centre for Team Sport and Health, University of Copenhagen, supported by Nordea-fonden, Denmark, as well as close collaborators in 12 countries. The authors would also like to thank Therese Hornstrup, Henrik Pedersen and Henrik Holm Andersen, for editing and proofreading the article.
Competing interests None declared.
Provenance and peer review Not commissioned; externally peer reviewed.
Open Access This is an Open Access article distributed in accordance with the Creative Commons Attribution Non Commercial (CC BY-NC 4.0) license, which permits others to distribute, remix, adapt, build upon this work non-commercially, and license their derivative works on different terms, provided the original work is properly cited and the use is non-commercial. See: http://creativecommons.org/ licenses/by-nc/4.0/
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39 De Sousa MV, Fukui R, Krustrup P, et al. Positive effects of football on fitness, lipid profile, and insulin resistance in Brazilian patients with type 2 diabetes. Scand J Med Sci Sports 2014;24(S1):57–65.
40 Hill-Haas SV, Dawson BT, Coutts AJ, et al. Physiological responses and time–motion characteristics of various small-sided soccer games in youth players. J Sports Sci 2009;27:1–8.
41 Randers MB, Nielsen JJ, Krustrup BR, et al. Positive performance and health effects of a football training program over 12 weeks can be maintained over a 1-year period with reduced training frequency. Scand J Med Sci Sports 2010;20(Suppl 1):80–9.
42 Helge EW, Andersen TR, Schmidt JF, et al. Recreational football improves bone mineral density and bone turnover marker profile in elderly men. Scand J Med Sci Sports 2014a;24(S1):98–104.
43 Bolam KA, van Uffelen JG, Taaffe DR. The effect of physical exercise on bone density in middle-aged and older men: a systematic review. Osteoporos Int 2013;24:2749–62.
44 Guadalupe-Grau A, Fuentes T, Guerra B, et al. Exercise and bone mass in adults. Sports Med 2009;39:439–68.
45 Vincent KR, Braith RW. Resistance exercise and bone turnover in elderly men and women. Med Sci Sports Exerc 2002;34:17–23.
Review
46 Helge EW, Randers MB, Hornstrup T, et al. Street football is a feasible health-enhancing activity for homeless men: biochemical bone marker profile and balance improved. Scand J Med Sci Sports 2014b;24(S1):122–9.
47 Kohrt WM, Barry DW, Schwartz RS. Muscle forces or gravity: what predominates mechanical loading on bone? Med Sci Sports Exerc 2009;41:2050–5.
48 Robling AG. Is bone's response to mechanical signals dominated by muscle forces? Med Sci Sports Exerc 2009;41:2044–9.
49 Rubin CT, Lanyon LE. Regulation of bone formation by applied dynamic loads. J Bone Joint Surg Am 1984;66:397–402.
50 Turner CH, Pavalko FM. Mechanotransduction and functional response of the skeleton to physical stress: the mechanisms and mechanics of bone adaptation. J Orthop Sci 1998;3:346–55.
51 Liu-Ambrose T, Nagamatsu LS, Hsu CL, et al. Emerging concept: 'central benefit model' of exercise in falls prevention. Br J Sports Med 2013;47:115–17.
52 Sherrington C, Henschke N. Why does exercise reduce falls in older people? Unrecognised contributions to motor control and cognition? Br J Sports Med 2013;47:730–1.
53 Krustrup P, Christensen JF, Randers MB, et al. Muscle adaptations and performance enchancements of soccer training for untrained men. Eur J Appl Physiol 2010a;108:1247–58.
54 Bendiksen M, Ahler T, Clausen H, et al. The use of Yo-Yo intermittent recovery level 1 and Andersen testing for fitness and maximal heart rate assessments of 6- to 10year-old school children. J Strength Cond Res 2013;27:1583–90.
55 Hansen PR, Andersen LJ, Rebelo AN, et al. Cardiovascular effects of 3 months of football training in overweight children examined by comprehensive echocardiography: a pilot study. J Sports Sci 2013;31:1432–40.
56 Faude O, Kerper O, Multhaupt M, et al. Football to tackle overweight in children. Scand J Med Sci Sports 2010;20(Suppl 1):103–10.
57 Jakobsen MD, Sundstrup E, Randers MB, et al. The effect of strength training, recreational soccer and running exercise on stretch-shortening cycle muscle performance during countermovement jumping. Hum Mov Sci 2012;31:970–86.
58 Bennike S, Wikman JM, Ottesen LS. Football Fitness—a new version of football? A concept for adult players in Danish football clubs. Scand J Med Sci Sports 2014;24(S1):138–46.
59 Randers MB, Nielsen JJ, Bangsbo J, et al. Physiological response and activity profile in recreational small-sided football: no effect of the number of players. Scand J Med Sci Sports 2014b;24(S1):130–7.
60 Fuller CW, Ekstrand J, Junge A, et al. Consensus statement on injury definitions and data collection procedures in studies of football (soccer) injuries. Clin J Sports Med 2006;16:97–106.
References
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and functional capacity profile, body composition, muscle strength review examining cardiovascular health, lipid and treatment in untrained men: a narrative Recreational football for disease prevention
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2006 MY OBD System Operation
Summary for Hybrid Electric Vehicles
Table of Contents
Introduction Hybrid Electric Vehicles
HEV Powertrain Description
A hybrid electric vehicle is powered by a conventional engine with an electric motor added for enhanced fuel economy and reduced emissions. The electric motor can also be used to boost power and enhance performance (like an extra "charge"). Daily recharging plug-ins aren't needed. This type of vehicle is well suited for the environmentally aware driver who wants better fuel economy and fewer pollutants, but doesn't want the hassle of plug-ins.
A vehicle can be "more" of a hybrid than another. There are two levels of "hybridization," mild and full.
Full hybrids have all of the functions and capabilities of a mild hybrid, plus more advanced features. With both, the engine turns off when it is not needed, reducing fuel waste, and instantly restarts when the need for power is detected. In addition, both hybrids provide electric assist, in that the gasoline engine gets a boost of electric power from the battery pack. This provides additional acceleration performance when needed, without additional use of fuel. However, a full hybrid usually has a substantially higher powered battery than a mild hybrid.
A full hybrid also gives you regenerative braking (meaning vehicle energy that would otherwise would be wasted, is collected during braking to recharge the battery) while a mild hybrid has only mild regenerative braking. And only a full hybrid provides an electric launch. In full hybrid systems only, the electric motor can power the vehicle, even while the engine is off. The electric motor can be used to drive in pure electric mode even when accelerating from a complete stop. An easy way to tell the difference between a mild and a full hybrid is that a full hybrid gets better mpg in the city than on the highway.
Benefits of Hybrid Electric Vehicles
Reduces emissions by increasing average engine efficiency.
Engine shuts down, when the vehicle is stopped.
Electric motor boosts acceleration performance.
Regenerative brakes recapture energy, to recharge the battery.
Improved fuel economy stretches a tank of gas further, saves you money, and helps you conserve our limited petroleum resources.
Driving performance is optimized because both the gas engine and electric motor are working for you.
No battery plug-ins required.
An HEV offers all the conveniences of conventional vehicles: spacious seating, storage room, creature comforts, and extended driving range.
The Ford Escape HEV will be delivered, sold, and serviced at local Ford Dealers.
REVISION DATE: MARCH 24, 2005
Key Powertrain Components
Engine
2.3L I-4 Gasoline Engine
Electronic Throttle Control
Atkinson Cycle to improve efficiency by reducing pumping losses
For Otto Cycle, expansion ratio equals compression ratio
Atkinson Cycle expansion ratio greater than compression ratio
Leaves intake valve open longer during compression stroke pushing air back into intake manifold
Operates with less vacuum and greater throttle opening to maintain air charge
Transaxle
36 kW Permanent Magnet AC Generator Motor
65 kW Permanent Magnet AC Traction Motor
Power Electronics / Voltage Inverter
Planetary gear set and final drive gears
Connected to front 2-wheel or all-wheel driveline
REVISION DATE: MARCH 24, 2005
Battery
Ni Metal Hydride
39 kW power rating (new)
Nominal 330V DC operation
5.5 Amp-hrs capacity
Nickel-metal hydride batteries (NiMH) have a much longer life cycle than lead acid batteries. In addition to electric vehicles and HEVs, they are often used in consumer electronics, computers and medical equipment.
Propulsion Modes
Series Mode
Used only when vehicle is not moving and the engine is running
Engine may be running for battery charging, cabin or battery temperature control, or catalyst warm-up.
Positive Split Mode
Engine is ON and driving the generator motor to produce electricity
Power from the engine is split between the direct path to the road and the path through the generator motor
Generator power can flow to the battery or to the traction motor
The traction motor can operate as a motor or a generator to make up the difference between the engine power and the desired power
This is the preferred mode whenever the battery needs to be charged or when at moderate loads and low vehicle speeds
Negative Split Mode
The engine is on and the generator motor consumes electrical energy to reduce engine speed
The traction motor can operate as a motor or a generator to make up the difference between the engine power and the desired power
Typical highway mode
Occurs when the engine needs to be on, the system can not be operated in parallel mode and the battery is charged near its upper limit
Electric Mode
The vehicle is propelled by stored electrical energy only
The engine is turned off
The tractive torque supplied from the traction motor
Preferred mode whenever the desired power is low enough such that it can be produced more efficiently by electrical system than engine
Preferred mode in reverse because the engine can not deliver reverse torque
Separate electric pump maintains power assisted steering
City & Highway Traffic Scenarios
Stopped
The engine will be off unless it needs to be on for reasons other than tractive power (Max A/C, vacuum, catalyst temp, heat, purge, low SOC)
Launching
At low speed or low power demand, the launch mode will be electric, unless the engine needs to be on for other reasons.
At moderate speed or high desired power, the engine will come on.
Entering highway or Passing
At high acceleration demand, the engine power will be boosted with battery power through the traction motor to provide quick V-6 like response.
Cruising
At light load, the system may operate in parallel, positive split or negative split mode depending on the battery charge.
At heavy load (due to high speeds, weight, towing or grade), the system will be limited to engine only performance (no battery support).
Limited regenerative braking will be used.
Exiting highway
Provides an opportunity for regenerative braking.
Braking
At high speed, the engine torque is ramped down, the traction motor regenerates to a limit and the foundation brakes are applied as necessary (at the traction motor or battery regen limits).
At moderate and low speed, the engine will be turned off.
Escape HEV Powertrain Control System
PCM
– Powertrain Control Module
TCM
– Transmission Control Module
BECM – Battery Energy Control Module
BSCM –
Brake System Control Module
APPS
– Acceleration Pedal Position Sensor
BPPS
– Brake Pedal Position Sensor (master cylinder pressure)
PRNDL
– Transmission Range Sensor
SC
– Speed Control
ring
sun
ring
generator
brake
motor
planetary
Engine
one
way
clutch
one
way
clutch
torque
limit &
dashpot
high voltage bus
TCM/Trans-Axle
SC
BPPS
PRNDL
+
energy
management
& control
determine
torque sign
determine
desired
wheel torque
determine
gear mode
BSCM
/
Regenerative
Brakes
engine torque desired
driver
torque
desired
+
+
BECM/
Battery
PCM
total torque desired,
engine speed desired,
generator brake
command, generator
mode
torque modification
request
APPS
gear mode
The Hybrid Electric Vehicle Control System uses four modules to control hybrid electric powertrain functions:
The Powertrain Control Module control overall vehicle system functions as well as engine operation.
The Transmission Control Module controls the transaxle as well as generator and motor functions.
The Battery Energy Control Module controls the high voltage battery pack.
The Brake System Control Module controls the regenerative braking functions.
All these modules use CAN communication for all diagnostic functions and normal-mode communications.
The Powertrain Control Module (PCM) is a stand-alone OBD-II control module and meets all J1979 requirements. These include generic PIDs, freeze frame storage, pending and confirmed DTC retrieval and clearing, Mode 06 test data, Mode 08 evap system test and Mode 09 VIN, CALID and CVN. The OBD-II monitors for the engine are similar to the monitors used by a conventional gasoline vehicle. The basic difference between a conventional gasoline engine and the hybrid engine is that the engine often shuts down while in electric mode. This sometimes requires active intervention by the diagnostic executive to ensure that all OBD-II monitor can complete.
The Transmission Control Module (TCM) is a stand-alone OBD-II control module and meets all J1979 requirements. These include generic PIDs, freeze frame storage, pending and confirmed DTC retrieval and clearing, and Mode 09 CALID and CVN. Some of the OBD-II monitors for transmission are similar to the monitors used by a conventional transmission; however, many of the monitors are unique to the hybrid generator and motor sensors and controls. The TCM is housed within the transmission case and is not serviceable with the exception of reflashing memory.
The Battery Energy Control Module (BECM) is not a stand-alone OBD-II control module. The battery module sends fault information to the PCM. The PCM stores and reports freeze frame and DTCs for the BECM. The BECM is housed within the battery pack and is not serviceable with the exception of reflashing memory. As a result, the BECM supports J1979 Mode 09 CALID and CVN.
The Brake System Control Module (BSCM) is not an OBD-II control module because there are no regenerative braking faults that affect emissions.
REVISION DATE: MARCH 24, 2005
Catalyst Efficiency Monitor
The Catalyst Efficiency Monitor uses an oxygen sensor before and after the catalyst to infer the hydrocarbon efficiency based on oxygen storage capacity of the ceria and precious metals in the washcoat. Under normal, closed-loop fuel conditions, high efficiency catalysts have significant oxygen storage. This makes the switching frequency of the rear HO2S very slow and reduces the amplitude of those switches as compared to the switching frequency and amplitude of the front HO2S. As catalyst efficiency deteriorates due to thermal and/or chemical deterioration, its ability to store oxygen declines. The post-catalyst HO2S signal begins to switch more rapidly with increasing amplitude, approaching the switching frequency and amplitude of the pre-catalyst HO2S. The predominant failure mode for high mileage catalysts is chemical deterioration (phosphorus deposition on the front brick of the catalyst), not thermal deterioration.
Index Ratio Method
In order to assess catalyst oxygen storage, the catalyst monitor counts front HO2S switches during part-throttle, closed-loop fuel conditions after the engine is warmed-up and inferred catalyst temperature is within limits. Front switches are accumulated in up to three different air mass regions or cells. While catalyst monitoring entry conditions are being met, the front and rear HO2S signal lengths are continually being calculated. When the required number of front switches has accumulated in each cell (air mass region), the total signal length of the rear HO2S is divided by the total signal length of front HO2S to compute a catalyst index ratio. An index ratio near 0.0 indicates high oxygen storage capacity, hence high HC efficiency. An index ratio near 1.0 indicates low oxygen storage capacity, hence low HC efficiency. If the actual index ratio exceeds the threshold index ratio, the catalyst is considered failed.
General Catalyst Monitor Operation
If the catalyst monitor does not complete during a particular driving cycle, the already-accumulated switch/signallength data is retained in Keep Alive Memory and is used during the next driving cycle to allow the catalyst monitor a better opportunity to complete, even under short or transient driving conditions.
Rear HO2S sensors can be located in various ways to monitor different kinds of exhaust systems. In-line engines and many V-engines are monitored by individual bank. A rear HO2S sensor is used along with the front, fuelcontrol HO2S sensor for each bank. Two sensors are used on an in-line engine; four sensors are used on a Vengine.
Most vehicles that are part of the "LEV" catalyst monitor phase-in will monitor less than 100% of the catalyst volume – often the first catalyst brick of the catalyst system. Partial volume monitoring is done on LEV and ULEV vehicles in order to meet the 1.75 * emission-standard. The rationale for this practice is that the catalysts nearest the engine deteriorate first, allowing the catalyst monitor to be more sensitive and illuminate the MIL properly at lower emission standards.
Many applications that utilize partial-volume monitoring place the rear HO2S sensor after the first light-off catalyst can or, after the second catalyst can in a three-can per bank system. (A few applications placed the HO2S in the middle of the catalyst can, between the first and second bricks.)
All vehicles employ an Exponentially Weighted Moving Average (EWMA) algorithm to improve the robustness of the FTP catalyst monitor. During normal customer driving, a malfunction will illuminate the MIL, on average, in 3 to 6 driving cycles. If KAM is reset (battery disconnected), a malfunction will illuminate the MIL in 2 driving cycles. See the section on EWMA for additional information.
REVISION DATE: MARCH 24, 2005
| | CATALYST MONITOR OPERATION: | |
|---|---|---|
| DTCs | | P0420 Bank 1 |
| Monitor execution | | once per driving cycle |
| Monitor Sequence | | HO2S response test complete and no DTCs (P0133/P0153) prior to calculating switch ratio, no SAIR pump stuck on DTCs (P0412/P1414), no evap leak check DTCs (P0442/P0456), no EGR stuck open DTCs (P0402) |
| Sensors OK | | ECT, IAT, TP, VSS, CKP |
| Monitoring Duration | | Approximately 900 seconds during appropriate FTP conditions |
| Entry condition | Minimum |
|---|---|
| Time since engine start-up (70 oF start) | 5 seconds |
| Engine Coolant Temp | 150 oF |
| Intake Air Temp | 20 oF |
| Time since entering closed loop fuel | 30 sec |
| Inferred Rear HO2S sensor Temperature | 1000 oF |
| EGR flow (Note: an EGR fault disables EGR) | 0% |
| Throttle Position | Part Throttle |
| Rate of Change of Throttle Position | |
| Vehicle Speed | 20 mph |
| Fuel Level | 15% |
| First Air Mass Cell | 0.8 lb/min |
| Engine RPM for first air mass cell | 1,300 rpm |
| Engine Load for first air mass cell | 28% |
| Monitored catalyst mid-bed temp. (inferred) for first air mass cell | 800 oF |
TYPICAL MALFUNCTION THRESHOLDS:
Rear-to-front O2 sensor switch/index-ratio > 0.80 (bank monitor)
| | J1979 CATALYST MONITOR MODE $06 DATA | | | |
|---|---|---|---|---|
| Monitor ID | | Test ID | Description for CAN | |
| $21 | | $80 | Bank 1 index-ratio and max. limit | unitless |
** NOTE: In this document, a monitor or sensor is considered OK if there are no DTCs stored for that component or system at the time the monitor is running.
Misfire Monitor
The HEV uses the Low Data Rate misfire monitor. The LDR system is capable of meeting "full-range" misfire monitoring requirements on 4-cylinder engines. The software allows for detection of any misfires that occur 6 engine revolutions after initially cranking the engine. This meets the new OBD-II requirement to identify misfires within 2 engine revolutions after exceeding the warm drive, idle rpm.
Low Data Rate System
The LDR Misfire Monitor uses a low-data-rate crankshaft position signal, (i.e. one position reference signal at 10 deg BTDC for each cylinder event). The PCM calculates crankshaft rotational velocity for each cylinder from this crankshaft position signal. The acceleration for each cylinder can then be calculated using successive velocity values. The changes in overall engine rpm are removed by subtracting the median engine acceleration over a complete engine cycle. The resulting deviant cylinder acceleration values are used in evaluating misfire in the "General Misfire Algorithm Processing" section below.
"Profile correction" software is used to "learn" and correct for mechanical inaccuracies in crankshaft tooth spacing under de-fueled engine conditions (requires extended engine shutdown either at key off, or on multiple engine shutdown events during normal vehicle operation, after Keep Alive Memory has been reset). These learned corrections improve the high-rpm capability of the monitor for most engines. The misfire monitor is not active until a profile has been learned.
Generic Misfire Algorithm Processing
The acceleration that a piston undergoes during a normal firing event is directly related to the amount of torque that cylinder produces. The calculated piston/cylinder acceleration value(s) are compared to a misfire threshold that is continuously adjusted based on inferred engine torque. Deviant accelerations exceeding the threshold are conditionally labeled as misfires.
The calculated deviant acceleration value(s) are also evaluated for noise. Normally, misfire results in a nonsymmetrical loss of cylinder acceleration. Mechanical noise, such as rough roads or high rpm/light load conditions, will produce symmetrical acceleration variations. Cylinder events that indicate excessive deviant accelerations of this type are considered noise. Noise-free deviant acceleration exceeding a given threshold is labeled a misfire.
The number of misfires are counted over a continuous 200 revolution and 1000 revolution period. (The revolution counters are not reset if the misfire monitor is temporarily disabled such as for negative torque mode, etc.) At the end of the evaluation period, the total misfire rate and the misfire rate for each individual cylinder is computed. The misfire rate evaluated every 200 revolution period (Type A) and compared to a threshold value obtained from an engine speed/load table. This misfire threshold is designed to prevent damage to the catalyst due to sustained excessive temperature (1600°F for Pt/Pd/Rh conventional washcoat, 1650°F for Pt/Pd/Rh advanced washcoat and 1800°F for Pd-only high tech washcoat). If the misfire threshold is exceeded and the catalyst temperature model calculates a catalyst mid-bed temperature that exceeds the catalyst damage threshold, the MIL blinks at a 1 Hz rate while the misfire is present. If the misfire occurs again on a subsequent driving cycle, the MIL is illuminated. If a single cylinder is indicated to be consistently misfiring in excess of the catalyst damage criteria, the fuel injector to that cylinder may be shut off for a period of time to prevent catalyst damage. Up to two cylinders may be disabled at the same time. This fuel shut-off feature is used on all engines starting in the 2005 MY. Next, the misfire rate is evaluated every 1000 rev period and compared to a single (Type B) threshold value to indicate an emissionthreshold malfunction, which can be either a single 1000 rev exceedence from startup or four subsequent 1000 rev exceedences on a drive cycle after start-up. Some vehicles will set a P0316 DTC if the Type B malfunction threshold is exceeded during the first 1,000 revs after engine startup. This DTC is normally stored in addition to the normal P03xx DTC that indicates the misfiring cylinder(s). If misfire is detected but cannot be attributed to a specific cylinder, a P0300 is stored. This may occur on some vehicles at higher engine speeds, for example, above 3,500 rpm.
REVISION DATE: MARCH 24, 2005
Profile Correction
"Profile correction" software is used to "learn" and correct for mechanical inaccuracies in the crankshaft position wheel tooth spacing. Since the sum of all the angles between crankshaft teeth must equal 360 o , a correction factor can be calculated for each misfire sample interval that makes all the angles between individual teeth equal. To prevent any fueling or combustion differences from affecting the correction factors, learning is done during extended engine shutdown.
In order to minimize learning time for profile correction factors, the correction factors are learned after an engine shutdown has been commanded and fuel has been discontinued while the generator spins the engine. In order to protect the battery, and assure vehicle starting, the following conditions must be met to extend the shutdown: battery temperature and charge state must be within limits (i.e. the battery must be able to spin the engine). This condition occurs either when the key is turned off, or when normal operating conditions dictate an engine shutdown (typically one key off induced shutdown, but may be multiple shutdown events during normal operation). During this extended shutdown, the engine is spun at approximately 1100 rpm, while delta time intervals are captured for computation of the correction factors. Average profile correction factors are calculated for each of the 4 combustion intervals over approximately 15 engine cycles. This procedure occurs once per KAM reset during the life of the vehicle. In order to assure the accuracy of these corrections, a tolerance is placed on the incoming values such that an individual correction factor must be repeatable within the tolerance during learning; this is to reduce the possibility of learning corrections on rough road conditions which could limit misfire detection capability.
Since inaccuracies in the wheel tooth spacing can produce a false indication of misfire, the misfire monitor is not active until the corrections are learned. In the event of battery disconnection or loss of Keep Alive Memory the correction factors are lost and must be relearned. The software may be unable to learn a profile if the instantaneous profile calculations vary by more than a specified tolerance from the mean values. In this case a P0315 DTC is set.
| | Misfire Monitor Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical misfire monitor entry conditions: | | |
|---|---|---|---|
| Entry condition | | Minimum | Maximum |
| Time since engine start-up | | 0 seconds | 0 seconds |
| Engine Coolant Temperature | | 20 oF | 250 oF |
| RPM Range (Full-Range Misfire certified, with 2 rev delay) | | 2 revs after exceeding 150 rpm below “drive” idle rpm | redline on tach or fuel cutoff |
| Profile correction factors learned in KAM | | Yes | |
| Fuel tank level | | 15% | |
REVISION DATE: MARCH 24, 2005
| | Typical misfire temporary disablement conditions: |
|---|---|
| Temporary disablement conditions: | |
| Closed throttle decel (negative torque, engine being driven) | |
| Fuel shut-off due to vehicle-speed limiting or engine-rpm limiting mode | |
| High rate of change of torque (heavy throttle tip-in or tip out) | |
Typical misfire monitor malfunction thresholds:
Type A (catalyst damaging misfire rate): misfire rate is an rpm/load table ranging from 20% at idle to 5% at high rpm and loads
Type B (emission threshold rate): 1.7%
| | J1979 Misfire Mode $06 Data | | |
|---|---|---|---|
| Monitor ID | | Test ID | Description for CAN |
| A1 | | $80 | Total engine misfire and catalyst damage misfire rate (updated every 200 revolutions) |
| A1 | | $81 | Total engine misfire and emission threshold misfire rate (updated every 1,000 revolutions) |
| A1 | | $82 | Highest catalyst-damage misfire and catalyst damage threshold misfire rate (updated when DTC set or clears) |
| A1 | | $83 | Highest emission-threshold misfire and emission threshold misfire rate (updated when DTC set or clears) |
| A1 | | $84 | Inferred catalyst mid-bed temperature |
| A2 – AD | | $0B | EWMA misfire counts for last 10 driving cycles |
| A2 – AD | | $0C | Misfire counts for last/current driving cycle |
| A2 – AD | | $80 | Cylinder X misfire rate and catalyst damage misfire rate (updated every 200 revolutions) |
| A2 – AD | | $81 | Cylinder X misfire rate and emission threshold misfire rate (updated every 1,000 revolutions) |
| | Profile Correction Operation | |
|---|---|---|
| DTCs | | P0315 - unable to learn profile |
| Monitor Execution | | once per KAM reset. |
| Monitor Sequence: | | Profile must be learned before misfire monitor is active. |
| Sensors OK: | | CKP, CMP, no AICE communication errors, CKP/CMP in synch |
| | Typical profile learning entry conditions: | |
|---|---|---|
| Entry condition | | Minimum |
| Engine in decel-fuel cutout mode for 4 engine cycles | | |
| Brakes applied | | N/A |
| Engine RPM | | 800 rpm |
| Change in RPM | | |
| Vehicle Speed | | 0 mph |
| Learning tolerance | | |
| Battery temperature | | -15 degrees C |
| Battery Voltage | | 216 V |
EVAP System Monitor - 0.020" dia. vacuum leak check
Some vehicles that meet enhanced evaporative requirements utilize a vacuum-based evaporative system integrity check that checks for 0.020" dia leaks. The evap system integrity check uses a Fuel Tank Pressure Transducer (FTPT), a Canister Vent Solenoid (CVS) and Fuel Level Input (FLI) along with the Vapor Management Valve (VMV) or Electric Vapor Management Valve (EVMV) to find 0.020" diameter, 0.040" diameter, or larger evap system leaks.
The evap system integrity test is done under two different sets of conditions - first a cruise test is performed to detect 0.040" dia leaks and screen for 0.020" leaks. If a 0.020" dia leak is suspected during the cruise test, an idle test is performed to verify the leak under more restrictive, but reliable, cold-start-idle conditions.
The cruise test is done under conditions that minimize vapor generation and fuel tank pressure changes due to fuel slosh since these could result in false MIL illumination. The check is run after a 6 hour cold engine soak (engine-off timer), during steady highway speeds at ambient air temperatures (inferred by IAT) between 40 and 100 o F.
A check for refueling events is done at engine start. A refuel flag is set in KAM if the fuel level at start-up is at least 20% greater than fuel fill at engine-off. It stays set until the evap monitor completes Phase 0 of the test as described below. The refueling flag is used to prohibit the 0.020" idle test until the gross leak check is done during cruise conditions. This is done to prevent potential idle concerns resulting from the high fuel vapor concentrations present with a fuel cap off/gross leak condition. Note that on some vehicles, a refueling check may also be done continuously, with the engine running to detect refueling events that occur when the driver does not turn off the vehicle while refueling (in-flight refueling).
The cruise test is done in four phases.
Phase 0 - initial vacuum pulldown
First, the Canister Vent Solenoid is closed to seal the entire evap system, then the VMV or EVMV is opened to pull a 8" H2O vacuum.
If the initial vacuum could not be achieved, a large system leak is indicated (P0455). This could be caused by a fuel cap that was not installed properly, a large hole, an overfilled fuel tank, disconnected/kinked vapor lines, a Canister Vent Solenoid that is stuck open, a VMV that is stuck closed, or a disconnected/blocked vapor line between the VMV and the FTPT.
If the initial vacuum could not be achieved after a refueling event, a gross leak, fuel cap off (P0457) is indicated and the recorded minimum fuel tank pressure during pulldown is stored in KAM. A "Check Fuel Cap" light may also be illuminated.
If the initial vacuum is excessive, a vacuum malfunction is indicated (P1450). This could be caused by blocked vapor lines between the FTPT and the Canister Vent Solenoid, or a stuck open VMV. If a P0455, P0457, P1443, or P1450 code is generated, the evap test does not continue with subsequent phases of the small leak check, phases 1-4. These codes also prevent the idle portion of the 0.020" dia leak check from executing.
Note: Not all vehicles will have the P0457 test or the Check Fuel Cap light implemented. These vehicles will continue to generate only a P0455. After the customer properly secures the fuel cap, the P0457, Check Fuel Cap and/or MIL will be cleared as soon as normal purging vacuum exceeds the P0457 vacuum level stored in KAM.
Phase 1 - Vacuum stabilization
If the target vacuum is achieved, the VMV is closed and vacuum is allowed to stabilize for a fixed time. If the pressure in the tank immediately rises, the stabilization time is bypassed and Phase2 of the test is entered.
Some software has incorporated a "leaking" VMV test, which will also set a P1450 (excessive vacuum) DTC. This test is intended to identify a VMV that does not seal properly, but is not fully stuck open. If more than 1 " H2O of additional vacuum is developed in Phase 1, the evap monitor will bypass Phase 2 and go directly to Phase 3 and open the canister vent solenoid to release the vacuum. Then, it will proceed to Phase 4, close the canister vent solenoid and measure the vacuum that develops. If the vacuum exceeds approximately 4 " H2O, a P1450 DTC will be set.
Phase 2 - Vacuum hold and decay
Next, the vacuum is held for a calibrated time. Two test times are calculated based on the Fuel Level Input and ambient air temperature. The first (shorter) time is used to detect 0.040" dia leaks, the second (longer) time is used to detect 0.020" dia leaks. The initial vacuum is recorded upon entering Phase 2. At the end of the 0.040" dia test time, the vacuum level is recorded. The starting and ending vacuum levels are checked to determine if the change in vacuum exceeds the 0.040" dia vacuum bleed up criteria. If the 0.040" dia vacuum bleed-up criteria is exceeded on three successive monitoring attempts, a 0.040" dia leak is likely and a final vapor generation check is done to verify the leak (phases 3 and 4).
If the 0.040" dia bleed-up criteria is not exceeded, the test is allowed to continue until the 0.020" dia leak test time expires. The starting and ending vacuum levels are checked to determine if the change in vacuum exceed the 0.020" dia vacuum bleed-up criteria. If the 0.020" dia vacuum bleed-up is exceed on a single monitoring attempt, a 0.020" dia leak is likely and a final vapor generation check is done to verify the leak (phases 3 and 4).
If the vacuum bleed-up criteria is not exceeded, the leak test (either 0.040" or 0.020" dia is considered a pass. For both the 0.040" and 0.020" dia leak check, Fuel Level Input and Intake Air Temperature is used to adjust the vacuum bleed-up criteria for the appropriate fuel tank vapor volume and temperature. Steady state conditions must be maintained throughout this bleed up portion of the test. The monitor will abort if there is an excessive change in load, fuel tank pressure or fuel level input since these are all indicators of impending or actual fuel slosh. If the monitor aborts, it will attempt to run again (up to 20 or more times) until the maximum time-after-start is reached.
Phase 3 - Vacuum release
The vapor generation check is initiated by opening the Canister Vent Solenoid for a fixed period of time and releasing any vacuum. The VMV remains closed.
If FTIV (Fuel Tank Isolation Valve) is installed, Phase 3 is used for FTIV functionality check test. If vehicle passed 0.02" leak test in phase 2, it goes into phase 3 for FTIV test. VMV and CVS are remained closed and FTIV is closed during this phase. If the vacuum bleed-up criteria is not exceeded, the FTIV stuck open test is considered a pass
Phase 4 - Vapor generation
In this phase, the sealed system is monitored to determine if tank pressure remains low or if it is rising due to excessive vapor generation The initial tank pressure is recorded. The pressure is monitored for a change from the initial pressure, and for absolute pressure. If the pressure rise due to vapor generation is below the threshold limit for absolute pressure and for the change in pressure, and a 0.040" dia leak was indicated in phase 2, a P0442 DTC is stored. If the pressure rise due to vapor generation is below the threshold limit for absolute pressure and for the change in pressure, and a 0.020" dia leak was indicated in phase 2, a 0.020" idle check flag is set to run the 0.020" leak check during idle conditions.
Idle Check
The long test times required to detect a 0.020" dia leak in combination with typical road grades can lead to false 0.020" leak indications while the vehicle is in motion. The Idle Check repeats Phases 0, 1, and 2 with the vehicle stationary to screen out leak indications caused by changes in altitude. The 0.020" idle check is done under coldstart conditions to ensure that the fuel is cool and cannot pick up much heat from the engine, fuel rail, or fuel pump. This minimizes vapor generation. The 0.020" idle check is, therefore, conducted only during the first 10 minutes after engine start.
The 0.020" dia leak test entry conditions, test times and thresholds are used. Unique criteria for excessive changes in load, fuel tank pressure and fuel level are used to indicate fuel slosh. The test is aborted if vehicle speed exceeds a calibrated threshold, approx. 10 mph. The initial vacuum pull-down (phase 0) can start with the vehicle in motion in order to minimize the required time at idle to complete the test. If the vacuum bleed-up is greater than the 0.020" dia max. criteria during a single monitoring event, a P0456 DTC is stored. If the vacuum bleed-up is less than the 0.020" dia min. criteria, the pending P0456 DTC may be cleared. If the vacuum bleed-up is in between, no leak assessment is made. A flowchart of the entire 0.020" test sequence is provided below, on a subsequent page.
Ford's 0.020" evaporative system monitor is designed to run during extended, cold-start idle conditions where the fuel is cool and not likely to generate excessive vapors. These conditions will typically occur at traffic lights or immediately after start-up, (e.g. idle in the driveway).
As indicated previously, the 0.020" idle test uses two sets of malfunction thresholds to screen out test results in the area where "leak" and "no-leak" distributions overlap. Loss of vacuum greater than the 0.020" malfunction criteria is designated as a failure. No/low vacuum loss below the pass criteria is designated a pass. Vacuum loss that is greater than the pass criteria but less that the failure criteria is indeterminate and does not count as a pass or a fail.
Test results in this overlap area can stem from high volatility fuel at high ambient temperatures. These situations are not expected to be encountered routinely by customers. Therefore, this strategy will only temporarily hamper monitor performance, while effectively preventing false MIL illumination.
A more detailed description of the functional characteristics of the Evaporative Monitor is provided in the representative calibration submissions to the agency. Additional calibration information is contained on file by Ford Motor Company and may be obtained via agency request.
| | 0.020” EVAP Monitor Operation: | |
|---|---|---|
| DTCs | | P0455 (gross leak), P1450, (excessive vacuum), P0457 (gross leak, cap off), P0442 (0.040” leak), P0456 (0.020” leak) |
| Monitor execution | | once per driving cycle for 0.040” dia leak once per driving cycle, no refueling event for 0.020” dia leak |
| Monitor Sequence | | HO2S monitor for front sensors completed and OK |
| Sensors/Components OK | | MAF, IAT, VSS, ECT, CKP, TP, FTP, VMV, CVS |
| | Typical 0.020” EVAP monitor entry conditions, Phases 0 through 4: | |
|---|---|---|
| Entry condition | | Minimum |
| Engine off (soak) time | | 6 hours |
| Time since engine start-up for 0.040” | | 330 seconds |
| Time since engine start-up for 0.020” idle test | | 30 seconds |
| Refueling event (for 0.020” idle test only) | | none |
| Intake Air Temp for 0.040” | | 40 oF |
| Intake Air Temp for 0.020” | | 40 oF |
| Vehicle Speed for cruise test, 0.040 and 0.020” | | 40 mph |
| Vehicle Speed for idle test, 0.020” | | |
| Fuel Fill Level for 0.040” | | 15% |
| Fuel Fill Level for 0.020” | | 15% |
| BARO (<8,000 ft altitude) | | 22.0 “ Hg |
| Engine Load | | 20% |
| Purge Flow | | 0.04 lbm/min |
| Fuel Tank Pressure Range | | - 17.82 H O 2 |
| | Typical 0.020” EVAP abort (fuel slosh) conditions for Phase 2: |
|---|---|
| Change in load: > 40% for 0.040” | |
| Change in load: > 40% for 0.020” | |
| Change in tank pressure: > 4 “ H O for 0.040” 2 | |
| Change in tank pressure: > 0.15 “ H O for 0.020” 2 | |
| Change in fuel fill level: > 18% for 0.040” | |
| Change in fuel fill level: > 18% for 0.020” | |
| Number of aborts: > 30 | |
Typical 0.020 EVAP monitor malfunction thresholds:
P1450 (Excessive vacuum): < -8.0 in H2O over a 20 second evaluation time or > -4. in H2O vapor generation.
P0455 (Gross leak): > -8.0 in H2O over a 20 second evaluation time.
P0457 (Gross leak, cap off): > -8.0 in H2O over a 30 second evaluation time after a refueling event.
P0442 (0.040" leak): > 4.0 in H2O bleed-up over a 20 sec. evaluation time at 75% fuel fill. (Note: bleed-up and evaluation times vary as a function of fuel fill level and ambient temperature).
P0456 (0.020" leak): > 1.8 in H2O bleed-up over a 20 sec. evaluation time at 75% fuel fill.
(Note: bleed-up and evaluation times vary as a function of fuel fill level and ambient temperature)
P0442 vapor generation limit: < 1.8 in H2O over a 60 second evaluation time.
| | J1979 Evaporative System Mode $06 Data | | |
|---|---|---|---|
| Monitor ID | | Test ID | Description for CAN |
| $3A | | $80 | Phase 0 Initial tank vacuum and minimum vacuum limit (data for P1450 – excessive vacuum) |
| $3A | | $81 | Phase 4 Vapor generation minimum change in pressure and minimum vacuum limit (data for P1450, VMV stuck open) |
| $3A | | $82 | Phase 0 Initial tank vacuum and gross leak maximum vacuum limit (data for P0455/P0457 – gross leak/cap off) |
| $3B | | $80 | Phase 2 0.040” cruise leak check vacuum bleed-up and maximum vacuum limit (data for P0442 – 0.040" leak) |
| $3C | | $80 | Phase 2 0.020” idle leak check vacuum bleed-up and maximum vacuum limit (data for P0456 – 0.020" leak) |
Note: Default values (0.0 in H20) will be displayed for all the above TIDs if the evap monitor has never completed. Each TID is associated with a particular DTC. The TID for the appropriate DTC will be updated based on the current or last driving cycle, default values will be displayed for any phases that have not completed.
REVISION DATE: MARCH 24, 2005
EVAP System Monitor Component Checks
Additional malfunctions that are be identified as part of the evaporative system integrity check are as follows:
The Vapor Management Valve or Electric Vapor Management Valve (EVMV) (purge solenoid) output circuit is checked for opens and shorts (P0443)
Note that a stuck closed VMV generates a P0455, a leaking or stuck open VMV generates a P1450.
| | Vapor Management Valve Check Operation: | |
|---|---|---|
| DTCs | | P0443 – Vapor Management Valve Circuit |
| Monitor execution | | continuous |
| Monitor Sequence | | None |
| Sensors OK | | not applicable |
| Monitoring Duration | | 5 seconds to obtain smart driver status |
Typical Vapor Management Valve check malfunction thresholds:
P0443 (Vapor Management Valve Circuit): open/shorted at 0 or 100% duty cycle
The Canister Vent Solenoid output circuit is checked for opens and shorts (P0446), a stuck closed CVS generates a P1450, a leaking or stuck open CVS generates a P0455.
| | Canister Vent Solenoid Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical Canister Vent Solenoid check malfunction thresholds:
P0446 (Canister Vent Solenoid Circuit): open/shorted
REVISION DATE: MARCH 24, 2005
The Fuel Tank Pressure Sensor input circuit is checked for out of range values (P0452 short, P0453 open), noisy readings (P0454 noisy).
Note that carryover 2004 MY software and 2003 MY and earlier software will set P0451 for the noisy sensor test.
Note that an open power input circuit or stuck check valve generates a P1450.
| | Fuel Tank Pressure Sensor Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical Fuel Tank Pressure Sensor check malfunction thresholds:
P0452 (Fuel Tank Pressure Sensor Circuit Low): < -17.82 in H2O
P0453 (Fuel Tank Pressure Sensor Circuit High): > 16.06 in H2O
P0454 (Fuel Tank Pressure Sensor Circuit Noisy): > 8 in H2O change between samples, sampled every 10 seconds, more than 100 fault occurrences
The Fuel Level Input is checked for out of range values (opens/ shorts). The FLI input can be hardwired to the PCM or be obtained from the serial data link, typically from the instrument cluster. If the FLI signal is open or shorted, a P0460 is set. Some software will be able to discriminate between an open and short and set the appropriate DCT (P0462 circuit low and P0463 circuit high).
Finally, the Fuel Level Input is checked for noisy readings. If the FLI input changes from an in-range to out-of-range value repeatedly, a P0461 DTC is set.
| | Fuel Level Input Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical Fuel Level Input check malfunction thresholds:
P0460 or P0462 (Fuel Level Input Circuit Low): < 5 ohms
P0460 or P0463 (Fuel Level Input Circuit High): > 200 ohms
P0461 (Fuel Level Input Noisy): > 100 circuit low or circuit high exceedences, sampled every 0.100 seconds
The FLI signal is also checked to determine if it is stuck. The PCM calculates the amount of fuel being consumed by accumulating fuel pulse width. (Fuel consumed and fuel gauge reading range are both stored in KAM and reset after a refueling event or DTC storage.) If the there is an insufficient corresponding change in fuel tank level, a P0460 DTC is set.
Different malfunction criteria are applied based on the range in which the fuel level sensor is stuck.
In the range between 15% and 94%, a 30% difference between fuel consumed and fuel is used
In the range below 15%, a 39% difference between fuel consumed and fuel is used
In the range above 94%, a 47% difference between fuel consumed and fuel is used
| | Fuel Level Input Stuck Check Operation: | |
|---|---|---|
| DTCs | | P0460 – Fuel Level Input Circuit Stuck |
| Monitor execution | | continuous |
| Monitor Sequence | | None |
| Sensors OK | | not applicable |
| Monitoring Duration | | Between 15 and 94%, monitoring can take from100 to 120 miles to complete |
REVISION DATE: MARCH 24, 2005
Typical Fuel Level Input Stuck check malfunction thresholds:
P0460 (Fuel Level Input Stuck):
Fuel level stuck at greater than 94%: > 47% difference in calculated fuel tank capacity consumed versus change in fuel level input reading
Fuel level stuck at less than 15%: > 39% difference in calculated fuel tank capacity consumed versus change in fuel level input reading
Fuel level stuck between 15% and 94%: > 30% difference in calculated fuel tank capacity consumed versus change in fuel level input reading
| | Fuel Tank Isolation Valve: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical Fuel Tank Isolation Valve check malfunction thresholds:
P2418 (Fuel Tank Isolation Valve Circuit): open/shorted
P2450 (Fuel Tank Isolation Valve Circuit Stuck Open): fuel tank vacuum changes > - 2 in H20 in 5 seconds during phase 3 after 0.020" leak test passes in phase 2
REVISION DATE: MARCH 24, 2005
Fuel System Monitor
As fuel system components age or otherwise change over the life of the vehicle, the adaptive fuel strategy learns deviations from stoichiometry while running in closed loop fuel. These learned corrections are stored in Keep Alive Memory as long term fuel trim corrections. They may be stored into an 8x10 rpm/load table or they may be stored as a function of air mass. As components continue to change beyond normal limits or if a malfunction occurs, the long-term fuel trim values will reach a calibratable rich or lean limit where the adaptive fuel strategy is no longer allowed to compensate for additional fuel system changes. Long term fuel trim corrections at their limits, in conjunction with a calibratable deviation in short term fuel trim, indicate a rich or lean fuel system malfunction.
Note that in the PCM, both long and short-term fuel trim are multipliers in the fuel pulse width equation. Scan tools normally display fuel trim as percent adders. If there were no correction required, a scan tool would display 0% even though the PCM was actually using a multiplier of 1.0 in the fuel pulse width equation.
Fuel Mass = Air Mass * Long-term Fuel Trim Short-term Fuel Trim * 14.64
Rich Fault
| | Fuel Monitor Operation: | |
|---|---|---|
| DTCs | | P0171 Bank 1 Lean P0172 Bank 1 Rich |
| Monitor execution | | continuous while in closed loop fuel |
| Monitor Sequence | | none |
| Sensors OK | | Fuel Rail Pressure (if available) |
| | Typical fuel monitor entry conditions: | | |
|---|---|---|---|
| Entry condition | | Minimum | Maximum |
| RPM Range | | 1000 | 4000 |
| Air Mass Range | | 0.4 lb/min | |
Typical fuel monitor malfunction thresholds:
Long Term Fuel Trim correction cell currently being utilized in conjunction with Short Term Fuel Trim:
Lean malfunction: LONGFT > 28%, SHRTFT > 2%
Rich malfunction: LONGFT < 28%, SHRTFT < -1%
HO2S Monitor
Front HO2S Signal
The time between HO2S switches is monitored after vehicle startup when closed loop fuel has been requested, and during closed loop fuel conditions. Excessive time between switches with short term fuel trim at its limits (up to +/- 50%), or no switches since startup indicate a malfunction. Since "lack of switching" malfunctions can be caused by HO2S sensor malfunctions or by shifts in the fuel system, DTCs are stored that provide additional information for the "lack of switching" malfunction. Different DTCs indicate whether the sensor was always indicates lean/disconnected (P2195), or always indicates rich (P2196).
2005 MY vehicles will monitor the HO2S signal for high voltage, in excess of 1.1 volts and store a unique DTC. (P0132, P0152). An over voltage condition is caused by a HO2S heater or battery power short to the HO2S signal line.
| | Typical HO2S “Lack of Switching” entry conditions: | |
|---|---|---|
| Entry condition | | Minimum |
| Closed Loop Requested | | |
| Short Term Fuel Trim | | At limits (up to +/- 45 %) |
| Time within entry conditions | | 10 seconds |
| Fuel Tank Pressure | | |
| Fuel Level | | 15% |
| Inferred O2 sensor temperature (for overvoltage test only) | | 400 oF |
Typical HO2S "Lack of Switching" malfunction thresholds:
< 8 switches since startup for > 60 seconds in test conditions or > 60 seconds since last switch while closed loop fuel
> 1.1 volts for 25 seconds for over voltage test
The HO2S is also tested functionally. The response rate is evaluated by entering a special 1.5 Hz. square wave, fuel control routine. This routine drives the air/fuel ratio around stoichiometry at a calibratable frequency and magnitude, producing predictable oxygen sensor signal amplitude. A slow sensor will show reduced amplitude. Oxygen sensor signal amplitude below a minimum threshold indicates a slow sensor malfunction. (P0133 Bank 1). If the calibrated frequency was not obtained while running the test because of excessive purge vapors, etc., the test will be run again until the correct frequency is obtained.
| | HO2S Response Rate Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical HO2S response rate entry conditions: | |
|---|---|---|
| Entry condition | | Minimum |
| Short Term Fuel Trim Range | | 90% |
| Engine Coolant Temp | | 150 oF |
| Intake Air Temp | | |
| Engine Load | | 18% |
| Vehicle Speed | | 20 mph |
| Engine RPM | | 1000 rpm |
| Time since entering closed loop fuel | | 3 seconds |
Typical HO2Sresponse rate malfunction thresholds:
Voltage amplitude: < 0.5 volts
| | J1979 Front HO2S Mode $06 Data | | |
|---|---|---|---|
| Monitor ID | | Test ID | Description for CAN |
| $01 | | $80 | HO2S11 voltage amplitude and voltage threshold |
| $01 | | $01 | H02S11 sensor switch-point voltage |
Rear HO2S Signal
A functional test of the rear HO2S sensors is done during normal vehicle operation. The peak rich and lean voltages are continuously monitored. Voltages that exceed the calibratable rich and lean thresholds indicate a functional sensor. If the voltages have not exceeded the thresholds after a long period of vehicle operation, the air/fuel ratio may be forced rich or lean in an attempt to get the rear sensor to switch. This situation normally occurs only with a green catalyst (< 500 miles). If the sensor does not exceed the rich and lean peak thresholds, a malfunction is indicated.
2005 MY vehicles will monitor the rear HO2S signal for high voltage, in excess of 1.1 volts and store a unique DTC. (P0138). An over voltage condition is caused by a HO2S heater or battery power short to the HO2S signal line.
| | Rear HO2S Check Operation: |
|---|---|
| DTCs Sensor 2 | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| | Typical Rear HO2S check entry conditions: | |
|---|---|---|
| Entry condition | | Minimum |
| Inferred exhaust temperature range | | 220 oF |
| Rear HO2S heater-on time | | 90 seconds |
| Throttle position | | Part throttle |
| Engine RPM (forced excursion only) | | 1000 rpm |
Typical Rear HO2S check malfunction thresholds:
Does not exceed rich and lean threshold envelope:
Rich < 0.48 volts
Lean > 0.42 volts
| | J1979 Rear HO2S Mode $06 Data | | |
|---|---|---|---|
| Monitor ID | | Test ID | Description for CAN |
| $02 | | $01 | HO2S12 sensor switch-point voltage |
HO2S Heaters, front and rear
The HO2S heaters are monitored for proper voltage and current. A HO2S heater voltage fault is determined by turning the heater on and off and looking for corresponding voltage change in the heater output driver circuit in the PCM.
A separate current-monitoring circuit monitors heater current once per driving cycle. The heater current is actually sampled three times. If the current value for two of the three samples falls below a calibratable threshold, the heater is assumed to be degraded or malfunctioning. (Multiple samples are taken for protection against noise on the heater current circuit.)
| | HO2S Heater Monitor Operation: | |
|---|---|---|
| DTCs | | Sensor 1 - P0135 Bank 1 Sensor 2 - P0141 Bank 1 |
| Monitor execution | | once per driving cycle for heater current, continuous for voltage monitoring |
| Monitor Sequence | | heater voltage check is done prior to heater current check |
| Sensors OK | | |
| Monitoring Duration | | < 5 seconds |
| | Typical HO2S heater monitor entry conditions: | |
|---|---|---|
| Entry condition | | Minimum |
| Inferred exhaust temperature range | | 250 oF |
| HO2S heater-on time | | 30 seconds |
Typical HO2S heater check malfunction thresholds:
Smart driver status indicated malfunction
Heater current outside limits: < 0.465 amps or > 3 amps, (NTK Fast Light Off)
| Monitor ID | Test ID | Description for CAN | Units |
|---|---|---|---|
| $01 | $81 | HO2S11 Heater Current | Amps |
| $02 | $81 | HO2S12 Heater Current | Amps |
Stepper Motor EGR System Monitor – Non-intrusive Monitor
The Electric Stepper Motor EGR System uses an electric stepper motor to directly actuate an EGR valve rather than using engine vacuum and a diaphragm on the EGR valve. The EGR valve is controlled by commanding from 0 to 52 discreet increments or "steps" to get the EGR valve from a fully closed to fully open position. The position of the EGR valve determines the EGR flow. Control of the EGR valve is achieved by a non-feedback, open loop control strategy. Because there is no EGR valve position feedback, monitoring for proper EGR flow requires the addition of a MAP sensor.
Stepper Motor EGR System
The Non-Intrusive Stepper Motor EGR Monitor consists of an electrical and functional test that checks the stepper motor and the EGR system for proper flow.
The stepper motor electrical test is a continuous check of the four electric stepper motor coils and circuits to the PCM. A malfunction is indicated if an open circuit, short to power, or short to ground has occurred in one or more of the stepper motor coils for a calibrated period of time. If a malfunction has been detected, the EGR system will be disabled, and additional monitoring will be suspended for the remainder of the driving cycle, until the next engine start-up.
| | EGR Stepper Monitor Electrical Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Stepper motor electrical check entry conditions:
Battery voltage > 11.0 volts
Typical EGR electrical check malfunction thresholds:
"Smart" Coil Output Driver status indicates open or short to ground, or short to power
EGR flow is monitored using an analog Manifold Absolute Pressure Sensor (MAP). If a malfunction has been detected in the MAP sensor, the EGR monitor will not perform the EGR flow test.
The MAP sensor is checked for opens, shorts, or out-of-range values by monitoring the analog-to-digital (A/D) input voltage.
| | MAP Sensor Check Operation |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
MAP electrical check entry conditions:
Battery voltage > 11.0 volts
Typical MAP sensor check malfunction thresholds:
Voltage < 0.024 volts or voltage > 4.96 volts
REVISION DATE: MARCH 24, 2005
The MAP sensor is also checked for rational values. The value of inferred MAP is checked against the actual value of MAP at idle and non-idle engine operating conditions.
| DTCs | P0106 |
|---|---|
| Monitor execution | continuous |
| Monitor Sequence | None |
| Sensors OK | not applicable |
| | Typical MAP Rationality check entry conditions: | |
|---|---|---|
| Entry Conditions | | Minimum |
| Change in load | | |
| Engine rpm | | 500 rpm |
Typical MAP Rationality check malfunction thresholds:
Difference between inferred MAP and actual MAP > 8 in Hg
The MAP sensor is also checked for intermittent MAP faults.
| | MAP Sensor Intermittent Check Operation | |
|---|---|---|
| DTCs | | P0109 (non-MIL) |
| Monitor execution | | Continuous |
| Monitor Sequence | | None |
| Sensors OK | | not applicable |
| Monitoring Duration | | 2 seconds to register a malfunction |
Typical MAP Intermittent check malfunction thresholds:
Voltage < 0.024 volts or voltage > 4.96 volts
After the vehicle has warmed up and normal EGR rates are being commanded by the PCM, the EGR flow test is performed. The flow test is performed once per drive-cycle after the remaining entry conditions required to initiate the test are satisfied.
The EGR flow test is done by observing the behavior of two different values of MAP - the analog MAP sensor reading, and inferred MAP, (MAP calculated from the Mass Air Flow Sensor, throttle position, rpm, BARO, etc.). The calculation of inferred MAP is not compensated for EGR flow and, therefore, does not account for the effects of EGR flow whereas measured MAP does respond to the effects of EGR flow. The amount of EGR flow can therefore be calculated by looking at the difference between measured MAP and inferred MAP.
Measured MAP can be thought of as consisting of three contributors: fresh air drawn into the intake manifold, EGR flow, and a noise/variability term. The following equation describes this:
Where: Pmap = pressure in manifold measured by the MAP sensor
Pmaf = fresh air pressure without EGR flow, inferred from the MAF sensor, also known as inferred MAP
Pegr = EGR flow pressure due to EGR flow
Pnoise = any discrepancy between measured MAP and inferred MAP, without EGR
Pmaf (inferred MAP) is determined by the amount of fresh air drawn into manifold as measured by the Mass Air Flow (MAF) sensor. Inferred MAP is determined during the engine mapping process with no EGR, as a function of rpm and load
Pegr , the pressure due to EGR contribution can be modeled in the following equation:
Where: K = converts EGR pressure to a percent EGR flow rate
By rearranging the equation:
```
Actual EGR / Desired EGR = Pegr / (K * Desired EGR)
```
The ratio of actual to desired EGR will eventually be calculated by the EGR monitor and will reflect how accurately EGR is being delivered to the engine.
Some differences will always exist between measured MAP and inferred MAP due to hardware variations. Within steady engine operating conditions without EGR, it is reasonable to model any differences between inferred and measured MAP as an offset and slope that is a function of load. The offset and slope are learned at various loads. This correction can be represented as:
MAP correction =Pnoise = M * LOAD + B
Where: B = offset between measured MAP and inferred MAP
M = slope which accounts for the difference between measured MAP and inferred MAP as a function of load
The terms B and M are learned and compensate for differences between measured MAP and inferred MAP.
Rearranging and substituting in the equations above results in the following system model:
```
Actual EGR / Desired EGR = (measured MAP – inferred MAP – MAP correction) / (K * Desired EGR)
```
The Actual EGR / Desired EGR is called the "degradation index". A value near one indicates the system is functioning properly whereas a value near zero reflects severe flow degradation.
When the entry conditions for the flow test have been satisfied, a calibrated number of samples of the difference between measured MAP and inferred MAP are taken at low, medium and high load regions, with and without EGR, to learn the MAP correction terms and then calculate the degradation index. When the number of samples in each load region is complete, a degradation index value from zero to one is computed. A value near one indicates the system is functioning properly whereas a value near zero reflects EGR severe flow degradation.
The degradation index is compared to a calibrated threshold to determine if a low flow malfunction has occurred.
Once the EGR monitor has been completed, the counter for the number of samples in each load region is reset to zero. If an EGR flow malfunction has occurred, the P0400 DTC flow malfunction is registered.
Note: BARO is inferred at engine startup using the KOEO MAP sensor reading. It is updated during high, partthrottle, engine operation.
This monitor employs an Exponentially Weighted Moving Average (EWMA) algorithm to improve the robustness threshold of the degradation index. During normal customer driving, a malfunction will illuminate the MIL, on average, in 3 to 6 driving cycles. If KAM is reset (battery disconnected), a malfunction will illuminate the MIL in 2 driving cycles. See the section on EWMA for additional information.
| | EGR Flow Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical EGR flow check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Engine RPM | | 1050 rpm |
| Inferred Ambient Air Temperature | | 32 oF |
| Engine Coolant Temperature | | 140 oF |
| Engine RPM Steady (change/0.100 sec) | | |
| MAP Steady (change/0.100 sec) | | |
| Engine Load Steady (change/0.100 sec) | | |
| BARO | | 22.5 "Hg |
| Samples for slope calculation (a sample/0.1sec) | | 600 samples |
Typical EGR flow check malfunction thresholds:
< 0.25 degradation index
| | J1979 Mode $06 Data | | | |
|---|---|---|---|---|
| Monitor ID | | Test ID | Description for CAN | Units |
| $33 | | $82 | Degradation index and min. threshold | none |
I/M Readiness Indication
If the inferred ambient temperature is less than 20 o F, greater than 130 o F, or the altitude is greater than 8,000 feet (BARO < 22.5 "Hg), the EGR flow test cannot be reliably done. In these conditions, the EGR flow test is suspended and a timer starts to accumulate the time in these conditions. If the vehicle leaves these extreme conditions, the timer starts decrementing, and, if conditions permit, will attempt to complete the EGR flow monitor. If the timer reaches 800 seconds, the EGR flow test is disabled for the remainder of the current driving cycle and the EGR Monitor I/M Readiness bit will be set to a "ready" condition after one such driving cycle. Two such consecutive driving cycles are required for the EGR Monitor I/M Readiness bit to be set to a "ready" condition.
PCV System Monitor
Ford plans to comply with the PCV monitoring requirements by modifying the current PCV system design. The PCV valve will be installed into the rocker cover using a quarter-turn cam-lock design to prevent accidental disconnection. High retention force molded plastic lines will be used from the PCV valve to the intake manifold. The diameter of the lines and the intake manifold entry fitting will be increased so that inadvertent disconnection of the lines after a vehicle is serviced will cause either an immediate engine stall or will not allow the engine to be restarted. Some vehicles will incorporate such designs beginning in the 2001 MY. In the event that the vehicle does not stall if the line between the intake manifold and PCV valve is inadvertently disconnected, the vehicle will have a large vacuum leak that will cause the vehicle to run lean at idle. This will illuminate the MIL after two consecutive driving cycles and will store one or more of the following codes: Lack of O2 sensor switches, Bank1 (P1131 or P2195), Lack of O2 sensor switches Bank 2 (P1151 or P2197), Fuel System Lean, Bank1 (P0171),, Fuel System Lean, Bank 2 (P0174), MAP/BARO Range/Performance (P0106)
Thermostat Monitor
Ford plans to comply with the thermostat-monitoring requirement by using a slightly-modified version of the current "Insufficient temperature for closed-loop" test (P0125 or P0128). If the engine is being operated in a manner that is generating sufficient heat, the engine coolant temperature (ECT) or cylinder head temperature (CHT) should warm up in a predictable manner. A timer is incremented while the engine is at moderate load and vehicle speed is above a calibrated limit. The target/minimum timer value is based on ambient air temperature at start-up. If the timer exceeds the target time and ECT/CHT has not warmed up to the target temperature, a malfunction is indicated. The test runs if the start-up IAT temperature is below the target temperature. A 2-hour engine-off soak time is required to erase a pending or confirmed DTC. This feature prevents false-passes where engine coolant temperature rises after the engine is turned off during a short engine-off soak. The target temperature is calibrated to the thermostat regulating temperature minus 20 o F. For a typical 195 o F thermostat, the warm-up temperature would be calibrated to 175 o F. This test is being phased in starting in the 2000 MY. A vehicle, which is not part of the thermostat monitor phase-in, utilizes a 140 o F warm-up temperature.
| | Insufficient Temperature for Closed Loop Check Operation: | |
|---|---|---|
| DTCs | | P0128 |
| Monitor execution | | Once per driving cycle |
| Monitor Sequence | | None |
| | Typical P0128 check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Vehicle speed | | 15 mph |
| Intake Air Temp at Start-up | | 20 oF |
| Engine Load | | 30% |
Typical P0125/P0128 check malfunction thresholds:
Time period expired without reaching 160 o F target ECT temperature.
Time period is 300 to 800 seconds based on ambient temperature at start-up.
REVISION DATE: MARCH 24, 2005
Electronic Throttle Control
The Gen 2 Electronic Throttle Control system uses a strategy that delivers output shaft torque, based on driver demand, utilizing an electronically controlled throttle body. Gen 2 ETC strategy was developed mainly to improve fuel economy. This is possible by decoupling throttle angle (produces engine torque) from pedal position (driver demand). This allows the powertrain control strategy to optimize fuel control and transmission shift schedules while delivering the requested wheel torque. Gen 2 ETC is being used on the Lincoln LS and Ford Thunderbird, new Explorer/Mountaineer, and the new light-duty F-series.
Because safety is a major concern with ETC systems, a complex safety monitor strategy (hardware and software) was developed. The monitor system is distributed across two processors: the main powertrain control processor and a monitoring processor called an Enhanced-Quizzer (E-Quizzer) processor.
The primary monitoring function is performed by the Independent Plausibility Check (IPC) software, which resides on the main processor. It is responsible for determining the driver-demanded torque and comparing it to an estimate of the actual torque delivered. If the generated torque exceeds driver demand by specified amount, the IPC takes appropriate mitigating action.
Since the IPC and main controls share the same processor, they are subject to a number of potential, commonfailure modes. Therefore, the E-Quizzer processor was added to redundantly monitor selected PCM inputs and to act as an intelligent watchdog and monitor the performance of the IPC and the main processor. If it determines that the IPC function is impaired in any way, it takes appropriate Failure Mode and Effects Management (FMEM) actions.
ETC System Failure Mode and Effects Management:
| Effect | Failure Mode |
|---|---|
| No Effect on Driveability | A loss of redundancy or loss of a non-critical input could result in a fault that does not affect driveability. The ETC light will turn on, but the throttle control and torque control systems will function normally. |
| RPM Guard w/ Pedal Follower | In this mode, torque control is disabled due to the loss of a critical sensor or PCM fault. The throttle is controlled in pedal-follower mode as a function of the pedal position sensor input only. A maximum allowed RPM is determined based on pedal position (RPM Guard.) If the actual RPM exceeds this limit, spark and fuel are used to bring the RPM below the limit. The ETC light and the MIL are turned on in this mode and a P2106 is set. EGR, VCT, and IMRC outputs are set to default values. |
| RPM Guard w/ Default Throttle | In this mode, the throttle plate control is disabled due to the loss of Throttle Position, the Throttle Plate Position Controller, or other major Electronic Throttle Body fault. A default command is sent to the TPPC, or the H-bridge is disabled. Depending on the fault detected, the throttle plate is controlled or springs to the default (limp home) position. A maximum allowed RPM is determined based on pedal position (RPM Guard.) If the actual RPM exceeds this limit, spark and fuel are used to bring the RPM below the limit. The ETC light and the MIL are turned on in this mode and a P2110 is set. EGR, VCT, and IMRC outputs are set to default values. |
| RPM Guard w/ Forced High Idle | This mode is caused by the loss of 2 or 3 pedal position sensor inputs due to sensor, wiring, or PCM faults. The system is unable to determine driver demand, and the throttle is controlled to a fixed high idle airflow. There is no response to the driver input. The maximum allowed RPM is a fixed value (RPM Guard.) If the actual RPM exceeds this limit, spark and fuel are used to bring the RPM below the limit. The ETC light and the MIL are turned on in this mode and a P2104 is set. EGR, VCT, and IMRC outputs are set to default values. |
| Shutdown | If a significant processor fault is detected, the monitor will force vehicle shutdown by disabling all fuel injectors. The ETC light and the MIL may be turned on in this mode and a P2105 is set. Note: Vehicle shutdown does not increase emissions; therefore the MIL is not required to be illuminated for this fault. |
| | Note: ETC illuminates or displays a message on the message center immediately, MIL illuminates after 2 driving cycles |
Electronic Throttle Monitor
Electronic Throttle Monitor Operation:
Accelerator and Throttle Position Sensor Inputs
| | Accelerator Pedal Position Sensor Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
APP sensor check malfunction thresholds:
Circuit continuity - Voltage < 0.25 volts or voltage > 4.75 volts
Range/performance – sensor disagreement between processors (PCM and EQuizzer)
| | Throttle Position Sensor Check Operation: | |
|---|---|---|
| DTCs | | P0122, P0123 – TP A circuit continuity (MIL, ETC light) P0121 – TP A range/performance (non-MIL) P2135 – TP A / TP B correlation (ETC light, non-MIL) P0222, P0223 – TP B circuit continuity (MIL, ETC light) P0221 – TP B range/performance (non-MIL) |
| Monitor execution | | Continuous |
| Monitor Sequence | | None |
| Sensors OK | | not applicable |
| Monitoring Duration | | < 1 seconds to register a malfunction |
TP sensor check malfunction thresholds:
Circuit continuity - Voltage < 0.25 volts or voltage > 4.75 volts
Correlation and range/performance – sensor disagreement between processors (PCM and EQuizzer), TP inconsistent with TPPC throttle plate position
Throttle Plate Position Controller (TPPC) Outputs
The purpose of the TPPC is to control the throttle position to the desired throttle angle. It is a separate chip embedded in the PCM. The desired angle is communicated from the main CPU via a 312.5 Hz duty cycle signal. The TPPC interprets the duty cycle signal as follows:
0% <= DC < 5% - Out of range, limp home default position.
5% <= DC < 6% - Commanded default position, closed.
6% <= DC < 7% - Commanded default position. Used for key-on, engine off.
7% <= DC < 10% - Closed against hard-stop. Used to learn zero throttle angle position (hard-stop) after key-up
10% <= DC <=92% - Normal operation, between 0 degrees (hard-stop) and 82%, 10% duty cycle = 0 degrees throttle angle, 92% duty cycle = 82 degrees throttle angle.
92% < DC <= 96% - Wide Open Throttle, 82 to 86 degrees throttle angle.
96% < DC <= 100% - Out of Range, limp home default position
The desired angle is relative to the hard-stop angle. The hard-stop angle is learned during each key-up process before the main CPU requests the throttle plate to be closed against the hard-stop. The output of the TPPC is a voltage request to the H-driver (also in PCM). The H driver is capable of positive or negative voltage to the Electronic Throttle Body Motor.
| | Throttle Plate Controller Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Monitoring Duration | |
Comprehensive Component Monitor - Engine
Engine Inputs
Analog inputs such as Intake Air Temperature (P0112, P0113), Cylinder Head Temperature (P1289. P1290), Mass Air Flow (P0102, P0103) and Throttle Position (P0122, P0123, P1120), Fuel Temperature (P0182, P0183), Engine Oil Temperature (P0197, P0198), Fuel Rail Pressure (p0192, P0193) are checked for opens, shorts, or rationality by monitoring the analog -to-digital (A/D) input voltage.
The ECT rationality test checks to make sure that ECT is not stuck high in a range that causes other OBD to be disabled. If after a long (6 hour) soak, ECT is very high (> 230 o F) and is also much higher than IAT at start, it is assumed that ECT is stuck high.
| | ECT Sensor Rationality Check Operation: | |
|---|---|---|
| DTCs | | P0116 (ECT stuck high) |
| Monitor execution | | Once per driving cycle |
| Monitor Sequence | | None |
| Sensors OK | | ECT, CHT, IAT |
| Monitoring Duration | | 100 seconds to register a malfunction |
| | Typical ECT Sensor Rationality check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Engine-off time (soak time) | | 360 min |
| Difference between ECT and IAT | | |
| Engine Coolant Temperature | | 230 oF |
Typical ECT Sensor Rationality check malfunction thresholds:
Catalyst, Misfire, Fuel System or HO2S Monitors have not run this drive cycle
The CHT sensor measures cylinder head metal temperature as opposed to engine coolant temperature. At lower temperatures, CHT temperature is equivalent to ECT temperature. At higher temperatures, ECT reaches a maximum temperature (dictated by coolant composition and pressure) whereas CHT continues to indicate cylinder head metal temperature. If there is a loss of coolant or air in the cooling system, the CHT sensor will still provides an accurate measure of cylinder head metal temperature. If a vehicle uses a CHT sensor, the PCM software calculates both CHT and ECT values for use by the PCM control and OBD systems.
| | Cylinder Head Temperature Sensor Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical CHT sensor check malfunction thresholds:
Voltage < 0.244 volts or voltage > 4.96 volts
For P1299, MIL illuminates immediately if CHT > 270 o. Fuel shut-off is activated to reduce engine and coolant temperature
| | Intake Air Temperature Sensor Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical IAT sensor check malfunction thresholds:
Voltage < 0.244 volts or voltage > 4.96 volts
ECT, IAT, EOT Temperature Sensor Transfer Function
| Volts | A/D counts in PCM |
|---|---|
| 4.89 | 1001 |
| 4.86 | 994 |
| 4.81 | 983 |
| 4.74 | 970 |
| 4.66 | 954 |
| 4.56 | 934 |
| 4.45 | 910 |
| 4.3 | 880 |
| 4.14 | 846 |
| 3.95 | 807 |
| 3.73 | 764 |
| 3.5 | 717 |
| 3.26 | 666 |
| 3 | 614 |
| 2.74 | 561 |
| 2.48 | 508 |
| 2.23 | 456 |
| 1.99 | 407 |
| 1.77 | 361 |
| 1.56 | 319 |
| 1.37 | 280 |
| 1.2 | 246 |
| 1.05 | 215 |
| 0.92 | 188 |
| 0.8 | 165 |
| 0.7 | 144 |
| 0.61 | 126 |
| 0.54 | 110 |
| 0.47 | 96 |
| 0.41 | 85 |
| 0.36 | 74 |
| 0.32 | 65 |
| 0.28 | 57 |
| 0.25 | 51 |
| 0.22 | 45 |
| 0.19 | 40 |
| 0.17 | 35 |
| 0.15 | 31 |
| | Fuel Rail Pressure Sensor Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical FRP sensor check malfunction thresholds:
Voltage < 0.049 volts or voltage > 4.88 volts
The FRP range/performance test checks to make sure that fuel rail pressure can be properly controlled by the electronic returnless fuel system. The FPS sensor is also checked for in-range failures that can be caused by loss of Vref to the sensor. Note that the FRP is referenced to manifold vacuum (via a hose) while the fuel rail pressure sensor is not referenced to manifold vacuum. It uses gage pressure. As a result, a mechanical gage in the fuel rail will display a different pressure than the FPR PID on a scan tool. The scan tool PID will read higher because of manifold vacuum.
| | FRP Range/Performance Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical FRP Sensor Range/Performance check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Demand pressure reasonable | | 35 psig |
| Fuel level | | 15% |
Typical FRP Range/Performance check malfunction thresholds:
Fuel pressure error (demand – actual pressure) > 40 psig
| | Typical FRP Sensor Stuck check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| FRP sensor input | | 0 psig |
Typical FRP Stuck check malfunction thresholds:
Fuel pressure error (demand – actual pressure) > 5 psig
| | Throttle Position Sensor Check Operation: | |
|---|---|---|
| DTCs | | P0122 (low input), P0123 (high input), P1120 (closed throttle too low) |
| Monitor execution | | continuous |
| Monitor Sequence | | none |
| Sensors OK | | not applicable |
| Monitoring Duration | | 5 seconds to register a malfunction |
Typical TP sensor check malfunction thresholds:
Voltage < 0.20 volts or voltage > 4.80 volts or voltage < 0.488
| | MAF Sensor Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
Typical MAF sensor check malfunction thresholds:
Voltage < 0.244 volts and engine running or voltage > 4.785 volts engine rpm < 4,000 rpm
The MAF and TP sensors are cross-checked to determine whether the sensor readings are rational and appropriate for the current operating conditions. (P0068)
| | MAF/TP Rationality Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical MAF/TP rationality check entry conditions: | | |
|---|---|---|---|
| Entry Condition | | Minimum | Maximum |
| Engine RPM | | 1025 rpm | minimum of 3800 rpm |
| Engine Coolant Temp | | 40 oF | |
Typical MAF/TP rationality check malfunction thresholds:
Load > 55% and TP < 0.288 volts or Load < 20% and TP > 1.953 volts
Miscellaneous
Loss of Keep Alive Memory (KAM) power (a separate wire feeding the PCM) results is a P1633 DTC and immediate MIL illumination on most applications.
Vehicles that require tire/axle information to be programmed into the Vehicle ID block (VID) will store a P1639 if the VID block is not programmed or corrupted.
The PCM "engine off" or "soak" timer is tested to ensure that it is functional. The value of engine coolant temperature decays after the engine is turned off. This decay is modeled as a function of ECT, IAT and soak time. If, during a cold start, (difference between ECT and IAT is low), the actual ECT at start is much lower than the predicted ECT at start, it means that the soak timer is not functioning and a P0606 DTC is stored. (If the timer fails, it will read zero seconds and the model will predict that ECT will be the same temperature as when the engine was last turned off.)
Ignition
Power PC Ignition
New "Power PC" processors no longer use an EDIS chip for ignition signal processing. The signals are now directly processed by the PCM using a special interface chip called a Time Processing Unit or TPU. The 36-tooth crankshaft and camshaft position signals come directly into the TPU. The signals to fire the ignition coil drivers also come from the TPU.
The PowerPC ignition system is checked by monitoring three ignition signals during normal vehicle operation:
CKP, the signal from the crankshaft 36-1-tooth wheel. The missing tooth is used to locate the cylinder pair associated with cylinder # 1 The TPU also generates the Profile Ignition Pickup (PIP) signal, a 50% duty cycle, square wave signal that has a rising edge at 10 deg BTDC.
Camshaft IDentification (CMP, commonly known at CID), a signal derived from the camshaft to identify the #1 cylinder
NOMI, a signal that indicates that the primary side of the coil has achieved the nominal current required for proper firing of the spark plug. This signal is received as a digital signal from the coil drivers to the TPU. The coil drivers determine if the current flow to the ignition coil reaches the required current (typically 5.5 Amps for COP, 3.0 to 4.0 Amps for DIS) within a specified time period (typically > 200 microseconds for both COP and DIS).
First, several relationships are checked on the 36-1 tooth CKP signal. The TPU looks for the proper number of teeth (35 or 39) after the missing tooth is recognized; time between teeth too low (< 30 rpm or > 9,000 rpm); or the missing tooth was not where it was expected to be. If an error occurs, the TPU shuts off fuel and the ignition coils and attempts to resynchronize itself. It takes on revolution to verify the missing tooth, and another revolution to verify cylinder #1 using the CMP input. Note that if a P0320 DTC is set on a vehicle with Electronic Throttle Control, (ETC), the ETC software will also set a P2106.
If the proper ratio of CMP events to PIP events is not being maintained (for example, 1 CMP edge for every 8 PIP edges for an 8-cylinder engine), it indicates a missing or noisy CMP signal (P0340). On applications with Variable Cam Timing (VCT), the CMP wheel has five teeth to provide the VCT system with more accurate camshaft control. The TPU checks the CMP signal for an intermittent signal. If an intermittent is detected, the VCT system is disabled and a P0344 (CMP Intermittent Bank 1) or P0349 (CMP intermittent Bank 2) is set.
Finally, the relationship between NOMI events and PIP events is evaluated. If there is not an NOMI signal for every PIP edge (commanded spark event), the PCM will look for a pattern of failed NOMI events to determine which ignition coil has failed.
| | CKP Ignition System Check Operation: | |
|---|---|---|
| DTCs | | P0320 (CKP) |
| Monitor execution | | continuous |
| Monitor Sequence | | none |
| Sensors OK | | |
| Monitoring Duration | | < 5 seconds |
| | Typical CKP ignition check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Engine RPM for CKP | | 200 rpm |
| | Typical CKP ignition check malfunction thresholds: |
|---|---|
| EDIS: For PIP: Time between PIP edges: > 350 milliseconds Ratio of current PIP period to last two periods: < 0.75, > 1.75 PowerPC: Incorrect number of teeth after the missing tooth is recognized, Time between teeth too low (< 30 rpm or > 9,000 rpm) Missing tooth was not where it was expected to be. | |
| | CMP Ignition System Check Operation: | |
|---|---|---|
| DTCs | | P0340 (CMP) |
| Monitor execution | | continuous |
| Monitor Sequence | | none |
| Sensors OK | | |
| Monitoring Duration | | < 5 seconds |
| | Typical CMP ignition check entry conditions: | | |
|---|---|---|---|
| Entry Condition | | Minimum | Maximum |
| Engine RPM for CMP | | 200 rpm | |
Typical CMP ignition check malfunction thresholds:
EDIS: Ratio of PIP events to CMP events: 4:1, 6:1, 8:1 or 10:1 based on engine cyl.
PowerPC: Ratio of PIP events to CMP events: 4:1, 6:1, 8:1 or 10:1 based on engine cyl
| | Coil Primary Ignition System Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical Coil primary ignition check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Engine RPM for coil primary | | 200 rpm |
| Positive engine torque | | Positive torque |
Typical Coil primary ignition check malfunction thresholds:
Ratio of PIP events to IDM or NOMI events 1:1
Engine Outputs
The PCM will monitor the "smart" driver fault status bit that indicates either an open circuit, short to power or short to ground.
| | Injector Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| | Typical injector circuit check entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Battery Voltage | | 11.0 volts |
| Engine Coolant Temp | | |
| Intake Air Temp | | |
Electronic Returnless Fuel Systems (ERFS) utilize a Fuel Pump Driver Module (FPDM) to control fuel pressure. The PCM uses a Fuel Rail Pressure Sensor (FRP) for feedback. The PCM outputs a duty cycle to the FPDM to maintain the desired fuel rail pressure. During normal operation, the PCM will output a FP duty cycle from 5% to 51%. The FPDM will run the fuel pump at twice this duty cycle, e.g. if the PCM outputs a 42% duty cycle, the FPDM will run the fuel pump at 84%. If the PCM outputs a 75% duty cycle, the FPDM will turn off the fuel pump.
The FPDM returns a duty cycled diagnostic signal back to the PCM on the Fuel Pump Monitor (FPM) circuit to indicate if there are any faults in the FPDM.
If the FPDM does not out any diagnostic signal, (0 or 100% duty cycle), the PCM sets a P1233 DTC. This DTC is set if the FPDM loses power. This can also occur if the Inertia Fuel Switch is tripped.
If the FPDM outputs a 25% duty cycle, it means that the fuel pump control duty cycle is out of range. This may occurs if the FPDM does not receive a valid control duty cycle signal from the PCM. The FPDM will default to 100% duty cycle on the fuel pump control output. The PCM sets a P1235 DTC.
If the FPDM outputs a 75% duty cycle, it means that the FPDM has detected an open or short on the fuel pump control circuit. The PCM sets a P1237 DTC.
If the FPDM outputs a 50% duty cycle, the FPDM is functioning normally.
| | Fuel Pump Driver Module Check Operation: | |
|---|---|---|
| DTCs | | P1233 – FPDM disabled of offline P1235 – Fuel pump control out of range P1237 – Fuel pump secondary circuit |
| Monitor execution | | Continuous, voltage > 11.0 volts |
| Monitor Sequence | | None |
| Monitoring Duration | | 3 seconds |
REVISION DATE: MARCH 24, 2005
There are several different styles of hardware used to control airflow within the engine air intake system. In general, the devices are defined based on whether they control in-cylinder motion (charge motion) or manifold dynamics (tuning).
Systems designed to control charge motion are defined to be Intake Manifold Runner Controls. IMRC systems generally have to modify spark when the systems are active because altering the charge motion affects the burn rate within the cylinder.
Systems designed to control intake manifold dynamics or tuning are defined to be Intake Manifold Tuning Valves. IMTV systems generally do not require any changes to spark or air/fuel ratio because these systems only alter the amount of airflow entering the engine.
Intake Manifold Runner Control Systems
The Intake Manifold Swirl Control Valve used on the 2.3L engine consists of a manifold mounted vacuum actuator and a PCM controlled electric solenoid. The linkage from the actuator attaches to the manifold butterfly plate lever. The IMSCV actuator and manifold are composite/plastic with a single intake air passage for each cylinder. The passage has a butterfly valve plate that blocks 60% of the opening when actuated, leaving the top of the passage open to generate turbulence. The housing uses a return spring to hold the butterfly valve plates open. The vacuum actuator houses an internal monitor switch circuit to provide feedback to the PCM indicating butterfly valve plate position.
Below approximately 3000 rpm, the vacuum solenoid will be energized. This will allow manifold vacuum to be applied and the butterfly valve plates to remain closed. Above approximately 3000 rpm, the vacuum solenoid will be de-energized. This will allow vacuum to vent from the actuator and the butterfly valve plates to open.
| | IMRC System Check Operation: | |
|---|---|---|
| DTCs | | P2008 - IMRC output electrical check P2004 – IMRC stuck open, vacuum operated, Bank 1 P2006 – IMRC stuck closed, vacuum operated, Bank 1 |
| Monitor execution | | Continuous, after ECT > 40 deg F |
| Monitor Sequence | | None |
| Sensors OK | | |
Typical IMRC functional check malfunction thresholds
IMRC plates do not match commanded position (functional)
IMRC switches open/shorted (electrical)
The engine is monitored for excessive torque generation at idle. If excessive torque is being produced, injectors are turned off in order to reduce torque. If the frequency of injector cut-off is higher than the EWMA threshold, a P2279 DTC is set.
| | Intake Air System Leak Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Typical Intake Air System Leak test entry conditions: | |
|---|---|---|
| Entry Condition | | Minimum |
| Engine Speed | | |
| Vehicle Speed | | |
| High Voltage Battery Temperature | | 0 degree F |
| Inferred Ambient Temperature | | 20 degree F |
Typical Intake Air System Leak test malfunction thresholds:
Injectors cut off for > 0.7 frequency (EWMA)
Comprehensive Component Monitor – Battery Energy Control Module
BECM Inputs/Outputs
BECM has many inputs/outputs used to control the high voltage battery; however, none of the components are serviceable. The battery itself consists of 250 battery cells. A group of 5 cells is called a battery module; thus, there are 50 battery modules in the vehicle battery pack. The battery pack is physically split into two half-packs, a 24 module half-pack and a 26 module half-pack. Each half-pack is monitored by a microprocessor that senses voltage in each battery pack, temperature in eight placers, and monitors the half-pack for current or voltage leakage.
The BECM sends the ECM fault information over the CAN network if any of the BECM input or output components are faulty. The ECM immediately set a P0A1F DTC if a fault request was received from BECM.
| | Battery Energy Control Module (BECM) Check Operation: | |
|---|---|---|
| DTCs | | P0A1F (Battery Energy Control Module) |
| Monitor execution | | Continuous |
| Monitor Sequence | | None |
| Sensors OK | | |
Battery Energy Control Module (BECM) fault check malfunction thresholds:
(1) The difference between the maximum battery voltage and the minimum battery voltage between any battery module is greater than 1.4 volts for 1 second.
(2) Both current sensors fail:
For Current Sensor #1, the current offset (calculated at power up) is > 6.5 A, or the magnitude of the current is greater than 280A for 1 second (detects shorts and opens).
For Current Sensor #2, communications are lost for 5 seconds or the magnitude of the current is greater than 350A for 5 seconds.
(3) The BECM is unable to access EEPROM data at power up.
(4) One of the two Voltage/Temperature Sensor microprocessor units reports a temperature, voltage, or leakage fault, or can not communicate with the BECM microprocessor for ten seconds.
(5) The vehicle battery pack voltage is reported as either < 5.0 or > 470.0 V for ten seconds and a battery module voltage fault exists.
(6) Both voltage reference wires for any battery half-pack (there are redundant wires) are detected as faulted for 10 seconds, or the half-pack voltage is out of range for ten seconds.
(7) Eight or more of the sixteen battery temperature sensors in the vehicle battery pack are faulted.
REVISION DATE: MARCH 24, 2005
Comprehensive Component Monitor - Transmission
Transmission External Inputs
There are four external, hardwired inputs into the transmission.
Rapid Discharge (RDC) signals come from the Battery Module (TBCM), and cause the Transmission to perform a rapid discharge.
High Voltage (HV) Interlock (HVIL) is a circuit that causes a vehicle shutdown if opened.
Motor Shut Down (MSDN) and Generator Shut Down (GSDN) are signals from the PCM, which cause the transmission to shutdown either the Motor or the Generator.
Clean Tach Out (CTO) is a signal from the PCM, which is used to determine Engine Speed.
Rapid Discharge
The Rapid Discharge (RDC) signals are two hardwires coming from the TBCM to the transmission. The voltage on these signals should always be high (Charge) during normal operation. If one of the wires goes low (Discharge), the transmission will set a DTC (P1A0A) but not perform any action. If both of the wires go low, the transmission will set the DTC, and perform a Rapid Discharge.
| | Rapid Shutdown Signal Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| | Rapid Shutdown Circuit fault check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 100 msec |
Rapid Shutdown Circuit fault check malfunction thresholds:
Voltage of Rapid Discharge Signal1 is not equal to Signal 2 for 200 msec
| | Rapid Shutdown Request check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| 12V Battery voltage | | 7.5 V |
Rapid Shutdown Request check malfunction thresholds:
Both Rapid Discharge Signals = Discharge, and HV Interlock Circuit = Charge, for > 10 msec
High Voltage Interlock
The HV Interlock (HVIL) is a circuit that goes through the Transmission, the DC/DC converter, and the Battery. If this circuit is detected to be open by the transmission, the vehicle will be shutdown.
| | High Voltage Interlock Open Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | High Voltage Interlock Open check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 100 msec |
| 12V Battery voltage | | 7.5 V |
High Voltage Interlock Open check malfunction thresholds:
(1) and (2) and (3) for > 10 msec OR (1) and (4) and (5) for > 200 msec
(1) HV Interlock = discharge
(2) Rapid Discharge Signal 1 = discharge
(3) Rapid Discharge Signal 2 = discharge
(4) Rapid Discharge Signal 1 = charge
(5) Rapid Discharge Signal 2 = charge
MSDN/GSDN (Motor Shutdown/Generator Shutdown)
The MSDN and GSDN are hardwires going from the PCM to the transmission. A signal can be sent from the PCM to command the transmission to shutdown the motor or the generator.
| | MSDN/GSDN Signal Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Motor/Generator Shutdown Signal Command check entry conditions: | |
|---|---|---|
| CAN TimeOut($575) | | Normal |
Motor/Generator Shutdown Signal Command check malfunction thresholds:
MSDN/GSDN Signal = Shutdown OR EQ Motor/Generator Inverter Shutdown CAN signal = Shutdown
for > 528 msec
| | Motor/Generator Shutdown Signal Circuit Failure check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 200 msec |
| 12V Battery voltage | | 7.5 V |
Motor/Generator Shutdown Signal Circuit Failure check malfunction thresholds:
MSDN/GSDN Signal = Shutdown and EQ Motor/Generator Inverter Shutdown CAN signal = Not Shutdown for > 520 msec
CTO (Clean Tach Out)
The CTO signal is sent from the PCM to the transmission. The signal is sent at 10 degrees before Top Dead Center (TDC) for each cylinder. This translates into the transmission seeing this signal every 180 degrees of engine rotation. This signal is used to calculate Engine Speed.
| | CTO Signal Check Operation: | |
|---|---|---|
| DTCs | | P0727 and P0726 (CTO Circuit failure and out-of-range) |
| Monitor execution | | Continuous |
| Monitor Sequence | | None |
| Sensors OK | | Motor/Generator Serial Communication Status OK Motor/Generator Resolver sensor OK Motor/Generator R/D Converter OK Motor/Generator Rotor Position OK |
| Monitoring Duration | | 280 – 290 msec |
| | CTO Input Circuit Failure and Out- of- Range check entry conditions: | | |
|---|---|---|---|
| Auto Transmission Entry Conditions | | Minimum | Maximum |
| Time after vehicle power up | | 125 msec | none |
| 12V Battery voltage | | 7.5 V | 17.0 V |
| Motor enable signal to18V power supply | | Supply | |
| Generator enable signal to18V power supply | | Supply | |
| Engine Speed | | 600 rpm | None |
| CTO Signal Circuit Open/Short Status | | Normal | |
CTO Input Circuit Failure check malfunction thresholds:
CTO Signal = Hi for > 280 msec OR CTO Signal = Low for > 280 msec
CTO Input Circuit Out-of-Range check malfunction thresholds:
Engine Speed from CTO > 10000 rpm OR
| TCM Engine Speed – PCM Engine Speed | > 1000 rpm for > 290 msec
*Resolver sensor and R/D Converter are used to detect the magnetic motor/generator pole position Motor/Generator speed is calculated using magnetic pole position.
The TCM calculates Engine speed from Motor/Generator speed.
Transmission Temperature Inputs
Motor/Generator Coil Temperature Sensors
These temperature sensors are located on the coil windings of the stators of the motor and the generator.
| | Motor/Generator Coil Temperature Sensor check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Motor/Generator Coil Temp check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 0 msec |
| | Motor/Generator Coil Temp Over Temp check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 50 msec |
| 12V Battery voltage | | 7.5 V |
| Motor/Generator Serial Comm. Status | | Normal |
Motor/Generator Coil Temp Shorted Low check malfunction thresholds:
Motor/Generator Coil Temp > 220 deg C for > 240 msec
Motor/Generator Coil Temp Sensor Shorted High check malfunction thresholds:
Motor Coil Temp
Transmission Fluid Temperature >= 10 deg C AND Generator Coil Temp >= 10 deg C AND Motor Coil Temp <= -20 deg C for > 240 msec
Generator Coil Temp
Transmission Fluid Temperature >= 10 deg C AND Motor Coil Temp >= 10 deg C AND Generator Coil Temp <= -20 deg C for > 240 msec
Motor/Generator Coil Temp Sensor In-range failure check malfunction thresholds:
Motor Coil Temp
Transmission Fluid Temperature - Generator Coil Temp < 30 deg C AND Transmission Fluid Temperature Motor Coil Temp > 30 deg C for > 2400 msec
Generator Coil Temp
Transmission Fluid Temperature - Motor Coil Temp < 30 deg C AND Transmission Fluid Temperature Generator Coil Temp > 30 deg C for > 2400 msec
Motor/Generator Coil Temp Over Temp check malfunction thresholds:
Motor/Generator Coil Temp over Temp
Motor/Generator Coil Temp > 180 deg C detected by Motor Control Unit /Generator Control Unit
3 times in 1 drive cycle
Transmission Fluid (Oil) Temperature Sensor
The Transmission Fluid Temperature sensor measures the temperature of the transmission fluid.
| | Trans Fluid Temperature check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Trans Fluid Temp Circuit check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 0 msec |
| 12V Battery voltage | | 7.5 V |
Trans Fluid Temp Shorted Low check malfunction thresholds:
Transmission Fluid Temperature > 150 deg C for > 240 msec
Trans Fluid Temp Sensor Shorted High check malfunction thresholds:
Transmission Fluid Temperature <= -20 deg C AND Motor and Generator Coil Temp >= 10 deg C for > 240 msec
Trans Fluid Temp Sensor In-range failure check malfunction thresholds:
Transmission Fluid Temperature – Motor Coil Temp > 30 deg C AND Transmission Fluid Temperature – Generator Coil Temp > 30 deg C for > 2400 msec
Motor/Generator Inverter Temperature Sensors
These temperature sensors are located on the Motor and Generator Inverters.
| | Motor/Generator Inverter Temperature Check Operation: |
|---|---|
| DTCs | |
| Monitor execution | |
| Monitor Sequence | |
| Sensors OK | |
| Monitoring Duration | |
| | Motor/Generator Inverter Temp Sensor Circuit Short check entry conditions: | |
|---|---|---|
| Auto Transmission Entry Conditions | | Minimum |
| Time after vehicle power up | | 210 msec |
| 12V Battery voltage | | 7.5 V |
Motor/Generator Inverter Temp Sensor Short check malfunction thresholds:
(1) and (2) OR (3) and (4) OR (5) and (6)
(1) Motor/Generator U phase inverter temp sensor fail flag via MCU/GCU = Error
(2) Motor/Generator U phase junction temp >= 205 deg C
(3) Motor/Generator V phase inverter temp sensor fail flag via MCU/GCU = Error
(4) Motor/Generator V phase junction temp >= 205 deg C
(5) Motor/Generator W phase inverter temp sensor fail flag via MCU/GCU = Error
(6) Motor/Generator W phase junction temp >= 205 deg C
2 Times in 1 Drive Cycle
Motor/Generator Inverter Temp Over Temp check malfunction thresholds:
Motor/Generator Inverter Temperature >= 133 deg C
AND (Motor/Generator U phase inverter temp sensor fail flag via MCU/GCU = Normal
AND (Motor/Generator V phase inverter temp sensor fail flag via MCU/GCU = Normal
AND (Motor/Generator W phase inverter temp sensor fail flag via MCU/GCU = Normal
5 Times in 1 Drive Cycle
REVISION DATE: MARCH 24, 2005
Aisin Powersplit Transaxle
Transmission Control System Architecture
The primary function of the Powersplit transaxle is to manage torque between the electric motors, engine, and driveline. The planetary gear set provides series, parallel and split paths for power distribution from the battery and engine. The torque ratio between the series path and the parallel path is fixed by the geometry of the planetary gear set. The power split between the series path and the parallel path is determined by the relative speeds (all series if vehicle speed is zero and engine is on; all parallel if generator is stopped; split otherwise)
The system behavior is similar to a CVT with the effective gear ratio between the engine and the wheels is determined by the split.
The transaxle is controlled by a standalone Transmission Control Module (TCM), The TCM communicates to the Engine Control Module (ECM), ABS Module, Traction Battery Control Module (TBCM), and Instrument Cluster using the high speed CAN communication link. The TCM incorporates a standalone OBD-II system. The TCM independently processes and stores fault codes, freeze frame, supports industry-standard PIDs as well as J1979 Mode 09 CALID and CVN. The TCM does not directly illuminate the MIL, but requests the ECM to do so. The TCM is located inside the transmission assembly. It is not serviceable with the exception of reprogramming.
Transmission Inputs
Angle Sensors
An angle sensor (resolver) is located on both the electric Motor and Generator and is used to detect the angular position of the rotor. The analog waveform generated by the resolver is converted into a digital signal by the Resolver to Digital (R/D) converter. The digital signal is used to calculate speed and angular acceleration which is used to control the electric Motor and Generator. The speed information is also used to calculate vehicle speed and is broadcasted to other modules over CAN. If a resolver open or short to power or ground is detected, or a failure with the R/D converter is detected, a P0A90 fault for the motor or a P0A92 fault for the generator will be stored.
Temperature Sensors
The Transmission Fluid Temperature Sensor (TFT) is monitored for open and short circuit faults and for in-range faults (P0710) where Trans Fluid, Motor Coil and Generator Coil temperatures do not correlate properly.
The Motor and Generator Coil Temperature Sensors are monitored for open and short circuit faults and for inrange faults where Trans Fluid, Motor Coil and Generator Coil temperatures do not correlate properly. (P0A2A – Motor Coil Sensor failure, P0A36 – Generator Coil Sensor failure). The Motor and Generator coils are also monitored for over-temperature (P0A2F, P0A3B).
The Motor and Generator Inverter Temperature Sensors are monitored for open and short circuit faults. (P0A78 – Motor Inverter Sensor failure, P0A7A – Generator Inverter Sensor failure). The Motor and Generator Inverters are also monitored for over-temperature (P0A3C, P0A3E).
Transmission Outputs
Inverter Control
Upon receiving the torque demanded by the driver from the ECM over CAN communication, the TCM calculates the required torque of the electric Motor and Generator to meet the demanded torque. The Motor/Generator Control Unit (MCU/GCU) will then control the Inverter over U, V, and W phase gate signals to regulate DC current into AC current that is fed into the stator.
The Motor and Generator gate signal lines are monitored for open circuits. A P0A78 fault for the Motor and a P0A7A fault for the Generator will be stored upon detection of a failure. The Inverter is also monitored for various faults such as over current, current sensor fault, current regulation fault, temperature sensor fault, etc. and will store a P0A78 fault for the Motor and a P0A7A fault for the Generator upon detection of a malfunction.
Transmission Control Module (TCM)
The TCM monitors itself by using various software monitoring functions. The flash ROM is checked using a checksum calculation. If the checksum is incorrect during initialization, a U2050 fault will be stored. The EEPROM is emulated in the flash ROM. If it is not possible to store information in the EEPROM emulation or if the verification fails, a P0613 fault is stored and the ECM is requested to illuminate the MIL immediately. If a RAM Read/Write error is detected during initialization, a P0613 fault code will be stored.
The Motor Control Unit (MCU) and Generator Control Unit (GCU) use similar types of RAM/ROM tests. If a fault is detected, a P0A1B fault is stored for the MCU, and a P0A1A fault is stored for the GCU.
CAN Communications error
The TCM receives information from the ECM via CAN. If the CAN link fails, the TCM no longer has torque or engine speed information available. The TCM will store a U0073 fault code if the CAN Bus is off. The TCM will store a U0100 or U0294 fault code if it doesn't receive any more CAN messages from the ECM.
The TCM receives wheel speed from the Antilock Brake System (ABS) module, A U0129 fault code will be stored if communication with the ABS module is lost. The TCM also receives information from the Traction Battery Control Module (TBCM) and a U0111 fault will be stored if the communication with the TBCM is lost.
Power Supply
If the power supply is outside of the specified 8 to 18 volt range, a fault will be stored (P0562, P0563).
PCM On Board Diagnostic Executive
The On-Board Diagnostic (OBD) Executive is a portion of the PCM strategy that manages the sequencing and execution of all diagnostic tests. It is the "traffic cop" of the diagnostic system. Each test/monitor can be viewed as an individual task, which may or may not be able to run concurrently with other tasks. The Diagnostic Executive enables/disables OBD monitors in order to accomplish the following:
Sequence the OBD monitors such that when a test runs, each input that it relies upon has already been tested.
Controls and co-ordinates the execution of the individual OBD system monitors: Catalyst, Misfire, EGR, O2, Fuel, AIR, EVAP and, Comprehensive Component Monitor (CCM).
Stores freeze frame and "similar condition" data
Manages storage and erasure of Diagnostic Trouble Codes as well as MIL illumination
Controls and co-ordinates the execution of the On-Demand tests: Key On Engine Off (KOEO), Key On Engine Running (KOER), and the Output Test Mode (OTM).
Performs transitions between various states of the diagnostic and powertrain control system to minimize the effects on vehicle operation.
Interfaces with the diagnostic test tools to provide diagnostic information (I/M readiness, various J1979 test modes) and responds to special diagnostic requests (J1979 Mode 08 and 09).
The diagnostic also executive controls several overall, global OBD entry conditions.
The Diagnostic Executive waits for 4 seconds after the PCM is powered before initiating any OBD monitoring. For the 2001 MY and beyond, this delay has been eliminated to meet the "zero startup delay" misfire monitoring requirements.
The engine must be started to initiate a driving/monitoring cycle.
The Diagnostic Executive suspends OBD monitoring when battery voltage falls below 11.0 volts.
The Diagnostic Executive suspends monitoring of fuel-system related monitors (catalyst, misfire, evap, O2, AIR and fuel system) when fuel level falls below 15%
The diagnostic executive controls the setting and clearing of pending and confirmed DTCs.
For the 2005 MY, pending DTCs will be displayed as long as the fault is present. Note that OBD-II regulations required a complete fault-free monitoring cycle to occur before erasing a pending DTC. In practice, this means that a pending DTC is erased on the next power-up after a fault-free monitoring cycle.
For clearing comprehensive component monitoring (CCM) pending DTCs, the specific monitor must determine that no fault is present, and a 2-hour engine off soak has occurred prior to starting the vehicle. The 2-hour soak criteria for clearing CCM confirmed and pending DTCs has been utilized since the 2000 MY.
REVISION DATE: MARCH 24, 2005
Exponentially Weighted Moving Average
Exponentially Weighted Moving Averaging is a well-documented statistical data processing technique that is used to reduce the variability on an incoming stream of data. Use of EWMA does not affect the mean of the data, however, it does affect the distribution of the data. Use of EWMA serves to "filter out" data points that exhibit excessive and unusual variability and could otherwise erroneously light the MIL.
The simplified mathematical equation for EWMA implemented in software is as follows:
```
New Average = [New data point * "filter constant"] + [( 1 - "filter constant" ) * Old Average]
```
This equation produces an exponential response to a step-change in the input data. The "Filter Constant" determines the time constant of the response. A large filter constant (i.e. 0.90 ) means that 90% of the new data point is averaged in with 10% of the old average. This produces a very fast response to a step change. Conversely, a small filter constant (i.e. 0.10 ) means that only 10% of the new data point is averaged in with 90% of the old average. This produces a slower response to a step change.
When EWMA is applied to a monitor, the new data point is the result from the latest monitor evaluation. A new average is calculated each time the monitor is evaluated and stored in Keep Alive Memory (KAM). This normally occurs each driving cycle. The MIL is illuminated and a DTC is stored based on the New Average store in KAM.
In order to facilitate repair verification and DDV demonstration, 2 different filter constants are used. A "fast filter constant" is used after KAM is cleared/DTCs are erased and a "normal filter constant" is used for normal customer driving. The "fast filter" is used for 2 driving cycles after KAM is cleared/DTCs are erased, and then the "normal filter" is used. The "fast filter" allows for easy repair verification and monitor demonstration in 2 driving cycles, while the normal filter is used to allow up to 6 driving cycles, on average, to properly identify a malfunction and illuminate the MIL.
In order to relate filter constants to driving cycles for MIL illumination, filter constants must be converted to time constants. The mathematical relationship is described below:
Time constant = [ ( 1 / filter constant ) - 1 ] * evaluation period
The evaluation period is a driving cycle. The time constant is the time it takes to achieve 68% of a step-change to an input. Two time constants achieve 95% of a step change input.
Catalyst Monitor and EGR Monitor EWMA
EWMA has been incorporated in the catalyst monitor and the non-intrusive stepper motor EGR monitor. There are 3 calibrateable parameters that determine the MIL illumination characteristics.
"Fast" filter constant, used for 2 driving cycles after DTCs are cleared or KAM is reset
"Normal" filter constant, used for all subsequent, "normal" customer driving
Number of driving cycles to use fast filter after KAM clear (normally set to 2 driving cycles)
Several examples for a typical catalyst monitor calibration are shown in the tables below. Specific calibration information can be obtained from the parameter listing provided for each strategy.
| Monitor evaluation (“new data”) | | EWMA Filter Calculation, | Weighted Average (“new average”) | Driving cycle number |
|---|---|---|---|---|
| | | “normal” filter constant | | |
| | | set to 0.4 | | |
| | | Malfunction threshold = .75 | | |
| 0.15 | .15 * (0.4) + .15 * ( 1 - 0.4) | | 0.15 | |
| 1.0 | 1.0 * (0.4) + .15 * ( 1 - 0.4) | | 0.49 | 1 |
| 1.0 | 1.0 * (0.4) + .49 * ( 1 - 0.4) | | 0.69 | 2 |
| 1.0 | 1.0 * (0.4) + .69 * ( 1 - 0.4) | | 0.82 | 3 |
| 1.0 | 1.0 * (0.4) + .82 * ( 1 - 0.4) | | 0.89 | 4 |
| 0.15 | .15 * (0.4) + .15 * ( 1 - 0.4) | | 0.15 | |
| 0.8 | 0.8 * (0.4) + .15 * ( 1 - 0.4) | | 0.41 | 1 |
| 0.8 | 0.8 * (0.4) + .41 * ( 1 - 0.4) | | 0.57 | 2 |
| 0.8 | 0.8 * (0.4) + .57 * ( 1 - 0.4) | | 0.66 | 3 |
| 0.8 | 0.8 * (0.4) + .66 * ( 1 - 0.4) | | 0.72 | 4 |
| 0.8 | 0.8 * (0.4) + .72 * ( 1 - 0.4) | | 0.75 | 5 |
| 0.8 | 0.8 * (0.4) + .75 * ( 1 - 0.4) | | 0.77 | 6 |
Note: For the catalyst and EGR monitor, the "fast filter" is normally set to 1.0 For the catalyst monitor, the "fast filter" is normally used to 2 driving cycles, for the EGR monitor, "fast filter" is normally used for 1 driving cycle.
I/M Readiness Code
The readiness function is implemented based on the J1979 format. A battery disconnection or clearing codes using a scan tool results in the various I/M readiness bits being set to a "not-ready" condition. As each noncontinuous monitor completes a full diagnostic check, the I/M readiness bit associated with that monitor is set to a "ready" condition. This may take one or two driving cycles based on whether malfunctions are detected or not. The readiness bits for comprehensive component monitoring, misfire and fuel system monitoring are considered complete once all the non-continuous monitors have been evaluated. Because the evaporative system monitor requires ambient conditions between 40 and 100 o F and BARO > 22.5 " Hg (< 8,000 ft.) to run, special logic can "bypass" the running the evap monitor for purposes of clearing the evap system I/M readiness bit due to the continued presence of these extreme conditions.
Evap bypass logic:
If the evaporative system monitor conditions are met with the exception of the 40 to 100 o F ambient temperatures or BARO range, a timer is incremented. The timer value is representative of conditions where the Evap monitor could have run (all entry conditions met except IAT and BARO) but did not run due to the presence of those extreme conditions. If the timer continuously exceeds 30 seconds during a driving cycle in which all continuous and non-continuous monitors were evaluated, the evaporative system monitor is then considered complete. If the above conditions are repeated during a second driving cycle, the I/M readiness bit for the evaporative system is set to a "ready" condition.
Power Take Off Mode
While PTO mode is engaged, the I/M readiness bits are set to a "not-ready" condition. When PTO mode is disengaged, the I/M readiness bits are restored to their previous states prior to PTO engagement. During PTO mode, only CCM circuit checks continue to be performed.
REVISION DATE: MARCH 24, 2005
Catalyst Temperature Model
A catalyst temperature model is currently used for entry into the catalyst and oxygen sensor monitors. The catalyst temperature model uses various PCM parameters to infer exhaust/catalyst temperature. For the 1998 MY, the catalyst temperature model has been enhanced and incorporated into the Type A misfire monitoring logic. The model has been enhanced to include a misfire-induced exotherm prediction. This allows the model to predict catalyst temperature in the presence of misfire.
The catalyst damage misfire logic (Type A) for MIL illumination has been modified to require that both the catalyst damage misfire rate and the catalyst damage temperature is being exceeded prior to MIL illumination. This change is intended to prevent the detection of unserviceable, unrepeatable, burst misfire during cold engine startup while ensuring that the MIL is properly illuminated for misfires that truly damage the catalyst.
Serial Data Link MIL Illumination
The instrument cluster on some vehicles uses the CAN data link to receive and display various types of information from the PCM. For example, the engine coolant temperature information displayed on the instrument cluster comes from the same ECT sensor used by the PCM for all its internal calculations.
These same vehicles use the CAN data link to illuminate the MIL rather than a circuit, hard-wired to the PCM. The PCM periodically sends the instrument cluster a message that tells it to turn on the MIL, turn off the MIL or blink the MIL. If the instrument cluster fails to receive a message within a 5-second timeout period, the instrument cluster itself illuminates the MIL. If communication is restored, the instrument cluster turns off the MIL after 5 seconds. Due to its limited capabilities, the instrument cluster does not generate or store Diagnostic Trouble Codes.
|
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National Directory for the Formation, Ministry, and Life of Permanent Deacons in the United States
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For Us and for Our Salvation
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Offers an inspirational and compassionate approach to understanding the problems of life, and argues that we should continue to believe in God's fairness.
When Bad Things Happen to Good People Abiding Media Press
Have you ever struggled trying to discover God's purpose for your life? You know he has a plan. It sure would be nice if he'd let you in on it. Discovering God's will and purpose for your life does not have to be strange, spooky or overwhelming. It can be found and more importantly, God wants to reveal it to you. So, if you feel stuck, then you are in the right place. On this journey, we will unpack 11 different ways God leads you into his will. These sensible concepts will help you understand how God shows up in your everyday situations with the intention of revealing his plan and will for your life. If you are ready to get out of the dark and into the light of how God leads you into his will then join me on this journey. It's time for you to get unstuck and ultimately step into the purpose God has for you.
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The Difficult Doctrine of the Love of God Crossway
Paul was the most influential figure in the early Christian church. In this epistle, written to the founders of the church in Rome, he sets out some of his ideas on the importance of faith in overcoming mankind's innate sinfulness and in obtaining redemption. With an introduction by Ruth Rendell.
Holy Bible (NIV) Crossway
Paul's Letter to the Romans may well be the most influential book in Christian history. In this Romans commentary Colin Kruse shows how Paul expounds the gospel against the background of God's sovereign action as creator, judge, and redeemer of the world. Valuable "additional notes" on important theological themes and difficult texts -- such as Paul's discussion of same-sex relationships, the salvation of "all Israel," and the woman Junia, who was "well known among the apostles" -- further connect Romans to contemporary issues. Throughout his commentary Kruse expertly guides readers through the plethora of interpretations of Romans, providing a reliable exposition of this foundational epistle.
Discipling Through Romans Study Guide
WaterBrook
The Suffering Church is for anyone bewildered by the existence of God. Charles Konadu-Adjei, Ph.D., explores different religious world views in an effort to answer the question: "Where is God?" In the process, he presents evidence that confirms the existence—as well as the authority—of our Lord and Savior, Jesus Christ. The New Testament contains exactly what Jesus said, which makes it a true story. As a result, we can look to the New Testament as a historically credible account of the life, teachings, death, and resurrection of Christ Jesus. The text serves as a wake-up call to the church to lead more people to God through the Holy Spirit. It also serves as a guide to help readers get more out of their journey with God on earth. The book argues that the biggest enemy of the church is not the devil but ignorance. This is what keeps so many people from believing in the Lord. Find out why the Bible is relevant and how to build a relationship with God and enjoy victory every day of your life.
Tough Stuff ParentingHarperChristian Resources
This publication, "There Is One True And Living God," does not endeavor to demonstrate there is a God but rather has inside it's pages the things that assist men to know "there is one true and living God." The Bible being God's disclosure or God's revelation to man, God speaks from the very first page. The Bible does not address the presence of God by unique thinking, however starts with the simple act of Creation. Again, the Bible does not endeavor to show that there is a God. Men wherever definitely know there is a God. One Who is head over "all things". But then, individuals ponder about Who this God is and might want to know many things about Him. The Bible is the authority! The Bible is God's spoken Word, written by inspired men of God. Jesus the King Canongate Books
Heaven has received a lot of attention in recent years as bestselling books and movies have told the stories of people who claim to have been there. But what does the Bible actually say about heaven? What difference does it make? What happens the moment after we die? What will our relationships be like in heaven? Chip Ingram sets aside the hype and myths and digs into the Scriptures to discover what God actually wants us to know about the hereafter. Most importantly, Ingram shows why our understanding of heaven matters now, in this life. Because what we believe about heaven actually affects us today in ways we may not have imagined.
I Love Jesus, But I Want to DieCrossway
Holy Bible (NIV)Zondervan Exalting Jesus in Romans InterVarsity Press
If you have ever been out boating, you know the importance of an anchor. Whether you're fishing or hanging out with friends, when you find a good spot, it's impossible to stay there without an anchor. An anchor stops you from being blown around at the mercy of the ocean. Jesus is an anchor for your
soul. When you find yourself drifting aimlessly in a sea of doubt, he secures you in the certainty of his truth. If you're rocked by unforgiveness, he can lead you to the quiet waters of love and grace. If bitterness and hurt overflow, let Jesus secure your heart in a bay of healing waters and remove the weeds from your hull. As you meditate on these Scriptures, devotions, and prayers, may your heart find confidence in the one who holds you steady. The anchor of your soul will keep you from drifting with the shifting tides and winds. When storms come, place your security in the King of heaven and earth. He is faithful, and he will not fail you. Remain firmly planted in his love and peace. He will not let you go.
Romans USCCB Publishing
Previously published in hardcover as King's Cross The most influential man to ever walk the earth has had his story told in hundreds of different ways for thousands of years. Can any more be said? Now, Timothy Keller, New York Times bestselling author of The Prodigal Prophet and the man Newsweek called a "C. S. Lewis for the twenty-first century," unlocks new insights into the life of Jesus Christ as he explores how Jesus came as a king, but a king who had to bear the greatest burden anyone ever has. Jesus the King is Keller's revelatory look at the life of Christ as told in the Gospel of Mark. In it, Keller shows how the story of Jesus is at once cosmic, historical, and personal, calling each of us to look anew at our relationship with God. It is an unforgettable look at Jesus Christ, and one that will leave an indelible imprint on every reader.
A Commentary on the Epistle to the Romans Destiny Image Publishers
"Besides Jesus, no one has kept me from despair, or taken me deeper into the mysteries of the gospel, than the apostle Paul." —John Piper No one has had a greater impact on the world for eternal good than the apostle Paul—except Jesus himself. For John Piper, this impact is very personal. He does not just admire and trust Paul. He loves him. Piper gives us thirty glimpses into why his heart and mind respond this way. Can a Christian-killer really endure 195 lashes from a heart of love? Can a mystic who thinks he was caught up into heaven be a model of lucid rationality? Can an ethnocentric Jew write the most beautiful call to reconciliation? Can a person who lives with the unceasing anguish of empathy be always rejoicing? Can a man's description of the horrors of human sin be exceeded by his delight in human splendor? Can a man with a backbone of steel be as tender as a nursing mother? If we know this man—if we see what Piper sees—we too will love him. Paul's testimony is a matter of life and death. Piper invites you into his relationship with Paul in the hope that you will know life, forever.
Romans Bible Study Guide plus Streaming Video Baker Books
Paul's Letter to the Romans has rightly been called "the Constitution of Christianity." It is foundational to the Christian faith, containing within this one epistle the doctrines of justification, sanctification, salvation, divine election, and the revelation of God. In his Forward to Pastor Gilchrist's exposition of Romans, Dr. Calenberg, President of the Evangelical Seminary of West Africa, writes: "I am convinced that as you read and study with Scott, you will find Romans understandable and applicable. His frequent and appropriate use of cross-references helps clarify the truth Paul is teaching. You will come to understand the biblical doctrines so crucial to our Christian faith." This exposition is a resource for pastors, small groups, and anyone desiring to have a deeper understanding of God's Word.
Couples of the BibleHodder & Stoughton
A believer once told me how he would gather with a Bible study group and discuss Andrew's Life for Today commentary notes. Many in the group found this method of study to be helpful in their walk with God. So, I decided to put together Discipling Through Galatians, a study guide based on notes from Andrew's Living Commentary and Life for Today Study Bible and Commentary: Galatians, Ephesians, Philippians & Colossians Edition. Also included are questions and an answer key. Whether you're teaching a Sunday school class, leading a small group, discipling an individual, or studying on
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Exalting Jesus in Romans is part of the Christ-Centered Exposition Commentary series. Edited by David Platt, Daniel L. Akin, and Tony Merida, this commentary series, to include 47 volumes when complete, takes a Christ-centered approach to expositing each book of the Bible. Rather than a verse-by-verse approach, the authors have crafted chapters that explain and apply key passages in their assigned Bible books. Readers will learn to see Christ in all aspects of Scripture, and they will be encouraged by the devotional nature of each exposition presented as sermons and divided into chapters that conclude with a "Reflect & Discuss" section, making this series ideal for small group study, personal devotion, and even sermon preparation. It's not academic but rather presents an easy reading, practical, and friendly commentary. The CCE series will include 47 volumes when complete. The author of Exalting Jesus in Romans is Tony Merida. The Pursuit of Purpose Zondervan
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Strategic and operating context
Our Group once again showed resilience amid the economic downturn and reported increased profitability and cash generation despite the impact of COVID-19. We are in the privileged position of reporting that the Group exceeded its budget for the year."
André Uys
Chief executive officer's report
Introduction
We navigated another year of challenging economic conditions and the impacts of the hard lockdown. Fortunately, the agriculture and food value chain remained operational through all levels of lockdown, resulting in all but one of our group companies being able to continue operations throughout. Our Group once again showed resilience amid the economic downturn and reported increased profitability and cash generation despite the impact of COVID-19. We are in the privileged position of reporting that the Group exceeded its budget for the year.
In terms of the new financial year, the Group is better aligned with its 2024 strategy. This follows the upcoming exit of higher-risk group companies through the proposed B-BBEE transaction, which is detailed in our investment report on page 29. The remaining group companies are well positioned for growth and economic upturn due to taking a critical look at our cost structures and working capital requirements and strengthening our management teams.
While this report provides a brief summary of each segment's operational performance, readers are referred to our operating context on page 30 for more detail.
Strategic Priorities
Our Group's overarching goal is to create long-term, sustainable value for all our stakeholders. This includes our shareholders, customers, employees and the communities we do business in. To fulfil this objective, we revised our strategic priorities:
* Enhance shareholders' value through long-term sustainable growth: To assist shareholders to evaluate this, we implemented a Group SOTP valuation that has come into effect during the 2021 financial year. Refer to the CFO's report on page 47 for more information.
* Effective capital allocation and growth: We focus on earnings-enhancing and cash generative opportunities in the agriculture and food value chain. The proposed B-BBEE transaction will significantly impact the Group's strategic financial goals.
* Achieve operational excellence: For the Group to achieve its objectives, each group company should understand their customers' needs and achieve operational excellence. We achieve this by focusing on sustainable growth, profitability and cash generation. We made good progress with operational performance throughout the Group, with profitability exceeding our budget for the 2021 financial year. While not all of our group companies are performing as expected, we are well positioned to achieve our 2024 goals.
* Good corporate citizenship: We are committed to good corporate governance, ethical business and adding value to the communities we do business in. We continued our CSI initiatives over the past year and ensured strict Group-wide safety protocols to ensure the safety of all our exposed stakeholders.
In terms of the above priorities, we identified specific measures, action plans and targets for the Group until 2024. We will measure these targets monthly and implement mitigating measures to ensure we achieve these targets, if needed. More information on our strategy can be found in the Group strategy section on page 39.
Operational Summary
The Group's resilient results are largely attributable to exceptional performances by three of our largest contributors: Overberg Agri and ACG Fruit both saw a remarkable turnaround from the 2020 financial year while Moov Fuel again produced solid results. P&B Lime Works and Lesotho Milling outperformed their budgets. Boltfast performed in line with its budget, supported by a more robust and agile business model. COVID-19 adversely impacted the sales of Overberg Meat, Grassroots Group and Montagu Snacks, which do business closer to the retail space.
Agri Inputs & Services
Food Processing
Overall, Agri Inputs & Services experienced irrecoverable revenue losses as a result of the hard lockdown. However, three group companies in this segment – Overberg Agri, Moov Fuel and P&B Lime Works – experienced impressive upturns in the second half of the year. Boltfast was hardest hit by the lockdown but remained at our budgeted level due to business restructuring that resulted in a substantial cost reduction. We commend the teams at these group companies for what they achieved despite COVID-19.
Fresh Fruit
Over the past year, ACG Fruit benefitted from several favourable variables: table grape and soft citrus harvests were strong due to good weather; fruit prices and exchange rates were advantageous; and demand for citrus fruit high in Vitamin C rose following the pandemic. The company's improved capital structure further allowed for healthier profitability. The sale of ACG Fruit will be fully realised during the coming year as part of the B-BBEE transaction, should it be approved by shareholders, and we will collapse the Fresh Fruit segment from the 2022 financial year onwards.
ACORN AGRI & FOOD LTD Integrated annual report 2021
Food Processing held up well under the pandemic. Overberg Meat performed well on volumes. However, this did not translate to increased profits due to a competitive market and reduced consumer spend. Lesotho Milling far outperformed its budget due to an increased demand for wheat flour and higher grain prices.
Health Foods
Health Foods was arguably most adversely affected by the pandemic. The depressed consumer environment, coupled with travel restrictions and the halting of exports, delayed the roll-out of Grassroots Group's and Montagu Snacks' new strategies. In response, both businesses implemented impressive cost cutting initiatives to decrease losses. We further saw promising progress in their strategies toward the latter part of the year and expect continued progress in the 2022 financial year. Readers should note that Green Machine was incorporated into Montagu Snacks during the year to capitalise on synergies between the two companies.
Investments
We are pleased to introduce AgVentures to our readers this year. Still in its early development phase, this company is our Group's dedicated agriculture and food technology arm. The team made excellent progress on three investments in the agricultural technology space over the past year – FruitSpec, Skudu and Matrix Software, which was concluded after year-end. FruitSpec uses technology to predict yields of various products for customers. Skudu is an innovative online market place while Matrix Software is a leading specialist enterprise resource planning software provider for the meat and food industry. We look forward to the growth expected to come from each of these businesses.
Executive Team
We strengthened our management team and those of the group companies. We welcomed Andries Geertsema as CFO. He brought new insights to the team and hit the ground running. We saw the benefits of the amended Fund Management Agreement, with the executive team's focus and execution capabilities strengthened. New senior management appointments in P&B Lime Works, Moov Fuel, Grassroots Group and ACG Fruit strengthened the Group's extended management structure and delivered an immediate favourable effect on the bottom line.
Outlook
Agri Inputs & Services
We anticipate a good performance in the coming year, supported by the positive effects of the 2020 harvest and good climatic expectations for the 2021 season. Boltfast's performance will remain under pressure due to slow economic recovery after COVID-19. Any improvements to the mining sector and expected infrastructure investment will support Boltfast's performance.
Fresh Fruit
Management anticipates another good year for ACG Fruit as table grape and citrus prices should remain favourable. Unfortunately, unexpected rain in the Northern Cape negatively impacted the quality of the recent table grape harvest. However, a remarkable harvest in the Halfmanshof area made up for this loss.
Food Processing
Given the impact of the pandemic on consumer disposable income and discretionary spend, we expect a challenging year for the meat and milling industries.
Health Foods
Grassroots Group is poised for take-off over the coming year. The company's international Russian and German retail supply contracts are finalised and delivery commenced in the first quarter of 2021. We therefore expect international volumes to increase significantly. Montagu Snacks' sales are expected to remain challenged as the local consumer market remains under pressure.
As with all companies across the globe, COVID-19 presented various unforeseen challenges to the Group. The Acorn Agri & Food team and all employees can be proud of our ability to adapt to and overcome these challenges. I am deeply grateful for the commitment of each employee to ensuring the continuation of our business and the safety of all our stakeholders.
The future is looking steady."
We expect that activity and competition in the deal-making space will be elevated given the increased availability and lower cost of funding. This is where our network, market knowledge and the strength and quality of our investment team give us a distinct advantage."
Carl Neethling
ACORN AGRI & FOOD LTD Integrated annual report 2021
28
Investment report
Introduction
Against the backdrop of the pandemic, Warren Buffett's familiar quote became all the more relevant – "It's far better to buy a wonderful company at a fair price than a fair company at a wonderful price." The pandemic has proven that we have a portfolio of companies that can withstand trying times with the resilience you would expect to see from a prudent asset allocator.
Acorn Agri & Food's 2021 integrated annual report makes for a pleasant read and the Group has demonstrated profitability at levels that exceed those of the 2019 financial year. While the pandemic brought significant challenges and uncertainty to many businesses, it also resulted in numerous new opportunities that kept the investment team very busy over the past year.
Adapting to a new way of working and deal-making was certainly challenging. The team has grown in leaps and bounds while learning valuable lessons during the process of becoming leaner and more effective.
The Year That Was
Agility and responsiveness are key to our future success and one of our crucial focus areas over the past year has been to limit losses while positioning ourselves for acquisitive growth. We have been busy with exciting opportunities and although the developments over the past year have not all been positive, we remain upbeat about the future of our Group. The uncertainties in the market from a financial and operational perspective have refocused the team to ensure that we only conclude transactions that are value accretive and priced to the benefit of our shareholders.
Despite the opportunities in the market, COVID-19 hampered the deal-making process by limiting the ability of the investment team to travel and engage in face-to-face meetings as well as by increasing the level of due diligence required to adequately mitigate risk. The team spent considerable time evaluating multiple opportunities for group companies and standalone investments and although we have rejected a number of these opportunities, we are optimistic about several remaining investment prospects that are currently at an advanced stage.
This time last year, we reported encouraging progress on the internal clean-up of ACG Fruit and we are pleased that our strategy has borne fruit over the past year. The business benefited from a strong harvest which, coupled with the debt restructuring of last year, has resulted in a return to profitability with a much healthier statement of profit or loss. We have successfully disposed of non-core assets and although we are satisfied with the turnaround, ACG Fruit remains a high-risk asset for Acorn Agri & Food. Thus, we are still intent on exiting our investment.
The Health Food Group was another major focus point over the past year. Unfortunately, the pandemic played a big role in the collapse of most international deals. The impact of this extended to the implementation of the individual strategies of Montagu Snacks and Grassroots Group and accordingly, they have not performed as expected. The easing of restrictions around the world has, however, allowed much progress to be made in the latter half of the year and we expect to carry this momentum going forward.
B-BBEE Transaction
I am excited by the prospects of the proposed B-BBEE transaction and the role it will play in unlocking value for our shareholders. The transaction is the product of many hours spent discussing and assessing opportunities to create value within the Group and I am confident that it will be advantageous to our stakeholders.
The transaction, should it be approved by shareholders, will result in the creation of a B-BBEE empowered agriculture and food investment vehicle – Newco – borne of Acorn Agri & Food. The idea underlying the transaction has been in the pipeline since before the amalgamation in 2018 and is a collaborative effort between our Group and African Rainbow Capital.
The transaction will result in Newco housing 100% of ACG Fruit and 25% of The Health Food Group. Newco will be managed by Acorn Private Equity with African Rainbow Capital as the majority shareholder.
This will pass significant empowerment credentials to ACG Fruit, Grassroots Group and Montagu Snacks. The transaction is subject to extensive legal requirements and we have undertaken a thorough process to ensure that all are adhered to.
All Acorn Agri & Food shareholders will be given the opportunity to exchange all or a portion of their Acorn Agri & Food shares for shares in Newco, thereby creating a diversification opportunity.
We believe this transaction has a number of advantages:
* Realisation of ACG Fruit as an asset held for sale;
* Reduction in the management fee payable to Acorn Private Equity for the fund management service;
* Reduction of the risk profile of Acorn Agri & Food which is more aligned with perceived risk of the Group;
* Creates a vehicle where the remaining higher-risk assets of the Group can be nurtured;
* Creates a preferred partner for Acorn Agri & Food for all future B-BBEE transactions; and
* It creates a diversification opportunity for the shareholders of the Group.
It is important for shareholders to note that Newco will have a much higher risk profile than Acorn Agri & Food and shares in the entity will not be publicly traded. Shareholders are encouraged to read the latest Circular, which will be made available on our website at a later date, for more detailed information regarding the transaction.
The Journey Ahead
"Cash combined with courage in a time of crisis is priceless." – Warren Buffett
In the coming months, we anticipate the number of opportunities available in the market to continue increasing and we are enthusiastic about the prospects. It has become increasingly important to thoroughly investigate and analyse potential opportunities to ensure that we are investing in quality businesses with strong underlying fundamentals.
We expect that activity and competition in the deal-making space will be elevated given the increased availability and lower cost of funding. This is where our network, market knowledge and the strength and quality of our investment team give us a distinct advantage.
I wish to remind our shareholders that our investment track record reflects its best performance in the years immediately following market crises and I expect this time to be no different. We remain committed to keeping the best interests of our shareholders top of mind and ensuring that we adhere to Acorn Agri & Food's investment philosophy, approach and criteria as outlined on page 46 of this report.
Carl Neethling
Chief investment officer
Operating context
Characterised by the COVID-19 pandemic, 2020 saw global social and economic disruption, mass cancellations and postponements of events, worldwide lockdowns and the deepest global recession since World War II. Several major climate disasters flooded news headlines worldwide. In South Africa, the agriculture sector emerged as a resilient industry and the pandemic has given citizens a new understanding of the sector's importance.
1. Global uncertainty stemming from the COVID-19 pandemic
The COVID-19 pandemic severely impacted South Africa's economy and businesses. Stats SA reports that economic activity declined by 7% in 2020 compared to 2019. This is the biggest annual fall in economic activity since at least 1946. Most industries recorded decreased economic activity for the year; construction contracted by 20.3%, manufacturing by 11.6% and mining by 10.9%. However, agriculture flourished with 13.1% growth driven by exports and favourable climate conditions.
How this impacted us
Strategic objectives
The Group was impacted directly and indirectly by the pandemic despite all but one of our group companies being classified as essential services during all levels of lockdown. Several group companies were directly affected by restricted operations due to lockdown regulations or decreased revenue due to lower demand and consumer spend.
More specifically, lockdown-induced travel restrictions and remote working hampered Moov Fuel's revenue. Under the most restrictive lockdown levels, infrastructure projects were postponed. This constrained demand for goods offered by Boltfast and P&B Lime Works. Overberg Wealth and Risk Management experienced cancellations and policy discounts due to mounting pressure on businesses.
The Group noted a marked increase in the cost of operations required to maintain a safe working environment for its employees.
Our response
Our group companies responded to the lockdown with swift cost cutting initiatives. In addition, all directors (non-executive and executive) as well as Acorn Private Equity forgave 25% of their cash remuneration from August 2020 for a period of 12 months. Some group companies turned to temporary alternative sales strategies, such as sanitiser. Capital expenditure was restricted to maintenance upkeep only. Strict protocols were implemented throughout the Group to ensure the safety of employees and customers, while those employees who could work from home were encouraged to do so. This allowed group companies to continue operating effectively with reduced disruption and cost structures.
ACORN AGRI & FOOD LTD Integrated annual report 2021
Material matters
* Economic environment
* Technological change, disruption and IT-related risk
* Commodity prices
2. Recession, depressed consumer confidence and political uncertainty
During the first half of the year, consumer sentiment was already weak due to negative economic growth, a dire fiscal position and political instability. This was exacerbated when the pandemic caused many industries to halt their operations and national debt levels soared after South Africa borrowed billions from the International Monetary Fund (IMF). Although South Africa recorded positive GDP growth in the third and fourth quarters of the year, it was not enough to offset the devastating impact of COVID-19. The economy is only expected to reach pre-pandemic levels in 2025, according to some economists.
Weaknesses in regulatory oversight, violent crime, labour unrest, policy and pandemic uncertainty all weighed heavily on business activity and confidence. The graph shows the stark decline in consumer, business and agribusiness confidence following the onset of the pandemic. Thereafter, confidence levels began to recover, with business and agribusiness confidence exceeding pre-pandemic levels. However, this is thought to be unsustainable considering the long-term economic consequences of the nationwide lockdown. Although consumer confidence began to recover, levels remain in negative territory.
How this impacted us
Strategic objectives
Weak consumer confidence often translates to subdued consumer demand. This meant subdued sales for most group companies, particularly Montagu Snacks and Grassroots Group. Considering that the mining and construction industries are highly susceptible to recessions, Boltfast and P&B Lime Works experienced reduced demand for building materials and calcined lime. Moov Fuel also experienced lower sales on the retail side.
Material matters
* Economic environment
* Political uncertainty
* Service delivery
Our response
Although the demand for discretionary goods such as health foods declined, Montagu Snacks and Grassroots Group target the upper medium to upper income class. This class is least affected by economic turmoil and therefore acts as a hedge for some of the reduced demand for discretionary goods. Our vertically integrated business model results in many benefits, which reduce adverse impacts. Read more about these benefits in the investment case and business model sections on pages 8 and 12 respectively.
3. Abundant rainfall, bumper crops and growth in the agriculture sector
Global grain markets experienced a shortage of supply following dry weather conditions in key production regions. As a result, the global grain price index rose to a five-year high of 102.52 in December 2020. Locally, the 2021 financial year marked the end of a four-year contraction of South Africa's agriculture sector. The Western and southern Cape experienced one of the biggest grain harvests on record. This bumper harvest and the inflated grain price created the ideal environment for local grain farmers. The favourable weather produced good yields for northern and southern region long-term crops such as citrus and table grapes, which also benefitted from favourable export prices.
How this impacted us
Strategic objectives
The 2020 harvest resulted in a much healthier cash flow and financial position for Overberg Agri. Overberg Agri's Grain Handling and Grain Trading divisions directly profited from the large grain harvest, while the Mechanisation division benefitted from increased equipment sales and mechanical work. Furthermore, farmers repaid their outstanding accounts, which boosted Overberg Agri's cash flow. This bumper harvest also resulted in increased commercial fuel sales for Moov Fuel. The good citrus and table grape yields resulted in significant uptick for ACG Fruit, while P&B Lime Works benefited from the increased demand for feed lime and agricultural lime following the growth in the agriculture sector. Lesotho Milling performed well due to the global shortage of grain supply that drove up food prices. We will continue to reap many benefits of this harvest well into the 2022 financial year.
Material matters
* Climate change
* Commodity prices
Our response
Climate change is likely to continue and even extensive efforts to curb greenhouse gas emissions will only slow climate change, not mitigate it. Therefore, adaptation is a necessity. A key component of adaptation is technology, which can help protect society from changing climate conditions, improve productivity, and help in the more efficient use of threatened resources. We focus on the role of technology and climate information to help mitigate and adapt to climate risks. From creating more sustainable technologies to building resilience to climate change to more effective use of water, the applications of technology and climate information are crucial for sustainable agriculture.
ACORN AGRI & FOOD LTD Integrated annual report 2021
4. Regulatory environment (including regulation relating to climate change) and constrained exports
According to the World Bank's latest Ease of Doing Business report, South Africa's ranking decreased from 74 in 2016 to 84 in 2020. South Africa's deteriorating score indicates that the regulatory environment is becoming less conducive to starting and operating local business.
South African businesses faced additional restrictions on imports and exports during the 2020 year. Due to COVID-19 measures, international trade was heavily regulated during the months of March to June, with trade only resuming in August.
Regulations related to climate change, and specifically carbon emissions, have recently intensified in South Africa. The Carbon Tax Act, No.15 of 2019 has been in effect for the past two years. The tax rate is set to increase by inflation plus 200 basis points until 2022, and by inflation thereafter.
How this impacted us
Strategic objectives
As Grassroots Group derives most of its revenue from foreign markets, export restrictions heavily impacted the company for the first half of the year. Coupled with travel restrictions, this significantly delayed the roll-out of its new strategy and resulted in irrecoverable lost revenue. Similarly, Lesotho Milling endured restrictions on its exports to South Africa.
At the onset of international trade restrictions, ACG Fruit's table grape exports had already reached their foreign destinations. Although the export of its citrus fruit was not without logistical challenges, there was a solid demand for fresh fruit produce high in Vitamin C. We were fortunate that the export restrictions did not significantly impact our table grape and citrus exports.
P&B Lime Works has emissions generation facilities that exceed the carbon tax threshold and is therefore exposed to carbon tax.
Our response
As soon as travel restrictions were eased, Grassroots Group continued the roll-out of its new strategy and secured two major foreign listings. Exports resumed for the second half of the year and the company produced good results.
Due to solid relationships with our exporters, table grape and citrus exports went as planned and our ability to get our products into the market was not impacted.
To reduce the impact of carbon tax on P&B Lime Works, a solar plant was built on site to reduce electricity consumption.
Outlook for 2021 and Beyond
COVID-19 altered the landscapes of many economies and demand structures. The full extent of COVID-19's impact on our Group has yet to be established and is dependent on further government-imposed restrictions and the rate of economic recovery. The Group expects to continue being impacted by the following factors:
* changes in customer behaviour and revenue activity due to national or provincial lockdown restrictions;
* additional operating costs attributable to the pandemic;
* potential supply chain disruptions; and
* a weak macro-economic climate, high rate of national unemployment and weakening consumer disposable income.
Acorn Agri & Food's management critically reviewed the material matters relevant to the Group's ability to create or preserve value or that could lead to value erosion. We report these matters, along with risks, opportunities and responses, in our material matters section on page 34. Readers are also encouraged to refer to our CEO's report on page 25 for further insight into management's outlook as well as to the CFO's report on page 47 for a more detailed view of the Group's financial performance.
Material matters
* Climate change
* Commodity prices
* Health and Safety
Material matters
Material matters are identified as those issues that have the potential to significantly impact the Group's performance and sustainability.
Determining Materiality
The process to define Acorn Agri & Food's material matters was designed around a set of questions:
How do we
define what
is material?
What factors do
our local and global
peers consider
to be material?
What are our
current internal and
external risks and
opportunities?
How do these relate
to our strategic
focus areas?
How do we agree
on a final list of
material matters?
After our materiality review process, Acorn Agri & Food's Executive committee agreed that all material matters reported in 2020 remained relevant for the 2021 year. However, management widened the scope of two matters. First, the technological change and disruption matter was widened by including IT-related risk. IT-related risk encompasses the threat of cyberattacks on company data which could result in disruption or loss for the organisation. Second, the food safety matter was widened to health and safety, which encompasses food safety as well as occupational safety. We continue to monitor the impact of COVID-19 on the Group as well as the extent of this impact on our material matters.
ACORN AGRI & FOOD LTD
ACORN AGRI & FOOD LTD Integrated annual report 2021
Integrated annual report 2021
Climate Change
Climate change is becoming increasingly relevant, and much research links climate change with the occurrence of natural disasters such as floods and droughts. Africa has been identified as one of the most vulnerable continents when it comes to climate change. South Africa's development is highly dependent on climate-sensitive sectors such as agriculture and forestry. Regulations relating to climate change, and specifically carbon emissions, have intensified in South Africa.
Risks
Opportunities
Our response
Harsh weather may limit primary producers' ability to generate income, which could adversely impact demand for our products and services. Climate change could reduce the availability or increase the price of commodities we require for food production, resulting in depressed margins, food price inflation or insufficient food production. Increasing regulations around emissions could increase expenditure for companies and put pressure on margins and profitability.
All players in the agriculture and food sectors can leverage innovation and technological advancement to offset certain climate-related pressures. Acorn Agri & Food may be able to provide producers with technology, products and services that mitigate some of the effects of climate change. The Group could procure from multiple suppliers to ensure a geographically diverse supply base. This would mitigate some of the risk of regional disasters such as floods or droughts. When it comes to climate regulations, our Group can implement measures which will mitigate some of its adverse environmental outputs.
Our strategic objective to vertically integrate the business, combined with our focus on diversifying the Group's geographical footprint, customer base and commodity exposure, assists in mitigating the effects of climate change. We are developing new technologies internally and through our investments via AgVentures that will help mitigate the effects of climate change on our operations and for our customers. We implemented a solar power project at our P&B Lime Works' mine to reduce emissions.
Economic Environment
South Africa has experienced deteriorating economic conditions over the past decade, exacerbated by COVID-19. The pandemic and recurring lockdowns worsened South Africa's existing structural economic challenges such as unemployment, low economic growth and high debt levels, among others, at an alarming rate.
Risks
Opportunities
Our response
South Africa's deteriorating economic conditions adversely impact business and consumer confidence and disposable income. This affects local supply and demand dynamics that drive business growth. Moreover, criminal activity tends to rise during times of unemployment, and prolonged adverse conditions could give way to civil unrest.
Adverse economic conditions present an opportunity for Acorn Agri & Food to contribute to economic growth and employment through sustainable business practices.
Acorn Agri & Food's vertical integration decreases exposure to business cycles and increases sustainability. Participation in a larger part of the value chain results in more stable margins. The Group is leveraging more opportunities for intra-Group collaboration and crossselling and reducing costs through shared services across group companies.
By maintaining and increasing export volumes we can negate unfavourable local economic conditions and take advantage of exchange rate opportunities. Our strategy of producing and selling healthier food products in developed markets gives us exposure to higher income customers who are more resilient to economic pressures.
We ensure that group companies do business with financially sound customers to reduce counterparty risks.
Political Uncertainty
Political uncertainty influences confidence levels and investment into the South African economy. Significant policy uncertainty still remains surrounding land reform in South Africa, and specifically around expropriation of land without compensation.
Risks
Opportunities
Our response
Political uncertainty could weaken the exchange rate and decrease investment into the country and within the industry. The threat of international trade wars spilling over into South Africa is becoming more imminent.
Policy uncertainty affects confidence in the agriculture sector, which could decrease investment. The outcome of the expropriation policy debate could impact on the sustainability of our customers.
Acorn Agri & Food can participate in developing and presenting potential solutions to land ownership inequity in a way that will spur growth in the agriculture and food sectors. However, many of the risks surrounding political uncertainty cannot be mitigated and must be accepted.
We engage with government departments and make contributions to proposed land reform policies via Agbiz structures and other industry bodies. Through The Health Food Group, the Group is diversifying into new markets and lower risk jurisdictions through international expansion.
Service Delivery
South Africa continues to face an electricity supply crisis, which has adversely impacted the country's economic growth for several years. While President Ramaphosa's government has pledged to tackle corruption in the country, progress has been slow. The 2019 Afrobarometer survey reports that 53% of respondents in South Africa believe that official action in response to a corruption report is not likely.
Risks
Opportunities
Our response
Inadequate service delivery, especially in rural areas, affects our ability to operate or produce efficiently. It further adds costs, as we have to implement alternative solutions or risk-mitigating initiatives.
ACORN AGRI & FOOD LTD
Unreliable service delivery presents an opportunity for Acorn Agri & Food to introduce practices that ensure we remain efficient and sustainable.
Integrated annual report 2021
Acorn Agri & Food's footprint in the Western Cape, the province with the most satisfactory level of service delivery, mitigates some of the effects of inadequate service delivery. Where feasible, we are implementing alternative power sources such as generators and solar power systems to compensate for unreliable electricity supply. We participate in efforts to lobby government departments via Agbiz and maintain direct and indirect involvement with local government to mitigate and improve poor service delivery.
Regulatory Environment
South Africa has a mature regulatory environment. It could be argued that the environment is overregulated, as evidenced by the country's position in the Ease of Doing Business Rankings, which fell from 41 in 2014 to 84 in 2020.
Risks
Opportunities
Our response
A cumbersome regulatory environment adversely affects the ease and cost of doing business. Government's turnaround times for approving transactions and awarding licences are lengthy, affecting the speed of execution of our business plans. Financial and other requirements for B-BBEE regulations make it challenging to achieve or maintain a desired rating. This could result in the loss of suppliers and/or customers due to an inadequate B-BBEE score.
Adherence to regulations enables Acorn Agri & Food to remain sustainable and contribute to food security. The Group can encourage and promote a transparent culture and ethical business practices to adhere to regulations.
We adhere to all statutory and regulatory requirements as a good corporate citizen. We have regular interactions with relevant departments via industry bodies to influence processes and outcomes that improve the ease of doing business. The Group continues to implement its whistleblower hotline to promote ethical practices.
Technological Change, Disruption and IT-related Risk
The application of new technology is gaining momentum and disrupting existing business models within the agriculture and food sectors. The growing digitalisation of society and the workplace causes us to be increasingly reliant on technology. This heightened reliance and increasing global interconnectivity exposes us to the risk of cyberattacks and debilitating IT-related malfunctions. According to the World Economic Forum's Global Risks Report 2021, cybersecurity failure ranked in the Top 10 risks over both the short- and medium-term.
Risks
Opportunities
Our response
This trend poses an opportunity and a threat to established businesses in agriculture and food sectors, including our Group. For example, technological solutions are improving the timeliness and accuracy of crop estimates and online marketplaces will allow producers to purchase goods directly from manufacturers instead of agents.
Our Group depends on computer systems in our day-to-day retail and trading activity and to securely maintain data and personal information. Disruption of these systems would impair our ability to service customers. IT malfunctions and cyberattacks could compromise the confidentiality, integrity and availability of information and technology resources. This would not only disrupt operations, but could negatively impact our reputation and brands.
Acorn Agri & Food can lead and capitalise on the technological change and disruption in the agriculture and food sectors by optimising current products, services and systems. The Group must continually evaluate current business models and look for opportunities to reorganise or implement new business models. Our Group can assess our current IT policies and processes against the Cybercrimes and Cyber Security Bill draft.
Acorn Agri & Food has established AgVentures, a group company with a dedicated focus on the evaluation of and investment in innovative and disruptive technology solutions for the agriculture and food industries.
The Group has designated IT teams that implement and monitor controls. We also established a centralised IT steering committee. This committee is tasked with monitoring changes in strategy, the business environment or new technology as well as formulating our response to realise benefits, optimise resources and monitor risks.
Commodity Prices
Commodity prices are inherently volatile and substantially impact our businesses and clients, particularly our ability to remain competitive and the risk of credit to our clients.
Risks
Opportunities
Our response
Unfavourable or volatile commodity prices for wheat and barley, table grapes and citrus, and meat and wool, could adversely affect our customers' income. This could negatively influence their demand for our products and services or affect our ability to procure raw materials cost-effectively.
We can mitigate the effects of commodity price fluctuation by diversifying our exposure to a broader basket of commodities. The opportunity exists to buy during lower commodity price cycles which impacts cost of sales.
Acorn Agri & Food is diversifying its geographical footprint, customer base and commodity exposure to mitigate the effects of adverse commodity prices. We also ensure that group companies do business with financially sound customers to reduce counterparty risks. We focus on identifying, investing in, adopting or supplying new technologies that mitigate the effect of fluctuating commodity prices on our businesses and our customers.
Health and Safety
With the onset of the COVID-19 pandemic, our stakeholders' occupational health and safety became paramount. Government and businesses quickly implemented response measures to ensure the safety of all exposed stakeholders.
Food safety is an increasingly important public health issue. According to the World Health Organisation (WHO), governments around the world are intensifying their efforts to improve food safety. A major contributing factor in this regard derives from globalisation and ensuring the safety of food crossing national boundaries in international trade.
Risks
Opportunities
Our response
The socio-economic costs of illnesses resulting from a pandemic or foodborne illness include loss of productivity, income, jobs and trade. In extreme cases, such as with COVID-19 and the listeriosis outbreak in 2018, it can also result in loss of life. Perilous products can lead to product recall, litigation and brand reputation damage, exacerbating the above socioeconomic costs. During the pandemic, slack safety protocols within business organisations can have similar effects.
ACORN AGRI & FOOD LTD
When proper occupational health and safety protocols are established, daily operations can continue with minimal disruption and the risk of infection among employees, customers and other exposed stakeholders is dramatically reduced.
Similarly, when food safety protocols are established, mistakes are reduced, the risk of foodborne illnesses is eliminated, profitability grows, employee morale increases, and the company's reputation remains secure.
As such, it is imperative for our group companies to monitor their production chains and assure consumers that they adhere to the highest food safety standards.
Integrated annual report 2021
Each group company implemented strict safety protocols at the onset of the pandemic that are still being adhered to. Employees who were able to work from home remain encouraged to do so. All meetings include a virtual attendance option to reduce travel and protect high-risk employees.
Our various food companies are committed to ensuring food safety and have many accreditations according to their relevant practices and standards. For more information on these accreditations, see page 22 within our stakeholders section.
Group strategy
Management conducted a thorough strategic review after the amalgamation in 2018 and the board approved a five-year strategy until 2024. Over the past year, management updated portions of the strategy in response to the evolving operating environment.
We refreshed our strategy disclosure to give readers an enhanced understanding of our performance. This disclosure will evolve as our tracking history lengthens. The strategy map presented below sets out who we are, why we exist and how we are going to achieve our four new long-term strategic priorities.
| Vision | To create a legacy of long-term, sustainable value for all stakeholders by being the partner of choice in the agriculture and food value chain. |
|---|---|
| Mission | To be a profitable and sustainable vertically integrated agriculture and food group. |
| Strategic priorities | Enhance shareholder Effective capital Achieve operational Good corporate value allocation excellence citizenship |
| Strategic objectives | Create long-term Growth through Sustainable growth, Creating value for all sustainable growth in earnings-enhancing profitability, and cash flow stakeholders (shareholders, shareholder value and cash generative with effective use of customers, employees, opportunities in the technology, risk communities, suppliers agriculture and food management and and partners, government) value chains (local and governance international) |
High-performance organisation
Encourage high
Attract and develop performing, motivated
human talent and collaborative culture
* These items will be reported in future as our measurement ability and tracking history grows
Enhance technology
Effective total reward system
Long-term Strategic Priorities
Despite the significant impact of COVID-19, our Group outperformed expectations and performed significantly better than the prior year. Our performance is in line with our trajectory to reach our 2024 growth targets and we have seen the results of a honed focus on improving profitability. Readers should bear in mind that we operate with a sustainable long-term view which drives our strategic choices. Our performance against our strategy for each strategic priority is reported in more detail on the following pages.
Enhance Shareholder Value
Description of objective: Create long-term sustainable growth in shareholder value.
Why this objective is important: A business that does not generate consistent profits will destroy more value than it creates and cease to exist. Our focus on allocating capital to our businesses and deploying capital for new profitable businesses ensures we generate a return and grow shareholder value.
Focusing our actions on the growth of each "Value" business objective (as indicated in the strategy map) will ensure we enhance shareholder value.
Intrinsic Net Asset Value (SOTP)
This report sees the first instance of our SOTP valuation. This valuation is believed to be a truer reflection of the Group's value than our share price and is designed to inform shareholders of the intrinsic fair value of each group company. Going forward, we will track our SOTP value annually. The composition of our SOTP value is as follows:
Actions to Achieve Growth (Short to Medium Term)
* Deploy our cash and utilise our strong balance sheet to acquire cash generative businesses that complement our existing portfolio in line with our investment philosophy
* Focus on better utilisation of current capital allocated for operational use to improve profitability of our group companies via increasing earningsenhancing revenue activity and optimal cash conversion
ACORN AGRI & FOOD LTD Integrated annual report 2021
Net Asset Value
Our net asset value as measured by accounting standards is an important measurement tool.
Net asset value per share (rand)
* Optimise each group company's capital structure
* Focus on cash conversion and working capital management
* Participate in meaningful earnings-enhancing joint venture relationships that require minimal capital though shared strategic resources
Growth in Dividend
Returning dividends to our shareholders is a high priority.
Dividend per share (rand)
* Optimise cash conversion in our businesses to increase free cash flow and enable a return on capital in the form of a cash dividend
Growth in Share Price
While we cannot control the market, we can control our businesses. We believe that our growing, cash generative and profitable businesses, supported by a growing dividend yield, would support a sustainable increasing share price and ultimately, shareholder value.
Share price at year-end (rand)
* A growing share price will be the result of achieving growth in the previous business objectives
Effective Capital Allocation
Description of objective: Expand earnings-enhancing and cash generative opportunities in the local and international agriculture and food value chains to ensure organic and acquisitive growth in our portfolio.
Why this objective is important: To fulfil our vision of being the partner of choice we must demonstrate an ability to allocate capital to projects or companies that will result in growth.
Focusing our actions on the growth of the relevant "Financial" and "Investment" business objectives (as indicated in the strategy map) will ensure we are allocating capital effectively.
Increase Return on Equity
An increasing return on equity means that our assets are being used efficiently.
Return on average equity* (%)
* Net profit after tax used in the calculation of return on average equity has been normalised to exclude the effects from the sale of the Pioneer Foods shares in 2019.
Actions to Achieve Growth (Short to Medium Term)
* Optimise the capital structure per business to ensure effective capital deployment
* Achieve operational excellence
Increase Cash Flow for the Group
Increasing the Group's cash flow is important for management as it drives growth in dividends and allows a steady flow of cash for capital allocation. This measure is tracked under our Achieve Operational Excellence strategic priority and is reported in that section.
ACORN AGRI & FOOD LTD Integrated annual report 2021
Achieve Operational Excellence
Description of objective: Operational excellence results in sustainable growth, enhanced profitability and healthy cash flow. It encompasses the effective use of evolving technology, good risk management and good governance of each group company.
Why this objective is important: To fulfil our vision of being the partner of choice, our group companies should operate sustainably and at a high level of efficiency and excellence.
Focusing our action on the growth of the relevant "Financial" and "Operational" business objectives (as indicated in the strategy map) will ensure we are improving operations.
Net Profit Margin
Profitability is part of our mission. A business producing consistent profits is sustainable.
Net profit margin* (%)
* Net profit margin for the Group has been normalised to exclude the effects from the sale of the Pioneer Foods shares in 2019.
Actions to Achieve Growth (Short to Medium Term)
* Focus on earnings-enhancing revenue activity, cost structures and capital requirements
* Actively pursue business opportunities that significantly increase our revenue generating activities by volume and expand meaningful new customer offerings or other geographical expansion
Increase Earnings for our Group
Streamlined operations mean minimised costs, products and services that cater effectively to consumer demands and maximisation of earnings.
Headline earnings (Rm)
Actions to Achieve Growth (Short to Medium Term)
* Operate a lean structure within our businesses, with a focus on cost optimisation and effective business practices
* Participate in meaningful earnings-enhancing joint venture relationships that require minimal capital through shared strategic resources
Increase Cash Flow
Profitability and healthy cash flow go hand in hand for any business. Good cash flow keeps the business sustainable and provides capital for allocation.
Cash flow generated from/(utilised in) operating activities
Actions to Achieve Growth (Short to Medium Term)
* Optimise working capital cycle
* Optimise the use of our balance sheet to leverage available and suitable debt to support cash generation
Good corporate citizenship
Description of objective: Create value for all stakeholders (shareholders, customers, employees, communities, suppliers and partners, and government).
Why this objective is important: To create long-term sustainable value, our Group strategy should focus on value creation for all stakeholders and not only shareholders.
This strategic priority is the most challenging to measure. We are committed to a continuing journey of tracking meaningful measures for this priority. Readers are referred to our business model on page 12 and our stakeholders section on page 19 for detailed information relating to our Group's impact on its various stakeholders.
Our Approach
We deliver on our strategy and increase profitability and cash generation through a unique blend of operational and investment expertise.
To leverage these areas of expertise, our management team is split according to two strategic focus areas. While mutually supportive, each team is assigned key responsibilities to support better execution of our strategic objectives.
Operational
Investment
Key Focus
Optimise and grow our businesses
Key Responsibilities
* Unlock synergies with cross-selling and shared services across the Group and growth opportunities requiring reinvestment of Group capital.
* Optimise allocation of capital within group companies to enhance profitability and cash generation.
Key Focus
Deploy capital to support long-term strategic objectives
Key Responsibilities
* Identify opportunities for effective deployment of capital into growth assets which are earnings and cash flow enhancing.
* Regular evaluation of current group companies and timeous intervention in case of non-performing companies.
Operational Approach
Acorn Agri & Food follows a strict operational approach to manage group companies. The diagram illustrates the operational initiatives that Acorn Agri & Food implements within each group company.
Business
Level
Managerial
Level
Operational support to
management teams
Aligns management through
incentives
Strict application of business
performance metrics
Proven Operational Approach
Actively involved in
strategy and planning
Implement solid
financial management
and reporting
Assist in identifying
growth opportunities
Implement sound corporate
governance
Assist in identifying
risks and risk mitigation
strategies
Provide corporate
finance and shared services
44
ACORN AGRI & FOOD LTD Integrated annual report 2021
Capital Allocation Approach
Acorn Agri & Food adheres to a strong capital allocation framework and discipline to drive shareholder returns.
Available
Capital
Priority
1
Reinvestment
In terms of capital allocation, our first priority is the
reinvesting of capital by operating companies. This
enables them to expand their operations subject to
achieving a 15% internal rate of return target. We regard
this reinvestment to achieve organic growth as the most
predictable and lowest risk option.
Level of risk
Low
Priority
3
Acquisitions
We allocate excess capital to acquire business interests in
our segments in the agriculture and food value chain. We
prefer a majority interest; however, a minority interest will
be considered in certain cases. Our hurdle rate of return
is 15% per annum.
Level of risk
Medium–High
Priority
2
Dividends
We endeavour to pay an annual dividend to shareholders,
in cash or Acorn Agri & Food shares as elected by
each shareholder. Our target dividend cover is three to
five times.
Level of risk
Low
Priority
4
Share Repurchase
The management team of Acorn Agri & Food remains solely
focused on executing the business strategy and operational
performance. Management’s philosophy is that, over the
long term, the operational performance of the business will
drive the share price, whereas capital market forces play a
larger role over the short to medium term. Without a listing
in the short term, consideration will be given to create more
liquidity through share repurchases.
The repurchase of Acorn Agri & Food shares will be
contemplated if excess cash is available, if there are
limited reinvestment opportunities, and if the shares are
trading below our estimate of fair value.
Level of risk
Medium
Capital Outflows
Potential Future Inflows
Potential Future Inflows
Investment Philosophy
Acorn Agri & Food's investment philosophy is to:
* acquire solid, cash generative agriculture and food businesses, within our value chain segments, with a strong management team and at a price that supports our return targets;
* pursue strategic mergers and acquisitions to drive scale, enhance route to market or facilitate cross-selling within each segment; and
* continue diversifying across geographies, commodities, markets and currencies.
Investment Approach
Acorn Agri & Food's investment approach is to:
* leverage our established relationships to source quality transactions;
* perform a rigid analysis of the opportunity;
* perform a thorough due diligence to identify opportunities and risks;
* apply sophisticated deal structuring and terms to mitigate risks; and
* utilise our industry knowledge and expertise to drive value creation post-transaction.
Investment Criteria
Acorn Agri & Food endeavours to invest in businesses with the following characteristics:
* Understandable business
* Robust business model
* Sustainable competitive advantage
* Profitable and cash generative
* Solid growth prospects
* Not highly leveraged
* Experienced, ambitious and trustworthy management team
ACORN AGRI & FOOD LTD Integrated annual report 2021
Exclusion List
The board of Acorn Agri & Food adopted a comprehensive investment exclusion list which includes the following criteria:
* We do not engage in speculative investment in activities such as commodities, commodity contracts or forward currency contracts that are outside the ordinary course of business.
* We do not invest in any portfolio company where we are aware, or become aware, of it being involved in:
a. criminal activities;
b. human rights violations;
c. unsound labour practices;
d. unsound corporate governance practices; or
e. unsound environmental practices.
* We do not invest in any portfolio company conducting certain activities as outlined in the investment exclusion list.
Divestment Criteria
Acorn Agri & Food has a long-term view with regard to its operating companies and investments. However, the board of Acorn Agri & Food approved guidelines for the divestment of group companies or investments.
Guidelines for the divestment of group companies are, inter alia:
* The group company falls outside Acorn Agri & Food's strategic focus;
* The group company engages in activities listed on the Acorn Agri & Food investment exclusion list;
* The group company is not profitable and unlikely to achieve profitability within a reasonable time period, despite various interventions by Acorn Agri & Food;
* The investment in the group company bears substantial risk based on pre-existing or new circumstances;
* Acorn Agri & Food believes that the management or coshareholders of a group company is unethical and/or criminal in its business dealings and that Acorn Agri & Food could suffer reputational damage through its investment in the group company; and
* Acorn Agri & Food endeavours to redeploy the capital invested in a group company into investments with more attractive attributes and/or growth prospects.
|
SOCIAL MEDIA MANAGEMENT MAMC 6730 FALL 2015
COURSE INFORMATION
Credits 03
Weekly Live Office Hour: Every Monday at 8:00 p.m. EST via Adobe Connect. This office hour is open to all students and will be recorded. Each office hour will also act as a week in review. Additional meeting times can also be set up by appointment. Contact the instructor at firstname.lastname@example.org for additional meeting times.
Connect Classroom URL:https://lss.at.ufl.edu/
INSTRUCTOR
Jared Preusz, MS Cell: 801-‐828-‐6462
Email: email@example.com
Twitter: @SocialJared
LinkedIn: https://www.linkedin.com/in/jaredpreusz
Note—please use firstname.lastname@example.org email address for all communication. Email is the quickest way to get a message to me as it hits my phone, which I always have with me! I will respond to all emails within 24 hours. Please only call my cell in cases of emergencies.
COURSE DESCRIPTION
This course teaches students to use social media strategically to create value for an organization. An emphasis is placed on strategic collaboration, tactical execution, and measurement of social media efforts. Students will learn by doing in assignments focusing on social media post writing and publishing, management and measurement tools, a social media audit, an editorial calendar, a tactical plan, and crisis management. The course will cover blogs, Facebook, Twitter, Instagram, Pinterest, LinkedIn, and an array of niche social media platforms.
COURSE LEARNING OBJECTIVES
By the end of this course, students will master the skills necessary to be successful social media managers. They will know how to:
* Identify the components of a strategic social media plan and effectively develop one that creates value for any organization
* Create engaging content for Facebook, Twitter, Instagram, LinkedIn, Pinterest, and additional niche social media networks
* Evaluate which social media platforms are the most effective for the brand represented
* Identify the best tools to manage and measure the performance of social media content and campaigns
* Assess the critical issues social media managers face and how to handle crises
COURSE DESIGN
This course will draw on professional real-‐life concepts and examples. During weeks 1 through 11 in this course, you will learn the skills that will help you create a three-‐month strategic social media plan for your final project. In the first half of this course, we will discuss the options for brand selection, finding a client for social media services, creating proposals and client contact reports,
devising your own social media strategy, writing engaging content, and incorporating how to make metrics work for the advantage of a client. In the latter half of the course, you will learn how to use your social media strategy to create effective posts for several channels.
In week 11 of the course, we will focus on crisis management, where you will learn the best practices on how to avoid crises and develop a plan in case problems do arise. The final week of the course will discuss the future of social media and how new innovations in technology will impact how people share, interact, and communicate online.
Although the primary course focus will be on creating a social media strategy plan, there will be class assignments and discussions to evaluate your knowledge of specific concepts relevant to social media management. Weekly lectures and reading materials will be provided each week to help you master the skills needed to not only complete your social media plan, but to also become a successful social media manager.
This course will include the following:
* Weekly pre-‐recorded video lectures posted to Canvas
* Weekly discussion posts to provide reactions on what you learn in the lectures and readings
* Weekly readings reinforcing skills taught in the lecture as well as additional skills
* Four assignments where you will complete key portions of a social media strategy plan
* A detailed, three-‐month social media strategy plan for your selected brand
Online Class Requirements
1. You will need an Internet connection to access this course, view the lectures, attend online class sessions, and complete your assignments.
2. You must be able to communicate with the instructor. Most communications can be done via email and the discussion board, but you may be asked to join Dropbox.com or Google Drive (both free online services) to share large files.
Required Books
Macarthy, Andrew (2015).500 Social Media Marketing Tips: Essential Advice, Hints, and Strategy for Business: Facebook, Twitter, Pinterest, Google+, YouTube, Instagram, LinkedIn, and More!
Schaffer, Neal (2013).Maximize Your Social. New Jersey: John Wiley & Sons.
These books are also available as Amazon Kindle versions.
Additional readings will be provided for each week of the course. See the course schedule at the end of this syllabus for more details on the readings. This information is also available in Canvas.
Sites to Follow
In addition to the readings, it is also recommended that you read current articles related to social media strategy and management on each of the following sites weekly during the course:
Social Media Examiner: http://www.socialmediaexaminer.com/
Social Media Today: http://www.socialmediatoday.com/
Mashable: http://mashable.com/category/social- media/
Hootsuite Blog: http://blog.hootsuite.com/
Weekly Lectures
There will be video lectures posted each week of the course on Canvas. These lectures will cover class materials for each week. These lectures will vary in length depending on the topics being discussed. It is your responsibility to watch each lecture. The lectures will share information that you will need to successfully write your weekly discussion posts as well as complete class assignments.
Discussion Posts
Discussion is an important part of this course. You are expected to read the assigned readings, watch each week's lecture and actively participate in regular discussions through the "Discussion Posts" tab in Canvas. Each lecture in the course will have a series of questions at the end that will require you to apply what you learned and write a response from the lecture and assigned readings. You will need to watch the video lecture and read the assigned readings to write a discussion post each week that is at least 300-‐500 words. Please note that your post should not be a summary of the readings and the lecture, but rather a reaction to what you learn.
You will also include two questions at the end of the post. Questions should be included as a means to demonstrate how you believe the topic could have been expanded or where you believe the reading did not fully cover a given issue. These questions will also be used to provide classmates ideas for comments they may post in response to your discussion. The questions are not part of the 300-‐500 word requirement. Feel free to use any of the readings and the lecture as sources for your reaction post, but you are also encouraged to add additional research and insights to your posts. When using a source, you must properly cite the material used in the APA Style Format.
Weekly Discussion Posts are due by 11:59 p.m., EST, on Tuesdays.
Weekly Discussion Posts are awarded points of 0-‐100 according to the following:
| | 100-‐90 Excellent | 89-‐80 Good |
|---|---|---|
| Topic – 30% | Competently describes and contextualizes subject matter of lecture and reading | Capably describes subject matter of lecture and reading with some context |
| Sourcing – 15% | Sources course readings and videos and when needed refers to additional outside materials | Demonstrates competence in sourcing course readings and videos |
| Relevance – 25% | Thoroughly cites own experiences or real life incidents to highlight learning | Cites some relevant experiences or real life incidents to give additional context |
| Insight – 30% | Compelling, focused and persuasive views are offered | The discussion post falters at times, but the main point is clear |
Weekly Discussion Post Comments
Each week you will be asked to comment on at least two discussion posts by fellow students. Each comment should be between 150-‐400 words. To be counted, a comment must appear on a discussion post in Canvas by 11:59 p.m. on Friday of the week assigned. No more than two comments per week will be counted. You will also need to respond to all comments on your discussion post on Sundays of each week by 11:59 p.m.
Comments must add something of value to the conversation thread, i.e. be thought provoking, and not done simply to fulfill the grade requirement. While you may comment on the original post, you may also feel compelled to react to a comment made by another student which could further the discussion. The instructor will also be responding to discussion posts and provide clarification and resources to keep the discussion active. Each comment must include research to back up your statements and arguments. Each source you use must be cited using the APA format.
Weekly Discussion Post Comments are due by 11:59 p.m., EST, on Fridays. You need to respond to each comment on your discussion post by 11:59 p.m. on Sundays.
Weekly discussion post comments are awarded points of 0 – 100 according to the following levels completion:
| | 100-‐90 Excellent | 89-‐80 Good |
|---|---|---|
| Discussion – 50% | Comments enhance the learning experience by challenging the reading reaction or adding new perspectives. New questions may be posed. Replies are posted to all comments of the initial weekly lecture/reading reaction posts as well. | Responds to the learning experience nearly fully, demonstrating a good understanding of what has been discussed. |
| Relevance – 25% | Thoroughly cites own experiences or real life incidents to highlight learning. | Cites some relevant experiences or real life incidents to give additional context. |
Course Social Media Post Discussion Board
In preparation for your final project, you will publish a series of test social media posts on a course discussion board in Canvas during weeks 8 and 9. The posts you publish to this discussion board will be used in your final project to help provide a sampling of the content you would publish as a social media manager for your selected brand.
The course social media post discussion board will also give the opportunity for the instructor as well as students to provide feedback via comments. Each student is expected to make any adjustments to their posts based on the feedback they receive from the instructor.
Each student will be required to use at least three social media channels for their final project and must create a minimum of two posts for each channel.
For example, if you select Facebook, Twitter, and Instagram as your channels, you will need to have 2 Facebook posts, 2 Twitter posts, and 2 Instagram posts. These posts will make up the content of your Course Social Media Post Discussion Board posts. You will make your first post for each of your selected channels during Week 8 and your second post for each channel during Week 9.
The posts will be due on Thursday during Week 8 and Week 9 by 11:59 p.m. EST.
You will also need to leave a comment on at least two other classmates' posts by Sunday at 11:59 p.m. EST during weeks 8 and 9.
COURSE SOCIAL MEDIA POST DISCUSSION BOARD GRADING RUBRIC:
COURSE SOCIAL MEDIA POST DISCUSSION BOARD POST COMMENT RUBRIC:
Assignments
There will be a total of four assignments that will be the basis for your final project. The main goal of this Social Media Management course will be the development of a real social media strategy plan that will require you to implement the skills required of a successful social media manager. This plan will consist of four parts, which make up the four assignments.
It is highly recommended that you do not wait until the last minute to work on these assignments. Each of these assignments will take several weeks to complete.
The four assignments that will be turned in for a grade include:
Assignment 1: Brand Selection & Rationale Due Date: Friday, September 4 at 5 p.m., EST
Select the brand that will be the focus of your social media strategy plan for the class. You have three options. You can select the brand you work for, a brand you approach about building a social media presence for free (client), or a brand that you wish to present your social media plan to after this class. Think carefully about the brand you select as you may wish to use this later for your Capstone course.You must select a brand that has at least one existing social media account.
You must include the name of your brand and provide a brief rationale answering the following questions:
* The identity of your brand: Is it a company you work for, a client, or a brand you wish to present your social media plan to after this class?
* Why did you select this brand?
This assignment will need to be turned in as a Microsoft Word document in Canvas by the due date and time listed above.
Assignment 2: Social Media Audit & Competitive Analysis Due Date: Monday, September 14 by 11:59 p.m., EST
For this assignment, you will devise the first part of your social media strategy, which will consist of the following:
* Your brand's goals and objectives: List one to two primary goals and two secondary goals for your selected brand. Then, include a list of at least 5-‐7 objectives that support your goals.
* A social media audit: Provide key findings of your selected brand's existing social media channels.You must select a brand for your social media plan that has at least one existing social media channel. Your audit must provide an analysis of each of its social media channels, including:
o
What's working well
o What's not working well
o What improvements need to be made
When explaining the three components above, keep the following in mind about your selected brand:
* Customer base/market share
* Website rank
* Reach
* Engagement
* Frequency
* Influence
* Social media presence on your home page
* A competitive analysis: Compile a list of 3-‐5 main competitors for your selected brand. For each competitor, list which social media channels they are using. Include a brief paragraph that describes their content strategy. What kind of posts are they publishing? What is
unique about the content they are posting? Include a paragraph about each competitor's engagement activity. Provide a rough estimate of how many likes, comments, shares, rewteets, etc. on average is each competitor receiving from what you are able to see on each social media channel.
* Profiles for each of your brand's buyer personas:Include 3-‐5 buyer personas for your brand. Provide a justification in 150 to 300 words for each buyer persona on why you selected it and what you did to determine its details. Your lecture and readings in Week 2 will provide more information on what you need to include for the buyer persona.
This assignment will be turned in as a 3-‐5 page Microsoft Word document in Canvas by the due date and time listed above.
RUBRIC FOR ASSIGNMENT 2:
| | 100-‐90 Excellent | 89-‐90 Good |
|---|---|---|
| Ideas 35% | Excels in responding to the assignment. Interesting, demonstrates sophistication of thought. Central idea is clearly communicated, worth developing. Understands and critically evaluates its sources, appropriately limits and defines terms. | A solid paper, responding appropriately to assignment. Clearly states central idea, but may have minor lapses in development. Shows careful reading of sources, but may not evaluate them critically. Attempts to define terms, but not always successfully. |
| Organization & Coherence 25% | Uses a logical structure appropriate to paper’s subject, purpose and audience. Sophisticated transitional sentences often develop one idea from the previous one or identify other logical relations. It guides the reader through the chain of reasoning or progression of ideas. | Shows a logical progression of ideas and uses fairly sophisticated transitional devices; e.g. may move from least to more important idea. Some logical links may be faulty, but each paragraph clearly relates to paper’s central idea. |
| Support 20% | Uses evidence appropriately and effectively, providing sufficient evidence and explanation to convince the audience. | Begins to offer reasons to support its points, perhaps using varied kinds of evidence. Begins to interpret the evidence and explain connections between evidence and main ideas. Its examples bear some relevance. |
|---|---|---|
| Style 10% | Chooses words for their precise meaning and uses an appropriate level of specificity. Sentence style fits paper's audience and purpose. Sentences are varied, yet clearly structured and carefully focused, not long and rambling. | Generally uses words accurately and effectively, but may sometimes be too general. Sentences generally clear, well structured, and focused, though some may be awkward or ineffective. |
| Mechanics 10% | Almost entirely free of spelling, punctuation, and grammatical errors. | May contain a few errors, which may annoy the reader but not impede understanding. |
Assignment 3: Social Media Channel and Tactical Plan
Due Date: Friday, October 2 by 11:59 p.m. EST
For the first part of this assignment, you will need to list which content platforms (blog, website, podcasts, webinars, etc.) you plan to use for the social media content of your brand. For each content management platform, provide a brief paragraph on how it will benefit your social media content.You must select at least one content platform for your brand.
For the second part of this assignment, you will need to select at least three social media channels for your brand. For each social media channel you select, you will need to include a brief rationale explaining why it will help accomplish your brand's goals and objectives and why you think it will effectively reach your brand's buyer personas. You will also need to include 3-‐5 objectives, action items, and key metrics for each of your social media channels. For help with completing this part of the assignment see this Social Media Tactical Plan template:
http://www.marketo.com/_assets/uploads/2015-‐Sample-‐Social-‐Media-‐Tactical-‐Plan-‐1.pdf
The third part of this assignment will require you to create a social media tactical plan, which will list and detail the tactics you will use to generate and convert leads, increase followers, and engage audiences for your selected brand. You must include a total of 58 tactics from the list of tactics provided in the Week 3 module on Canvas. For each tactic, you will need to include a brief rationale as to why you plan to include that tactic in your social media strategy plan. You must also include a proposed budget for each tactic and provide a rationale of why that budget should be allocated to each tactic.
At least one of your tactics should be a conversion tactic and at least one tactic should be a social media campaign.For the social media campaign, you will need to explain which social media channels are going to be used, provide a detailed explanation of how you are going to conduct the campaign on those channels, and explain how you will measure the results of the campaign.
This assignment will need to be turned in as a 3-‐5 page Microsoft Word document in Canvas by the due date and time listed above.
RUBRIC FOR ASSIGNMENT 3:
| | 100-‐90 Excellent | 89-‐90 Good |
|---|---|---|
| Ideas 35% | Excels in responding to the assignment. Interesting, demonstrates sophistication of thought. Central idea is clearly communicated, worth developing. Understands and critically evaluates its sources, appropriately limits and defines terms. | A solid paper, responding appropriately to assignment. Clearly states central idea, but may have minor lapses in development. Shows careful reading of sources, but may not evaluate them critically. Attempts to define terms, but not always successfully. |
defines terms, often
| Organization & Coherence 25% | Uses a logical structure appropriate to paper’s subject, purpose and audience. Sophisticated transitional sentences often develop one idea from the previous one or identify other logical relations. If guides the reader through the chain of reasoning or progression of ideas. | Shows a logical progression of ideas and uses fairly sophisticated transitional devices; e.g. may move from least to more important idea. Some logical links may be faulty, but each paragraph clearly relates to paper’s central idea. |
|---|---|---|
| Support 20% | Uses evidence appropriately and effectively, providing sufficient evidence and explanation to convince. | Begins to offer reasons to support its points, perhaps using varied kinds of evidence. Begins to interpret the evidence and explain connections between evidence and main ideas. Its examples bear some relevance. |
Assignment 4: Content Strategy Plan and Editorial Calendar Due Date: Monday, October 12 by 11:59 p.m. EST
You will need to create a content strategy plan and a 30-‐day editorial calendar. The content strategy plan will provide a general outline of the posts you will be publishing to the social media channels you selected in Assignment 3. You will also be creating a 30-‐day social media editorial calendar, which will be a high-‐level overview of the types of posts you will be publishing using the content strategy plan you created as a guide. Save time on creating your editorial calendar by downloading this editorial calendar template: http://blog.hootsuite.com/social-‐media-‐templates/.
For the editorial calendar, outline at least five posts per week per channel for the 30 days. Be mindful of each channel's character counts for status updates. Be clear in identifying which network the content is for. You will not need to write 90 full social media posts. Just include an outline for each of these posts on the calendar.
This assignment will be turned in as a Microsoft Word document in Canvas by the due date and time listed above.
RUBRIC FOR ASSIGNMENT 4:
depends on dictionary
| Organization & Coherence 15% | Uses a logical structure appropriate to paper's subject, purpose, and audience. Sophisticated transitional sentences often develop one idea from the previous one or identify their logical relations. It guides the reader through the chain of reasoning or progression of ideas. | Shows a logical progression of ideas and uses fairly sophisticated transitional devices; e.g., may move from least to more important idea. Some logical links may be faulty, but each paragraph clearly relates to paper's central idea. |
|---|---|---|
| Support 10% | Uses evidence appropriately and effectively, providing sufficient evidence and explanation to convince. | Begins to offer reasons to support its points, perhaps using varied kinds of evidence. Begins to interpret the evidence and explain connections between evidence and main ideas. Its examples bear some relevance. |
| | media platform and is capable of delivering creative and engaging content for the brand. | appropriately represents the brand. However, it is not engaging and lacks the “shareability” factor. |
|---|---|---|
| Style 10% | Chooses words for their precise meaning and uses an appropriate level of specificity. Sentence style fits paper's audience and purpose. Sentences are varied, yet clearly structured and carefully focused, not long and rambling. | Generally uses words accurately and effectively, but may sometimes be too general. Sentences generally clear, well structured, and focused, though some may be awkward or ineffective. |
| Mechanics 10% | Almost entirely free of spelling, punctuation, and grammatical errors. | May contain a few errors, which may annoy the reader but not impede understanding. |
FINAL PROJECT: SOCIAL MEDIA STRATEGY PLAN
Social Media Strategy Plan Proposal in Microsoft Word Due in Canvas: Wednesday, November 4 by 11:59 p.m. EST
Live Presentation Dates:
* Thursday, November 5 at 8 p.m. EST
* Friday, November 6 at 7 a.m. EST
* Saturday, November 7 at 11 a.m. EST
* Tuesday, November 10 at 8 p.m. EST
* Monday, November 9 at 8 p.m. EST
Your final project for this course will require you to create a full, detailed three-‐month social media strategy plan in a Microsoft Word document and as a final presentation in PowerPoint or Prezi. Your word document will include your full social media strategy plan (most of this will already be completed through your assignments in the course – please make sure to edit those assignments based on instructor feedback) and your PowerPoint or Prezi presentation will be presented live to the instructor during weeks 11 and 12 of the course via Adobe Connect. Below are the details of when the social media strategy plan is due as well as times for the live presentations.
Final Live Presentations
Final presentations to the marketing SVP of your selected brand (the course instructor) will occur during the following dates and times:
* Thursday, November 5 at 8 p.m. EST
* Friday, November 6 at 7 a.m. EST
* Saturday, November 7 at 11 a.m. EST
* Tuesday, November 10 at 8 p.m. EST
* Monday, November 9 at 8 p.m. EST
Students will need to sign up for one of these dates and times by signing up in Canvas no later than Friday, October 16.
Each student presentation will need to be between 5-‐7 minutes. Any presentation over 7 minutes will lose 10 points.
Final Project Details
You will present your social media strategy plan to your instructor between Thursday, November 5 and Tuesday, November 10. Review the "Final Live Presentations" section of this syllabus for a list of dates and times.
Your strategy plan will be for the first three months for your selected brand starting December 1 2015.You are not expected to create three months worth of individual social media posts as it is an industry best practice to not schedule content out more than a month in advance to be sure to keep content relevant.
You will turn in a 15-‐20 page Microsoft Word document of your social media strategy plan with the following items no later than Wednesday, November 4 by 11:59 p.m. EST:
* Executive summary
*
Table of contents
* Your brand's goals and objectives
* Your social media channel and tactical plan from Assignment 3
* Your social media audit, competitive analysis, and buyer personas from Assignment 2
* Your content strategy plan and editorial calendar from Assignment 4
* List at least one social media management tool and one social media analytics tool you plan to use for your selected brand and provide a brief rationale as to why you are selecting each one for your brand
* Social media post creative executions: You must share at least two social media post examples for each social media channel you selected. These are creative executions and should look like a real social media post. You should have these posts already created during the Course Facebook Wall assignments during weeks 7 and 8. Be sure to make any adjustments to your posts based on the feedback you received from the Course Social Media Post Discussion Board.
* Conclusion: Include your final selling point to management in your conclusion. Include the ROI of your plan, a total proposed budget amount for your tactics, and why that budget should be allocated to social media.
Your live final presentation must include a PowerPoint or Prezi slide deck. It must include:
* 7 slide minimum, 10 slide maximum
* Time limit: 5-‐7 minutes – Any presentation that goes longer than 7 minutes will be docked 10 points
* Clearly outline the presentation in correspondence with the structure outlined below
Structure of the Presentation:
* Goals and objectives (1 slide)
* Outline each social media channel you selected for the plan and brief rationale for each (1 slide)
* Key findings from your social media audit and/or competitive analysis (1 slide)
* Social media tactical plan outlining the efforts your brand will use to generate leads and engage audiences (1 slide)
*
Outline of content platforms (blog, website, podcasts, etc.) and content strategy (1 slide)
* Outline the tools your team will use for social media management and analytics purposes and a rationale for each one (1 slide)
* Sales pitch: Be sure to provide 1 slide including your final sales pitch to the SVP of marketing (the instructor for this course). Include the ROI of your plan, a total proposed budget amount for your tactics, and why that budget should be allocated to social media. The instructor may challenge you with questions at the end of the presentation so be prepared to defend your plan. This will be an additional minute added onto your final presentation and the instructor may or not ask questions based on how well your sales pitch is at the end of your presentation.
Your Powerpoint or Prezi slide deck must be uploaded to Canvas no later than Wednesday, November 4 at 5 p.m., EST. This will allow you to give your final presentation to the instructor prior to your live presentation. The presentation will be used by the instructor for grading.
FINAL PROJECT STRATEGY PLAN IN MICROSOFT WORD RUBRIC:
| | 100-‐90 Excellent | 89-‐90 Good |
|---|---|---|
| Ideas 20% | Excels in responding to assignment. Interesting, demonstrates sophistication of thought. Central idea is clearly communicated, worth developing. Understands and critically evaluates its sources, appropriately limits and defines terms. | A solid paper, responding appropriately to assignment. Clearly states central idea, but may have minor lapses in development. Shows careful reading of sources, but may not evaluate them critically. Attempts to define terms, not always successfully. |
Organization &
Uses a logical
Shows a logical
May list ideas or
| Support 10% | Uses evidence appropriately and effectively, providing sufficient evidence and explanation to convince. | Begins to offer reasons to support its points, perhaps using varied kinds of evidence. Begins to interpret the evidence and explain connections between evidence and main ideas. Its examples bear some relevance. |
|---|---|---|
| Creativity 35% | Content developed for the editorial calendar and social media posts are relevant and engaging. It is evident that the student has a strong command of the native language of each social media platform and is | Content developed for the editorial calendar and social media posts are relevant, but less engaging. The student still shows a strong command of the native language. The content is straightforward and appropriately |
| | capable of delivering creative and engaging content for the brand. | represents the brand. However, it is not engaging and lacks the “shareability” factor. |
|---|---|---|
| Style 10% | Chooses words for their precise meaning and uses an appropriate level of specificity. Sentence style fits paper's audience and purpose. Sentences are varied, yet clearly structured and carefully focused, not long and rambling. | Generally uses words accurately and effectively, but may sometimes be too general. Sentences generally clear, well structured, and focused, though some may be awkward or ineffective. |
FINAL PROJECT PRESENTATION RUBRIC:
Content 45%
Introduction is attention getting, identifies the client's needs, and establishes a framework for the rest of the presentation.
Technical terms are well defined in language appropriate for the senior vice president of marketing of the student's selected brand.
Presentation contains accurate information.
Material included is relevant to the overall message/purpose.
Appropriate amount of material is prepared, and points made reflect their relative importance.
The student provides a convincing sales pitch at the end of the presentation summarizing the ROI of the social media plan, a total proposed budget amount for tactics, and why that budget should be allocated to social media.
Introduction grabs some attention and identifies some or basic needs of the client. The introduction generally establishes a framework for the rest of the presentation.
Some technical terms are defined in appropriate language, however some may not be clear or defined well.
Presentation contains accurate information, but there may be some ideas not backed by research or that are not considered good social media practice.
Some material is relevant, but some material does not support the overall message/purpose.
The presentation includes most of the amount of material prepared, but may be missing some components.
The sales pitch at the end is a little convincing, but does not sell it enough to management to buy off on the plan. The SVP of marketing may or may not approve of the plan according to the way it is presented.
The introduction does not fully grab the attention of the audience, does not identify relevant needs of the client, and fails to establish the most effective framework for the rest of the presentation.
Technical terms are generally not well defined in language that is appropriate for the SVP of Marketing.
Presentation generally contains information that is not accurate and is not backed by research. Some ideas presented may not be considered good social media practice.
The material presented is generally not supportive of the overall message/purpose.
The presentation is lacking enough material and is missing too many of the required components.
The sales pitch at the end of the presentation fails to convince the SVP of marketing to approve of the plan. The presentation may not include enough information for SVP to make the decision to buy into the plan.
Social Media Templates
To save you time, consider using some or all of theseSocial Media Templates.
Announcements tab in Canvas shell
Be sure to check the Announcements tab in the Canvas shell regularly for information on class assignments, changes and other class information. In addition, important information (but not all Announcements) will be sent via email when it is posted in this tab.
Grading
Your work will be evaluated according to this distribution:
TOTAL
100%
And grades will be determined as follows:
93-‐100%
Note-‐-‐ Rounding: I round when assigning grades. When the grade falls at a .5 or above, I will round it up.
Grading policy
General University policies regarding grades can be found at https://catalog.ufl.edu/ugrad/current/regulations/info/grades.aspx
University Policies
University Policy on Accommodating Students with Disabilities:
Students requesting accommodation for disabilities must first register with the Dean of Students Office (http://www.dso.ufl.edu/drc/). The Dean of Students Office will provide documentation to the student who must then provide this documentation to the instructor when requesting accommodation. You must submit this documentation prior to submitting assignments or taking the quizzes or exams. Accommodations are not retroactive, therefore, students should contact the office as soon as possible in the term for which they are seeking accommodations. Students with Disabilities who may need accommodations in this class are encouraged to notify the
instructor and contact the Disability Resource Center (DRC) so that reasonable accommodations may be implemented. DRC is located in room 001 in Reid Hall or you can contact them by phone at 352-‐392-‐8565.
University counseling services and mental health services:
**Netiquette: Communication Courtesy:
All members of the class are expected to follow rules of common courtesy in all email messages, threaded discussions and chats.http://teach.ufl.edu/wpcontent/uploads/2012/08/NetiquetteGuideforOnlineCourses.pdf
Class Demeanor:
Mastery in this class requires preparation, passion, and professionalism. Students are expected, within the requirements allowed by university policy, to attend class, be on time, and meet all deadlines. Work assigned in advance of class should be completed as directed. Full participation in online and live discussions, group projects, and small group activities is expected.
My role as instructor is to identify critical issues related to the course, direct you to and teach relevant information, assign appropriate learning activities, create opportunities for assessing your performance, and communicate the outcomes of such assessments in a timely, informative, and professional way. Feedback is essential for you to have confidence that you have mastered the material and for me to determine that you are meeting all course requirements.
At all times it is expected that you will welcome and respond professionally to assessment feedback, that you will treat your fellow students and me with respect, and that you will contribute to the success of the class as best as you can.
Getting Help:
For issues with technical difficulties for E-‐learning in Sakai, please contact the UF Help Desk at:
* email@example.com
‐
* (352) 392-‐HELP -‐ select option 2
* https://lss.at.ufl.edu/help.shtml
** Any requests for make-‐ups due to technical issues MUST be accompanied by the ticket number received from LSS when the problem was reported to them. The ticket number will document the time and date of the problem. You MUST e-‐mail your instructor within 24 hours of the technical difficulty if you wish to request a make-‐up.
Other resources are available at http://www.distance.ufl.edu/getting-‐help for:
* Counseling and Wellness resources http://www.counseling.ufl.edu/cwc/Default.aspx
352-‐392-‐1575
* Disability resources
* Resources for handling student concerns and complaints
* Library Help Desk support
Should you have any complaints with your experience in this course please visit http://www.distance.ufl.edu/student-‐complaints to submit a complaint.
Course Evaluation:
Students are expected to provide feedback on the quality of instruction in this course based on 10 criteria. These evaluations are conducted online athttps://evaluations.ufl.edu
Evaluations are typically open during the last two or three weeks of the semester, but students will be given specific times when they are open. Summary results of these assessments are available to students athttps://evaluations.ufl.edu/results
University Policy on Academic Misconduct:
Academic honesty and integrity are fundamental values of the University community. Students should be sure that they understand the UF Student Honor Code at http://www.dso.ufl.edu/students.php
The University of Florida Honor Code was voted on and passed by the Student Body in the Fall 1995 semester. The Honor Code reads as follows:
Preamble: In adopting this Honor Code, the students of the University of Florida recognize that academic honesty and integrity are fundamental values of the University community. Students who enroll at the University commit to holding themselves and their peers to the high standard of honor required by the Honor Code. Any individual who becomes aware of a violation of the Honor Code is bound by honor to take corrective action. A student-‐run Honor Court and faculty support are crucial to the success of the Honor Code. The quality of a University of Florida education is dependent upon the community acceptance and enforcement of the Honor Code.
The Honor Code: "We, the members of the University of Florida community, pledge to hold ourselves and our peers to the highest standards of honesty and integrity."
On all work submitted for credit by students at the University of Florida, the following pledge is either required or implied:
"On my honor, I have neither given nor received unauthorized aid in doing this assignment."
For more information about academic honesty, contact Student Judicial Affairs, P202 Peabody Hall, 352-‐392-‐1261.
ACADEMIC HONESTY
All graduate students in the College of Journalism and Communications are expected to conduct themselves with the highest degree of integrity. It is the students' responsibility to ensure that they know and understand the requirements of every assignment. At a minimum, this includes avoiding the following:
Plagiarism: Plagiarism occurs when an individual presents the ideas or expressions of another as his or her own. Students must always credit others' ideas with accurate citations and must use quotation marks and citations when presenting the words of others. A thorough understanding of plagiarism is a precondition for admittance to graduate studies in the college.
Cheating: Cheating occurs when a student circumvents or ignores the rules that govern an academic assignment such as an exam or class paper. It can include using notes, in physical or electronic form, in an exam, submitting the work of another as one's own, or reusing a paper a student has composed for one class in another class. If a student is not sure about the rules that govern an assignment, it is the student's responsibility to ask for clarification from his instructor.
Misrepresenting Research Data: The integrity of data in mass communication research is a paramount issue for advancing knowledge and the credibility of our professions. For this reason any intentional 14 misrepresentation of data, or misrepresentation of the conditions or circumstances of data collection, is considered a violation of academic integrity. Misrepresenting data is a clear violation of the rules and requirements of academic integrity and honesty.
Any violation of the above stated conditions is grounds for immediate dismissal from the program and will result in revocation of the degree if the degree previously has been awarded.
Students are expected to adhere to the University of Florida Code of Conduct https://www.dso.ufl.edu/sccr/process/student-‐conduct-‐honor-‐code
If you have additional questions, please refer to the Online Graduate Program Student Handbook you received when you were admitted into the Program.
Late Work and Make Up Policy
Work in the class must be turned in on time to receive full credit. Late work can only receive full credit in extreme circumstances (i.e. family emergencies.) If you anticipate not making a project deadline due to any emergency, please contact the instructor via email at firstname.lastname@example.org.
Late work will be docked the following points:
Requirements for class attendance and make-‐up exams, assignments, and other work in this course are consistent with university policies and can be found at:
https://catalog.ufl.edu/ugrad/current/regulations/info/attendance.aspx
Course Schedule/Due Dates
Discussion Posts: Tuesdays by 11:59 p.m., EST
Discussion Post Comments: Fridays by 11:59 p.m., EST
Course Social Media Post Discussion Board Posts (Weeks 8 and 9): Thursdays by 11:59 p.m., EST Course Social Media Post Discussion Board Comments (Weeks 8 and 9): Sundays at 11:59 p.m., EST
Assignment Due Dates:
Assignment 1: Friday, September 4 at 5 p.m., EST
Assignment 2: Monday, September 14 by 11:59 p.m., EST
Assignment 3: Friday, October 2 by 11:59 p.m. EST
Assignment 4: Monday, October 12 by 11:59 p.m. EST
Final Project in Microsoft Word: Wednesday, November 4 by 11:59 p.m. EST
Final Project Presentation: Powerpoint or Prezi presentation slidedeck due by Wednesday, November 4 by 5 p.m. EST
Recorded lectures will be posted weekly and should be watched before the initial discussion post is published live on Canvas.
SOCIAL MEDIA MANAGEMENT – FALL 2015
Weekly Course Work and Schedule
__________________________________________________________________________________________________
Note: Watch the Course Introduction Video on the home page of the class in Canvas before starting Week 1
WEEK ONE—August 24 -‐ 30, 2015
Introduction to Social Media Management
In this first week of this course, we will provide an overview of social media management including the skills of social media managers and how to find a client in need of social media services. Freelancing options, contracts, proposals, and client contact reports will be discussed.
Read:
Chapters 1 and 4 inMaximize Your Social
How to Find Clients on Social Media For Consultants:http://blog.hootsuite.com/how-‐to-‐findclients-‐on-‐social-‐media/
Top 6 Skills Employers Look For in a Social Media Manager:
‐
‐
http://www.business2community.com/socialmedia/top6skillsemployerslooksocialmediamanager01068415
10 Essential Skills a Social Media Manager Needs to Have on Their Resume:
‐
‐
http://www.jeffbullas.com/2015/02/11/10-‐essential-‐skills-‐a-‐social-‐media-‐manager-‐needs-‐tohave-‐on-‐their-‐resume/
Optional Readings:
Before You Begin: Key Considerations for All Social Media Marketing in500 Social Media Marketing Tips
How To Find Your First Social Media Client: http://alexisgrant.com/2013/07/01/firstpayingclient/
Watch:
Top 10 Social Media Community Manager Tips and Tricks:
https://www.youtube.com/watch?v=STpjpamPQaU
Introduction to Class Discussion Post
Introduce yourself to the class. What is your name and where are you from? Where do you work? Why are you in the MAMC Social Media program? What are you hoping to learn from this class?
This discussion post will serve as your introduction to the class.
________________________________________________________________
WEEK TWO: August 31 – September 6, 2015
Auditing Your Social Media Program
Before working on and executing a social media plan, a social media manager must conduct an audit of the existing social media channels of the brand they represent. We will discuss the components of a social media audit, how to conduct a competitive analysis, and how to create buyer personas.
‐
‐
‐
Read:
Chapter 4 inMaximize Your Social
The 5-‐Minute Social Media Audit Everyone Can Do:https://blog.bufferapp.com/social-‐media-‐audit How to Do a Social Media Audit for a Client:http://www.andreavahl.com/social-‐media/how-‐to-‐doa-‐social-‐media-‐audit-‐for-‐a-‐client.php
4 Reasons Buyer Personas Drive Social Media Engagement:
‐
http://www.business2community.com/social-‐media/4-‐reasons-‐buyer-‐personas-‐drive-‐socialmedia-‐engagement-‐01052052
Buyer Personas: The Keys to Content Marketing:
http://www.socialmediatoday.com/content/buyer-‐personas-‐keys-‐content-
How to Stalk Your Competitors in Social Media (So You Can Crush Them):
http://blog.hubspot.com/blog/tabid/6307/bid/33347/How-‐to-‐Stalk-‐Your-
Media-‐So-‐You-‐Can-‐Crush-‐Them.aspx
WEEK THREE: September 7 -‐ 13, 2015 Social Media Strategy & Tactics
A social media strategy is crucial to the success of any social media manager. We will discuss the components of a social media strategy including goals, objectives, social media channels, and creating a content strategy. We will also cover tactics and how they can help increase engagement and followers on social media. Creating a budget to cover the costs of each tactic will be addressed.
Read:
Chapters 2, 3, and 5 in Maximize Your Social
General Strategy for Super Social Media Marketing in500 Social Media Marketing Tips 8 Essential Elements of a Social Media Marketing Strategy:
http://www.socialmediaexaminer.com/essential-‐elements-‐social-‐media-‐marketing-‐strategy/ A Marketer's Guide to Gaining Attention on 12 Top Social Networks:
http://marketingland.com/over-‐20-‐experts-‐share-‐powerful-‐tips-‐for-‐top-‐social-‐media-‐platforms106380
7 Simple Yet Effective Social Media Tactics You Should Leverage Today:
‐
‐
‐
http://www.quicksprout.com/2013/08/15/7-‐simple-‐yet-‐effective-‐social-‐media-‐tactics-‐youshould-‐leverage-‐today/
50 Social Media Marketing Tips and Tactics:http://www.jeffbullas.com/2011/05/24/50-‐socialmedia-‐marketing-‐tips-‐and-‐tactics/
Watch:
Setting Digital Marketing and Social Media Goals: https://vimeo.com/55746373 What You Could Learn From Katy Perry's Social Media Strategy: http://www.entrepreneur.com/video/243982
Tools:
‐
‐
Social Media Strategy Guide:http://blog.hootsuite.com/guide-‐to-‐creating-‐a-‐social-‐media-‐strategy/ Social Media Strategy Template:http://www.marketo.com/_assets/uploads/2015-‐Sample-‐SocialMedia-‐Tactical-‐Plan-‐1.pdf
marketing
Competitors-
‐
‐
‐
‐
‐
in-
‐
‐
SocialWEEK FOUR: September 14-‐20, 2015 Content Management & Strategy
During this week of the course, we will discuss the various content platforms that are available for social media managers to leverage for social media content. These platforms include blogs, webinars, videos (YouTube), podcasts, and websites. We will also discuss how social media managers can create a content strategy and an editorial calendar so they can effectively manage their content. In addition, general best practices for social media content will be addressed.
Read:
Explained: The Best Types of Content to Post on Social Media in500 Social Media Marketing Tips 26 Tips to Create a Strong Social Media Content Strategy:
http://www.socialmediaexaminer.com/26-‐tips-‐to-‐create-‐a-‐strong-‐social-‐media-‐content-‐strategy/ New Data: What Types of Content Perform Best on Social Media:
http://blog.hubspot.com/marketing/content-‐social-‐media-‐popularity
100 Killer Ideas for Your Social Media Content:
http://www.forbes.com/sites/jaysondemers/2014/06/25/100-‐killer-‐ideas-‐for-‐your-‐social-‐mediacontent/
Practical Social Media Tips to Enhance Your Content Marketing: http://blog.hootsuite.com/socialmedia-‐tips-‐to-‐enhance-‐your-‐content-‐marketing/
Listen (Optional):
Podcast: Content Curation: How to Easily Find Great Content to Share: http://www.socialmediaexaminer.com/content-‐curation-‐easily-‐find-‐great-‐content-‐share/
Tools:
‐
Editorial Calendar Template: http://blog.hootsuite.com/social-‐media-‐templates/ Social Media Content Calendar Template: http://blog.hootsuite.com/social-‐media-‐templates/
______________________________________________________________________________
WEEK FIVE: September 21 – September 27, 2015 Social Media Channel Management & Strategy
In this week of the course, we will discuss how to create effective posts for each social media channel. Best practices for social media post writing, imagery, and branding for each social media channel will be discussed. You will be using the information you learn from the lecture and readings this week to create social media posts on the Course Social Media Post board in Canvas.
Read:
Among the list below, read the chapters in the 500 Social Media Marketing Tips textbook that cover the social media channels you selected for your brand:
*
Facebook Tips: Marketing Strategy You'll Like and Share
* Twitter Tips: Tweet Your Way to the Top
* Google+ Tips: Plus One Your Marketing Strategy
* Pinterest Tips: Pin Your Way to Marketing Perfection
* YouTube Tips: Video Made the Marketing Star
* LinkedIn Tips: Network Like Clockwork
* Instagram Tips: Snap-‐happy Marketing Strategy
* Vine Tips: Marvelous Marketing With Micro-‐Video
* Snapchat Tips: Self-‐Destructing Social Media Marketing
Optional Readings:
‐
‐
Free Guide: The Science of Success on Twitter: http://offers.hubspot.com/thescienceofsuccessontwitter
‐
Free Download: The Science of Facebook Marketing: http://offers.hubspot.com/thescienceoffacebookfree- chapter?__hstc=20629287.34449e2d9055fe3354c0bafb00fcef54.1391727898974.1399650440488 .1399689308762.21&__hssc=20629287.4.1399689308762&__hsfp=3526013846
How to Use LinkedIn: The Ultimate List of LinkedIn Tips:
http://blog.hubspot.com/blog/tabid/6307/bid/23454/The-‐Ultimate-‐Cheat-‐Sheet-‐for-‐MasteringLinkedIn.aspx
‐
Free eBook: An Introduction to Pinterest for Business: http://offers.hubspot.com/howtousepinterestfor- business?__hstc=20629287.34449e2d9055fe3354c0bafb00fcef54.1391727898974.139965044048 8.1399689308762.21&__hssc=20629287.4.1399689308762&__hsfp=3526013846
Free Guide: An Introduction to Google+ for Business: http://offers.hubspot.com/how-‐to-‐
use- google-
‐
plus-‐
for- business?__hstc=20629287.34449e2d9055fe3354c0bafb00fcef54.1391727898974.139965044048 8.1399689308762.21&__hssc=20629287.4.1399689308762&__hsfp=3526013846
Meerkat and Periscope: How Businesses Are Using Live Mobile Broadcasting:
http://www.socialmediaexaminer.com/meerkat-‐and-‐periscope-‐with-‐brian-‐fanzo/
SnapChat Marketing: What Businesses Need to Know:
http://www.socialmediaexaminer.com/snapchat-‐marketing-‐with-‐gary-‐vaynerchuk-‐and-‐shaunmcbride/
______________________________________________________________
WEEK SIX—September 28 – October 4, 2015 Social Media Lead Generation & Conversion
In this week, we will discuss how you can generate leads and convert those leads via social media. Topics such as gated content, call-‐to-‐action (CTA), promotion codes, Facebook tabs, social media campaigns, and social media advertising channels will be discussed.
Read:
5 Tips for Moving Social Media Leads Into the Sales Funnel:
http://www.socialmediaexaminer.com/5-‐tips-‐for-‐moving-‐social-‐media-‐leads-‐into-‐the-‐salesfunnel/
6 Need-‐to-‐Know Ideas on How to Generate Leads on Social Media:http://blog.hootsuite.com/howto-‐generate-‐leads-‐on-‐social-‐media/
How to Convert Leads With Social Media:
http://www.forbes.com/sites/drewhendricks/2014/04/03/how-‐to-‐convert-‐leads-‐with-‐socialmedia/
Social Media Campaign Strategy: What to do Before, After, and During a Campaign:
http://blog.hootsuite.com/social-‐media-‐campaign-‐strategy/
4 Awesome Social Media Campaigns of 2014:http://blog.hubspot.com/marketing/awesome-‐socialmedia-‐campaigns-‐of-‐2014
_______________________________________________________________________
WEEK SEVEN: October 5 -‐11, 2015
Maximizing Your Visibility: Social Media & SEO
In this week, we will discuss how you can maximize the visibility of your social media content by effectively optimizing your social media channels. Important SEO topics such as integrating social media with other markeitng channels, making images the proper sizes, adding Google Authorship to your blog, social media buttons and icons, keywords, and link building will be addressed.
Read:
Why Content Marketing and Social Media Are Your Most Powerful SEO Weapons:
http://blog.hootsuite.com/how-‐social-‐media-‐affects-‐seo/
A Handy Guide to Optimizing Your Social Media Channels:
http://blog.hubspot.com/marketing/optimizing-‐your-‐social-
5 Things You Need to Know About Social Media & SEO:
media-‐channels-‐
ht https://blog.kissmetrics.com/social-
‐
media- and-
‐
seo/
5 Reasons Social Media is Important for SEO:http://www.business2community.com/seo/5reasons-‐social-‐media-‐important-‐seo-‐0796387
‐
‐
The Role of Social Media in SEO:http://www.socialmediatoday.com/content/role-‐social-‐media-‐seo The Social Media Marketer's SEO Checklist: https://moz.com/blog/the-‐social-‐media-‐marketersseo-‐checklist
Tools:
‐
Social Media Image Sizes Cheat Sheet (Infographic): http://www.inc.com/larry-‐kim/social-‐mediaimage-‐sizes-‐cheat-‐sheet-‐infographic.html
What is SEO/Search Engine Optimization?: http://searchengineland.com/guide/what-‐is-‐seo Google AdWords Keyword Tool:https://adwords.google.com/select/KeywordToolExternal
Optional Video:
Video: SEO Explained:http://searchengineland.com/guide/what-‐is-‐seo
__________________________________________________________________________
WEEK EIGHT—October 12 – 18, 2015
Social Media Management Tools
In this week of the course, we will discuss tools that are available for social media managers to manage and measure their content and how they can be incorporated into a social media plan.
Read:
Social Media Management Tools: What's the Right Tool for Your Business?
‐
http://www.wordstream.com/blog/ws/2013/05/23/socialmediamanagementtools 12 Best Social Media Management Tools: https://blog.dashburst.com/bestsocialmediamanagementtools/
5 Top Social Media Dashboard Tools to Manage Your Social Accounts:
‐
‐
‐
‐
http://www.business2community.com/socialmedia/5topsocialmediadashboardtoolsmanagesocialaccounts01015451
‐
50 Top Tools for Social Media Monitoring, Analytics, and Engagement:
http://www.socialmediatoday.com/content/50-‐top-‐tools-‐social-‐media-‐monitoring-‐analytics-‐andmanagement
Course Social Media Post Discussion Board Assignment
Publish one post for each of your selected channels to the Course Social Media Post Discussion Board in Canvas. Your post needs to include text and a creative element (image, article, infographic, etc.). You will also need to post a comment telling the class which social media channel the post is intended for and why you feel it be a good fit for your selected brand.
3 social media posts due: Thursday by 11:59 p.m. EST.
Comment to at least two classmates posts: Sunday by 11:59 p.m. EST.
_______________________________________________________________________
WEEK NINE—October 19 – 25, 2015
Social Media ROI: Analytics and Reporting
In this week of the course, we will discuss the ROI of social media, social media analytical tools, how to generate a report showing social media analytics, and how to effectively sell your social media strategy plan to senior management.
Read:
Chapters 13, 16, and 17 inMaximize Your Social
How to Measure Your Social Media ROI Using Google Analytics:
http://www.socialmediaexaminer.com/measure-‐social-‐media-‐roi-‐using-‐google-‐analytics/
Expert Advice on How to Prove Social Media ROI:
http://blog.hootsuite.com/how-‐to-‐prove-‐social-‐media-‐roi/
How to Present Your Social Media ROI Report to the Boss:
http://www.socialmediaexaminer.com/social-‐media-‐roi-‐report/
Social Media ROI: 11 Free Tools for Measuring Social Media Success:
‐
‐
http://searchenginewatch.com/sew/how-‐to/2308870/social-‐media-‐roi-‐11-‐free-‐tools-‐formeasuring-‐social-‐media-‐success
Know What's Working on Social Media: 19 Free Social Media Analytics Tools:
https://blog.bufferapp.com/social-‐media-‐analytics-‐tools
The Top 5 Google Analytics Reports for Social Media Marketers:
‐
http://www.convinceandconvert.com/social-‐media-‐measurement/the-‐5-‐top-‐google-‐analyticsreports-‐for-‐social-‐media-‐marketers/
Course Social Media Post Discussion Board Assignment
Publish one post for each of your selected channels to the Course Social Media Post Discussion Board in Canvas. Your post needs to include text and a creative element (image, article, infographic, etc.). You will also need to post a comment telling the class which social media channel the post is intended for and why you feel it be a good fit for your selected brand.
3 social media posts due: Thursday by 11:59 p.m. EST.
Comment to at least two classmates posts: Sunday by 11:59 p.m. EST.
‐
‐
‐
_______________________________________________________________________
WEEK TEN—October 26 – November 1, 2015 Community Management: Listening & Monitoring
Every social media manager needs to know how to be a good community manager. This includes monitoring social media posts, listening to customers, responding to comments both negative and positive, and reaching out to key influencers and turning them into social media brand ambassadors.
Read:
26 Tips for Managing a Social Media Community:http://www.socialmediaexaminer.com/socialmedia-‐community-‐management/
6 Questions for 6 Community Managers:https://www.socialmediaexplorer.com/mediajournalism/6-‐questions-‐for-‐6-‐community-‐managers/
The Art of Response on Social Media:http://www.entrepreneur.com/article/227580 How to Handle Negative Feedback in Social Media Like a Pro: http://www.inc.com/marlatabaka/how-‐to-‐handle-‐negative-‐feedback-‐in-‐social-‐media-‐like-‐a-‐pro.html
Don't Delete Negative Comments. Say "I'm Sorry"
http://www.inc.com/dave-‐kerpen/social-‐media-‐customer-
10 Examples of Social Media Command Centers:
http://www.exacttarget.com/sites/exacttarget/files/10-‐Examples-
Centers.pdf
Watch:
Responding to Negative Feedback on Social Media:
https://www.youtube.com/watch?v=ST0ITi6rbN8
WEEK ELEVEN— November 2 – 8, 2015 Social Media Crisis Management
A social media crisis can be damaging for a brand. We will look at some case studies of brands that handled crises effectively and those that handled them poorly and the consequences of not responding appropriately. We will discuss how to create a social media crisis management plan and a social media policy to help avoid crises and to have a plan of action in case they do happen.
Read:
Chapter 14 inMaxmize Your Social
Don't Be Scared Be Prepared – How to Manage a Social Media Crisis:
‐
http://www.convinceandconvert.com/social-‐media-‐strategy/dont-‐be-‐scared-‐be-‐prepared-‐how-‐tomanage-‐a-‐social-‐media-‐crisis/
10 Tips For Reputation And Crisis Management in the Digital World:
http://www.forbes.com/sites/ekaterinawalter/2013/11/12/10-‐tips-‐
for- management-
‐
in-‐the-‐digital-‐world/
4 Brand-‐Saving Recommendations for Social Media Crisis Management:
‐
‐
‐
‐
http://www.convinceandconvert.com/socialmediastrategy/4brandsavingrecommendationsforsocialmediacrisismanagement/
reputation-‐and-‐crisis-
‐
‐
‐
complaints-‐apologize.html
of-‐Social-‐Media-‐Command‐
‐
‐
‐
‐
‐
‐
WEEK TWELVE—November 9 -‐ 15, 2015 The Future of Social Media Management
In this last week of the course, we will discuss the future evolution of social media and how emerging technologies such as geo-‐location, wearable tech, big data, and more will impact how people share and communicate online. We will also discuss how social media managers can effectively stay on top of the latest social media trends and channel updates and how to continually innovate their strategies.
Read:
‐
‐
Chapter 18 inMaximize Your Social
5 Predictions for the Future of Social Media: http://www.inc.com/aj- agrawal/5- predictions- of- the- future- of- social- media.html
Social Media Marketing: Staying Up on Trends: http://www.business2community.com/social- media/social- media- marketing- staying- trends- 0971753
How to Consistently Keep Up With the Latest Social Media Trends:
http://blog.hubspot.com/marketing/keep- up- with- latest- social- trends
Is Video the Future of Social Marketing?:
http://www.socialmediatoday.com/marketing/carianneking/2015- 07- 29/video- future- social- marketing- infographic
_______________________________________________________________________
Disclaimer:
This syllabus represents my current plans and objectives. As we go through the semester, those plans may need to change to enhance the class learning opportunity. Such changes, communicated clearly, are not unusual and should be expected.
‐
‐
‐
|
FALL 2006 EXAM C SOLUTIONS
Question #1
Key: E
With n + 1 = 16, we need the 0.3(16) = 4.8 and 0.65(16) = 10.4 smallest observations. They are 0.2(280) + 0.8(350) = 336 and 0.6(450) + 0.4(490) = 466.
The equations to solve are:
0.282814 (336/ 466)
γ
=
γ 3.8614.
=
Question #2
Key: D
Let E be the even of having 1 claim in the first four years. In four years, the total number of claims is Poisson(4λ ).
The Bayesian estimate of the number of claims in Year 5 is: 0.14427(0.25) + 0.42465(0.5) + 0.43108(1) = 0.67947.
Question #3
Key: B
```
The sample mean is 0.2(400) + 0.7(800) + 0.1(1600) = 800. The sample variance is 2 2 2 0.2(400 800) 0.7(800 800) 0.1(1600 800) 96,000 − + − + − = . The sample third central moment is 3 3 3 0.2(400 800) 0.7(800 800) 0.1(1600 800) 38,400,000 − + − + − = .
```
The skewness coefficient is 1.5 38,400,000/96,000 1.29 =.
Question #4
Key: C
Because 0.656 < 0.7654 < 0.773, the simulated number of losses is 4. To simulate a loss by inversion, use
With a deductible of 150, the first loss produces no payments and 113.12 toward the 500 limit. The second loss produces a payment of 20.18 and the insured is now out-of-pocket 263.12. The third loss produces a payment of 86.75 and the insured is out 413.12. The deductible on the fourth loss is then 86.88 for a payment of 204.29 – 86.88 = 117.51.
The total paid by the insurer is 20.18 + 86.75 + 117.51 = 224.44.
Question #5
Key: A
The density function is 2 / ( ) x f x x e θ θ − − = and the likelihood function is
θ= 3/ 0.148184 = 20.25.
The mode is / 2 20.25/ 2 10.125 θ = =.
Question #6
Key: D
We have ( ) 4 and 4E( ) 4(600) 2400 μ θ θ μ θ = = = = . The average loss for Years 1 and 2 is 1650 and so 1800 (1650) (1 )(2400) Z Z = + − which gives Z = 0.8. Because there were two years, 0.8 2/(2 ) Z k = = + which gives k = 0.5.
For three years, the revised value is 3/(3 0.5) 6/ 7 Z = + = and the revised credibility estimate (using the new sample mean of 2021), (6/ 7)(2021) (1/ 7)(2400) 2075.14 + = .
Question #7
Key: B
The uncensored observations are 4 and 8 (values beyond 11 are not needed). The two r values are 10 and 5 and the two s values are 2 and 1. The Kaplan-Meier estimate is
ˆ(11) (8/10)(4/5) 0.64 S = = and Greenwood's estimate is 2 2 1 (0.64) 0.03072 10(8) 5(4) ⎛ ⎞ + = ⎜ ⎟ ⎝ ⎠ .
Question #8
Key: C
There are two ways to approach this problem. One is LaGrange's formula:
Or, if the equation is 2 ( ) f x a bx cx = + + then three equations must be satisfied:
25 2 4
a b c
= + +
20 4 16 a b c = + +
The solutions isa= 63.3333,
63.3333 27.5(3)
−
Question #9
Key: E
S | ~ ( ,)
m
Q bin m Qand
~ (1,99)
Q beta. Then
1 ( ) [ ( | )] ( ) 0.01 1 99 m m E S E E S Q E mQ m m = = = = + . For the mean to be at least 50, m must be at least 5,000.
Question #10
Key: D
The posterior distribution is
4 50 90 7 2 2 3 17 150 ( | ) ( ) ( ) ( ) ( ) e data e e e e e λ λ λ λ λ λ λ π λ λ λ λ λ λ − − − − − − ∝ = which is a gamma distribution with parameters 18 and 1/150. For one risk, the estimated value is the mean, 18/150. For 100 risks it is 100(18)/150 = 12.
Alternatively,
The prior distribution is gamma with α = 4 and β = 50. The posterior will be continue to be gamma, with α / = α + no. of claims = 4 + 14 = 18 and β / = β + no. of exposures = 50 + 100 = 150. Mean of the posterior = α / β = 18/150 = 0.12. Expected number of claims for the portfolio = 0.12 (100) = 12.
b
4.1667(9)
= -27.5, andc
18.33.
+
=
= 4.1667. The answer is
Key: E
Question #12
Key: B
Question #13
Key: C
The estimate of the overall mean, μ , is the sample mean, per vehicle, which is 7/10 = 0.7. With the Poisson assumption, this is also the estimate of v = EPV. The means for the two insureds are 2/5 = 0.4 and 5/5 = 1.0. The estimate of a is the usual non-parametric estimate,
(The above formula: Loss Models page 596, Herzog page 116, Dean page 25)
Then, k = 0.7/0.04 = 17.5 and so Z = 5/(5+17.5) = 2/9. The estimate for insured A is (2/9)(0.4) + (7/9)(0.7) = 0.6333.
Key: A
Item (i) indicates that X must one of the four given values.
Item (ii) indicates that X cannot be 200
Item (iii) indicates that X cannot be 400.
First assume X = 100. Then the values of r are 5, 3, 2, and 1 and the values of s are 2, 1, 1, and
1. Then ˆ (410)
2.23
2 1 1 1
5 3 2 1
H = + + + = and thus the answer is 100. As a check, ifX= 300, ther
values are 5, 4, 3, and 1 and the s values are 1, 1, 2, and 1. Then, 1 1 2 1 ˆ (410) 2.12 5 4 3 1 H = + + + = .
Question #15
Key: B
The estimator of the Poisson parameter is the sample mean. Then,
Var
ˆ
( ) () /
Var X n
λ λ =
=
It is estimated by 1/ nλ =
Question #16
Key: E
Then,
(
2 1
|
5)
E X
X =
Question #17
Key: D
(1) 40 0 0.9474(0.8611) 0.8158 p′ = = . Out of 1000 at age 0, 816 are expected to survive to age 40.
= E( | θ X
1
= 5) = 0.867035(8) + 0.132965(2) = 7.202.
1/ 39 = 0.1601.
Key: D
p 15. =
The denominator in the likelihood function is S(4) to the power of five to reflect the fact that it is known that each observation is greater than 4.
Question #19
Key: B
( ) μ λ
μ
( ) v λ =
E( )
λ
= 0.1 (1 1/ 2) 0.088623
=
v λ = =
Γ + =
a
VHM =
2
2
( ) (0.1) (1 2/ 2) 0.088623 0.002146
Var λ = = Γ + −
=
The estimate for one insured for one month is + = For 300 insureds for 12 months it is
0.92371(35/500) 0.07629(0.088623) 0.07142. (300)(12)(0.07142) = 257.11.
Question #20
Key: D
With no censoring the r values are 12, 9, 8, 7, 6, 4, and 3 and the s values are 3, 1, 1, 1, 2, 1, 1 (the two values at 7500 are not needed). Then,
With censoring, there are only five uncensored values with r values of 9, 8, 7, 4, and 3 and all five s values are 1. Then,
Key: A
The simulated paid loss is 1 exp[0.494 ( ) 13.294] u − Φ + where 1( ) u − Φ is the inverse of the standard normal distribution function. The four simulated paid losses are 450,161, 330,041, 939,798, and 688,451 for an average of 602,113. The multiplier for unpaid losses is 0.851 0.747(2006 2005) 0.801(2006 2005) 0.3795 e − − − = and the answer is 0.3795(602,113) = 228,502
Question #22
Key: A
The deduction to get the SBC is ( / 2)ln( ) ( / 2)ln(260) 2.78 r n r r = = where r is the number of parameters. The SBC values are then -416.78, -417.56, -419.34, -420.12, and -425.68. The largest value is the first one, so model I is to be selected.
Question #23
Key: E
Then,
Rearrange to obtain
0.82218 0.037103(3 )
+
0.54628
r
=
r
0.00025(3 )
=
r 7. =
Because the risks are Poisson, (μ = EPV, a = VHM):
v ( ) 0.75(1) 0.25(3) 1.5
E
μ λ = = =
a ( ) 0.75(1)
+ =
0.25(9) 2.25 0.75
Var λ = = + − =
and the estimate is (1/3)(7) + (2/3)(1.5) = 3.33.
0.2759 +
r
0.03735(3 )
Key: E
The uniform kernel spreads the probability of 0.1 to 10 units each side of an observation. So the observation at 25 contributes a density of 0.005 from 15 to 35, contributing nothing to survival past age 40. The same applies to the point at 30. For the next 7 points:
```
35 contributes probability from 25 to 45 for 5(0.005) = 0.025 above age 40. 37 contributes probability from 27 to 47 for 7(0.005) = 0.035 above age 40. 39 contributes probability from 29 to 49 for 9(0.005) = 0.045 above age 40. 45 contributes probability from 35 to 55 for 15(0.005) = 0.075 above age 40. 47 contributes probability from 37 to 57 for 17(0.005) = 0.085 above age 40. 49 contributes probability from 39 to 59 for 19(0.005) = 0.095 above age 40. The observation at 55 contributes all 0.1 of probability. The total is 0.485.
```
Question #25
Key: D
Question #26
Key: A
X ~ Exp
n
i 1 =
∑
X ~ ( , / ) n n θ Γ
The second line follows because an exponential distribution is a gamma distribution with α = 1 and the sum of independent gamma random variables is gamma with the "α " parameters added. The third line follows because the gamma distribution is a scale distribution. Multiplying by 1/n retains the gamma distribution with the "θ " parameter multiplied by 1/n.
) θ (
i
~ Γ( , ) n θ X
Key: C
The sample means are 3, 5, and 4 and the overall mean is 4. Then,
Question #28
Key: C
The ordered values are:
22t, 25t, 27h, 28t, 31h, 33t, 35h, 39t, 42h, and 45h where t is a traditional car and h is a hybrid car. The s values are all 1 because there are no duplicate values. The c values are 1 for traditional cars and 1 e − for hybrid cars. Then
Question #29
Key: C
The mode can be determined by setting the derivative equal to zero.
q 0.5.
=
Question #30
Key: B
For the severity distribution the mean is 5,000 and the variance is 10,000 2 /12. For credibility based on accuracy with regard to the number of claims,
where z is the appropriate value from the standard normal distribution. For credibility based on accuracy with regard to the total cost of claims, the number of claims needed is
Key: C
The solution is k = 36.
Question #32
Key: A
The annual dental charges are simulated from
The four simulated values are 356.67, 2525.73, 1203.97, and 83.38. The reimbursements are 205.34 (80% of 256.67), 1000 (the maximum), 883.18 (80% of 1103.97), and 0. The total is 2088.52 and the average is 522.13.
Question #33
Key: B
110 20 θ =
Key: A
The maximum likelihood estimate is ˆ 1000 x θ = = . The quantity to be estimated is ( ) exp( 1500/ ) S θ θ = − and 2 ( ) 1500 exp( 1500/ ) S θ θ θ − ′ = − . For the delta method, 2 ˆ ˆ ˆ [ ( )] [ ( )] ( ) Var S S Var θ θ θ ′ ≅
=
2
2
2
[1500(1000) exp( 1500/1000)] (1000 /6)
−
−
= 0.01867.
This is based on 2 ˆ ( ) ( ) ( ) / / Var Var X Var X n n θ θ = = =.
Question #35
Key: A
Based on the information given
Then,
and these linear equations can be solved for x = 119.37.
|
Stream:
Internet Engineering Task Force (IETF)
RFC:
8775
Category:
Standards Track
Published:
April 2020
ISSN:
2070-1721
Authors:
Y. Cai
Alibaba Group
H. Ou
Alibaba Group
S. Vallepalli M. Mishra
Cisco Systems, Inc.
S. Venaas
Cisco Systems, Inc.
A. Green
British Telecom
RFC 8775
PIM Designated Router Load Balancing
Abstract
On a multi-access network, one of the PIM-SM (PIM Sparse Mode) routers is elected as a Designated Router. One of the responsibilities of the Designated Router is to track local multicast listeners and forward data to these listeners if the group is operating in PIM-SM. This document specifies a modification to the PIM-SM protocol that allows more than one of the PIM-SM routers to take on this responsibility so that the forwarding load can be distributed among multiple routers.
Status of This Memo
This is an Internet Standards Track document.
This document is a product of the Internet Engineering Task Force (IETF). It represents the consensus of the IETF community. It has received public review and has been approved for publication by the Internet Engineering Steering Group (IESG). Further information on Internet Standards is available in Section 2 of RFC 7841.
Information about the current status of this document, any errata, and how to provide feedback on it may be obtained at . https://www.rfc-editor.org/info/rfc8775
Copyright Notice
Copyright (c) 2020 IETF Trust and the persons identified as the document authors. All rights reserved.
This document is subject to BCP 78 and the IETF Trust's Legal Provisions Relating to IETF Documents ( ) in effect on the date of publication of this document. Please review these documents carefully, as they describe your rights and restrictions https://trustee.ietf.org/license-info
with respect to this document. Code Components extracted from this document must include Simplified BSD License text as described in Section 4.e of the Trust Legal Provisions and are provided without warranty as described in the Simplified BSD License.
Table of Contents
1. Introduction
2. Terminology
3. Applicability
4. Functional Overview
4.1. GDR Candidates
5. Protocol Specification
5.1. Hash Mask and Hash Algorithm
5.2. Modulo Hash Algorithm
5.2.1. Modulo Hash Algorithm Examples
5.2.2. Limitations
5.3. PIM Hello Options
5.3.1. PIM DR Load-Balancing Capability (DRLB-Cap) Hello Option
5.3.2. PIM DR Load-Balancing List (DRLB-List) Hello Option
5.4. PIM DR Operation
5.5. PIM GDR Candidate Operation
5.6. DRLB-List Hello Option Processing
5.7. PIM Assert Modification
5.8. Backward Compatibility
6. Operational Considerations
7. IANA Considerations
7.1. Initial Registry
7.2. Assignment of New Hash Algorithms
8. Security Considerations
9. References
9.1. Normative References
9.2. Informative References
Acknowledgements
Authors' Addresses
1. Introduction
On a multi-access LAN (such as an Ethernet) with one or more PIM-SM (PIM Sparse Mode) routers, one of the PIM-SM routers is elected as a Designated Router (DR). The PIM DR has two responsibilities in the PIM-SM protocol. For any active sources on a LAN, the PIM DR is responsible for registering with the Rendezvous Point (RP) if the group is operating in PIM-SM. Also, the PIM DR is responsible for tracking local multicast listeners and forwarding data to these listeners if the group is operating in PIM-SM. [RFC7761]
Consider the following LAN in Figure 1:
Assume R1 is elected as the DR. According to the PIM-SM protocol, R1 will be responsible for forwarding traffic to that LAN on behalf of all local members. In addition to keeping track of membership reports, R1 is also responsible for initiating the creation of source and/or shared trees towards the senders or the RPs. The membership reports would be IGMP or Multicast Listener Discovery (MLD) messages. This applies to any versions of the IGMP and MLD protocols. The most recent versions are IGMPv3 and MLDv2 . [RFC3376] [RFC3810]
Having a single router acting as DR and being responsible for data-plane forwarding leads to several issues. One of the issues is that the aggregated bandwidth will be limited to what R1 can handle with regards to capacity of incoming links, the interface on the LAN, and total forwarding capacity. It is very common that a LAN consists of switches that run IGMP/MLD or PIM snooping . This allows the forwarding of multicast packets to be restricted only to segments leading to receivers that have indicated their interest in multicast groups using either IGMP or [RFC4541]
MLD. The emergence of the switched Ethernet allows the aggregated bandwidth to exceed, sometimes by a large number, that of a single link. For example, let us modify Figure 1 and introduce an Ethernet switch in Figure 2.
Let us assume that each individual link is a Gigabit Ethernet. Each router (R1, R2, and R3) and the switch have enough forwarding capacity to handle hundreds of gigabits of data.
Let us further assume that each of the hosts requests 500 Mbps of unique multicast data. This totals to 1.5 Gbps of data, which is less than what each switch or the combined uplink bandwidth across the routers can handle, even under failure of a single router.
On the other hand, the link between R1 and switch, via port gi1, can only handle a throughput of 1 Gbps. And if R1 is the only DR (the PIM DR elected using the procedure defined by ), at least 500 Mbps worth of data will be lost because the only link that can be used to draw the traffic from the routers to the switch is via gi1. In other words, the entire network's throughput is limited by the single connection between the PIM DR and the switch (or LAN, as in Figure 1). [RFC7761]
Another important issue is related to failover. If R1 is the only forwarder on a shared LAN, when R1 goes out of service, multicast forwarding for the entire LAN has to be rebuilt by the newly elected PIM DR. However, if there were a way that allowed multiple routers to forward to the LAN for different groups, failure of one of the routers would only lead to disruption to a subset of the flows, therefore improving the overall resilience of the network.
This document specifies a modification to the PIM-SM protocol that allows more than one of these routers, called Group Designated Routers (GDRs), to be selected so that the forwarding load can be distributed among a number of routers.
2. Terminology
The key words " ", " ", " ", " ", " ", " ", " ", " ", " ", " ", and " " in this document are to be interpreted as described in BCP 14 when, and only when, they appear in all capitals, as shown here. MUST MUST NOT REQUIRED SHALL SHALL NOT SHOULD SHOULD NOT RECOMMENDED NOT RECOMMENDED MAY OPTIONAL [RFC2119] [RFC8174]
With respect to PIM-SM, this document follows the terminology that has been defined in . [RFC7761]
This document also introduces the following new acronyms:
GDR: Group Designated Router. For each multicast flow, either a (*,G) for Any-Source Multicast (ASM) or an (S,G) for Source-Specific Multicast (SSM) , a hash algorithm (described below) is used to select one of the routers as a GDR. The GDR is responsible for initiating the forwarding tree building process for the corresponding multicast flow. [RFC4607]
GDR Candidate: a router that has the potential to become a GDR. There might be multiple GDR Candidates on a LAN, but only one can become the GDR for a specific multicast flow.
3. Applicability
The extension specified in this document applies to PIM-SM routers acting as last-hop routers (there are directly connected receivers). It does not alter the behavior of a PIM DR or any other routers on the first-hop network (directly connected sources). This is because the source tree is built using the IP address of the sender, not the IP address of the PIM DR that sends PIM registers towards the RP. The load balancing between first-hop routers can be achieved naturally if an IGP provides equal cost multiple paths (which it usually does in practice). Also, distributing the load to do source registration does not justify the additional complexity required to support it.
4. Functional Overview
In the PIM DR election as defined in , when multiple routers are connected to a multiaccess LAN (for example, an Ethernet), one of them is elected to act as PIM DR. The PIM DR is responsible for sending local Join/Prune messages towards the RP or source. In order to elect the PIM DR, each PIM router on the LAN examines the received PIM Hello messages and compares its own DR priority and IP address with those of its neighbors. The router with the highest DR priority is the PIM DR. If there are multiple such routers, their IP addresses are used as the tiebreaker, as described in . [RFC7761] [RFC7761]
In order to share forwarding load among last-hop routers, besides the normal PIM DR election, one or more GDRs are elected on the multi-access LAN. There is only one PIM DR on the multiaccess LAN, but there might be multiple GDR Candidates.
For each multicast flow, that is, (*,G) for ASM and (S,G) for SSM, a hash algorithm (Section 5.1) is used to select one of the routers to be the GDR. The new DR Load-Balancing Capability (DRLBCap) PIM Hello Option is used to announce the Capability, as well as the hash algorithm type. Routers with the new DRLB-Cap Option advertised in their PIM Hello, using the same GDR election hash algorithm and the same DR priority as the PIM DR, are considered as GDR Candidates.
Hash masks are defined for Source, Group, and RP, separately, in order to handle PIM ASM/SSM. The masks, as well as a sorted list of GDR Candidate addresses, are announced by the DR in a new DR Load-Balancing List (DRLB-List) PIM Hello Option.
Standards Track
A hash algorithm based on the announced Source, Group, or RP masks allows one GDR to be assigned to a corresponding multicast state. That GDR is responsible for initiating the creation of the multicast forwarding tree for multicast traffic.
4.1. GDR Candidates
GDR is the new concept introduced by this specification. GDR Candidates are routers eligible for GDR election on the LAN. To become a GDR Candidate, a router must have the same DR priority and run the same GDR election hash algorithm as the DR on the LAN.
For example, assume there are 4 routers on the LAN: R1, R2, R3, and R4, each announcing a DRLB-Cap Option. R1, R2, and R3 have the same DR priority, while R4's DR priority is less preferred. In this example, R4 will not be eligible for GDR election, because R4 will not become a PIM DR unless all of R1, R2, and R3 go out of service.
Furthermore, assume router R1 wins the PIM DR election, R1 and R2 advertise the same hash algorithm for GDR election, while R3 advertises a different one. In this case, only R1 and R2 will be eligible for GDR election, while R3 will not.
As a DR, R1 will include its own Load-Balancing Hash Masks and the identity of R1 and R2 (the GDR Candidates) in its DRLB-List Hello Option.
5. Protocol Specification
5.1. Hash Mask and Hash Algorithm
A hash mask is used to extract a number of bits from the corresponding IP address field (32 for IPv4, 128 for IPv6) and calculate a hash value. A hash value is used to select a GDR from GDR Candidates advertised by the PIM DR. Hash masks allow for certain flows to always be forwarded by the same GDR, by ignoring certain bits in the hash value calculation, so that the hash values are the same. For example, 0.0.255.0 defines a hash mask for an IPv4 address that masks the first, second, and fourth octets, which means that only the third octet will influence the hash value computed. Note that the masks need not be a contiguous set of bits. For example, for IPv4, 22.214.171.124 would be a valid mask.
In the text below, a hash mask is, in some places, said to be zero. A hash mask is zero if no bits are set, that is, 0.0.0.0 for IPv4 and :: for IPv6. Also, a hash mask is said to be an all-bits-set mask if it is 255.255.255.255 for IPv4 or ffff:ffff:ffff:ffff:ffff:ffff:ffff:ffff for IPv6.
There are three hash masks defined:
RP Hash Mask •
Source Hash Mask •
Group Hash Mask •
The hash masks need to be configured on the PIM routers that can potentially become a PIM DR, unless the implementation provides default hash mask values. An implementation have default hash mask values as follows. The default RP Hash Mask be zero (no bits set). The default Source and Group Hash Masks both be all-bits-set masks. These default values are likely acceptable for most deployments and simplify configuration. There is only a need to use other masks if one needs to ensure that certain flows are forwarded by the same GDR. SHOULD SHOULD SHOULD
The DRLB-List Hello Option contains a list of GDR Candidates. The first one listed has ordinal number 0, the second listed ordinal number 1, and the last one has ordinal number N - 1 if there are N candidates listed. The hash value computed will be the ordinal number of the GDR Candidate that is acting as GDR for the flow in question.
The input to be hashed is determined as follows:
If the group is in ASM mode and the RP Hash Mask announced by the PIM DR is not zero (at least one bit is set), calculate the value of hashvalue_RP (Section 5.2) to determine the GDR. •
If the group is in ASM mode and the RP Hash Mask announced by the PIM DR is zero (no bits are set), obtain the value of hashvalue_Group (Section 5.2) to determine the GDR. •
If the group is in SSM mode, use hashvalue_SG (Section 5.2) to determine the GDR. •
A simple modulo hash algorithm is defined in this document. However, to allow another hash algorithm to be used, a 1-octet "Hash Algorithm" field is included in the DRLB-Cap Hello Option to specify the hash algorithm used by the router.
If different hash algorithms are advertised among the routers on a LAN, only the routers advertising the same hash algorithm as the DR (as well as having the same DR priority as the DR) are eligible for GDR election.
5.2. Modulo Hash Algorithm
As part of computing the hash, the notation LSZC(hash_mask) is used to denote the number of zeroes counted from the least significant bit of a hash mask hash_mask. As an example, LSZC (255.255.128) is 7 and LSZC(ffff:8000::) is 111. If all bits are set, LSZC will be 0. If the mask is zero, then LSZC will be 32 for IPv4 and 128 for IPv6.
The number of GDR Candidates is denoted as GDRC.
The idea behind the modulo hash algorithm is, in simple terms, that the corresponding mask is applied to a value, then the result is shifted right LSZC(mask) bits so that the least significant bits that were masked out are not considered. Then, this result is masked by 0xffffffff, keeping only the last 32 bits of the result (this only makes a difference for IPv6). Finally, the hash value is this result modulo the number of GDR Candidates (GDRC).
The modulo hash algorithm, for computing the values hashvalue_RP, hashvalue_Group, and hashvalue_SG, is defined as follows.
hashvalue_RP is calculated as:
```
(((RP_address & RP_mask) >> LSZC(RP_mask)) & 0xffffffff) % GDRC
```
RP_address is the address of the RP defined for the group, and RP_mask is the RP Hash Mask.
hashvalue_Group is calculated as:
```
(((Group_address & Group_mask) >> LSZC(Group_mask)) & 0xffffffff) % GDRC
```
Group_address is the group address, and Group_mask is the Group Hash Mask.
hashvalue_SG is calculated as:
```
((((Source_address & Source_mask) >> LSZC(Source_mask)) & 0xffffffff) ^ (((Group_address & Group_mask) >> LSZC(Group_mask)) & 0xffffffff)) % GDRC
```
Group_address is the group address, and Group_mask is the Group Hash Mask.
5.2.1. Modulo Hash Algorithm Examples
To help illustrate the algorithm, consider this example. Router X with IPv4 address 203.0.113.1 receives a DRLB-List Hello Option from the DR that announces RP Hash Mask 0.0.255.0 and a list of GDR Candidates, sorted by IP addresses from high to low: 203.0.113.3, 203.0.113.2, and 203.0.113.1. The ordinal number assigned to those addresses would be:
0 for 203.0.113.3; 1 for 203.0.113.2; 2 for 203.0.113.1 (Router X).
Assume there are 2 RPs: RP1 192.0.2.1 for Group1 and RP2 198.51.100.2 for Group2. Following the modulo hash algorithm:
LSZC(0.0.255.0) is 8, and GDRC is 3. The hashvalue_RP for Group1 with RP RP1 is: •
```
(((192.0.2.1 & 0.0.255.0) >> 8) & 0xffffffff % 3) = 2 % 3 = 2
```
This matches the ordinal number assigned to Router X. Router X will be the GDR for Group1.
The hashvalue_RP for Group2 with RP RP2 is: •
```
(((198.51.100.2 & 0.0.255.0) >> 8) & 0xffffffff % 3) = 100 % 3 = 1
```
This is different from the ordinal number of Router X (2). Hence, Router X will not be GDR for Group2.
For IPv6, consider this example, similar to the above. Router X with IPv6 address fe80::1 receives a DRLB-List Hello Option from the DR that announces RP Hash Mask ::ffff:ffff:ffff:0 and a list of GDR Candidates, sorted by IP addresses from high to low: fe80::3, fe80::2, and fe80::1. The ordinal number assigned to those addresses would be:
```
0 for fe80::3; 1 for fe80::2; 2 for fe80::1 (Router X).
```
Assume there are 2 RPs: RP1 2001:db8::1:0:5678:1 for Group1 and RP2 2001:db8::1:0:1234:2 for Group2. Following the modulo hash algorithm:
LSZC(::ffff:ffff:ffff:0) is 16, and GDRC is 3. The hashvalue_RP for Group1 with RP RP1 is: •
```
(((2001:db8::1:0:5678:1 & ::ffff:ffff:ffff:0) >> 16) & 0xffffffff % 3) = ((::1:0:5678:0 >> 16) & 0xffffffff % 3) = (::1:0:5678 & 0xffffffff % 3) = ::5678 % 3 = 2
```
This matches the ordinal number assigned to Router X. Router X will be the GDR for Group1.
The hashvalue_RP for Group2 with RP RP2 is: •
```
(((2001:db8::1:0:1234:1 & ::ffff:ffff:ffff:0) >> 16) & 0xffffffff % 3) = ((::1:0:1234:0 >> 16) & 0xffffffff % 3) = (::1:0:1234 & 0xffffffff % 3) = ::1234 % 3 = 1
```
This is different from the ordinal number of Router X (2). Hence, Router X will not be GDR for Group2.
5.2.2. Limitations
The modulo hash algorithm has poor failover characteristics when a shared LAN has more than two GDRs. In the case of more than two GDRs on a LAN, when one GDR fails, all of the groups may be reassigned to a different GDR, even if they were not assigned to the failed GDR. However, many deployments use only two routers on a shared LAN for redundancy purposes. Future work may define new hash algorithms where only groups assigned to the failed GDR get reassigned.
The modulo hash algorithm will use, at most, 32 consecutive bits of the input addresses for its computation. Exactly which bits are used of the source, group, or RP addresses depend on the respective masks. This limitation may be an issue for IPv6 deployments, since not all bits of the IPv6 addresses are considered. If this causes operational issues, a new hash algorithm would need to be defined.
5.3. PIM Hello Options
PIM routers include a new option, called "Load-Balancing Capability (DRLB-Cap)", in their PIM Hello messages.
Besides this DRLB-Cap Hello Option, the elected PIM DR also includes a new "DR Load-Balancing List (DRLB-List) Hello Option". The DRLB-List Hello Option consists of three hash masks, as defined above, and also a list of GDR Candidate addresses on the LAN. It is recommended that the GDR Candidate addresses are sorted in descending order. This ensures that when using algorithms, such as the modulo hash algorithm in this document, that it is predictable which GDR is responsible for which groups, regardless of the order the DR learned about the candidates.
5.3.1. PIM DR Load-Balancing Capability (DRLB-Cap) Hello Option
Type:
Length:
Reserved: Transmitted as zero, ignored on receipt.
34
4
Hash Algorithm: Hash algorithm type. A value listed in the IANA "PIM Designated Router LoadBalancing Hash Algorithms" registry. 0 is used for the hash algorithm defined in this document.
This DRLB-Cap Hello Option be advertised by routers on all interfaces where DR Load Balancing is enabled. Note that the option is included, at most, once. MUST
5.3.2. PIM DR Load-Balancing List (DRLB-List) Hello Option
Type:
Length:
Group Mask (32/128 bits):
Source Mask (32/128 bits):
RP Mask (32/128 bits): Mask applied to RP addresses as part of hash computation.
GDR Candidate Address(es) (32/128 bits):
35
(3 + n) x (4 or 16) bytes, where n is the number of GDR Candidates.
Mask applied to group addresses as part of hash computation.
Mask applied to source addresses as part of hash computation.
All masks have the same number of bits as the IP source address in the PIM Hello IP header. MUST
List of GDR Candidate(s)
All addresses be in the same address family as the PIM Hello IP header. It is MUST
recommended that the addresses are sorted in descending order.
If the "Interface ID" option, as specified in , is present in a GDR Candidate's PIM Hello message and the "Router Identifier" portion is non-zero: [RFC6395]
For IPv4, the "GDR Candidate Address" will be set directly to the "Router Identifier". •
For IPv6, the "GDR Candidate Address" will be 96 bits of zeroes, followed by the 32 bit Router Identifier. •
If the "Interface ID" option is not present in a GDR Candidate's PIM Hello message or if the "Interface ID" option is present but the "Router Identifier" field is zero, the "GDR Candidate Address" will be the IPv4 or IPv6 source address of the PIM Hello message.
This DRLB-List Hello Option only be advertised by the elected PIM DR. It be ignored if received from a non-DR. The option also be ignored if the hash masks are not the correct number of bits or GDR Candidate addresses are in the wrong address family. MUST MUST MUST
5.4. PIM DR Operation
The DR election process is still the same as defined in . The DR advertises the new DRLB-List Hello Option, which contains mask values from user configuration (or default values), followed by a list of GDR Candidate addresses. Note that if a router included the "Interface ID" option in the hello message and the Router ID is non-zero, the Router ID will be used to form the GDR Candidate address of the router, as discussed in the previous section. It is recommended that the list be sorted from the highest value to the lowest value. The reason for sorting the list is to make the behavior deterministic, regardless of the order in which the DR learns of new candidates. Note that, as for non-DR routers, the DR also advertises the DRLB-Cap Hello Option to indicate its ability to support the new functionality and the type of GDR election hash algorithm it uses. [RFC7761]
If a PIM DR receives a neighbor DRLB-Cap Hello Option that contains the same hash algorithm as the DR and the neighbor has the same DR priority as the DR, PIM DR consider the neighbor as a GDR Candidate and insert the GDR Candidate's Address into the list of the DRLBList Option. However, the DR may have policies limiting which or the number of GDR Candidates to include. Likewise, the DR include itself in the list of GDR Candidates, but it is permissible not to do so, for instance, if there is some policy restricting the candidate set. SHOULD SHOULD
If a PIM neighbor included in the list expires, stops announcing the DRLB-Cap Hello Option, changes DR priority, changes hash algorithm, or otherwise becomes ineligible as a candidate, the DR immediately send a triggered hello with a new list in the DRLB-List option, excluding the neighbor. SHOULD
If a new router becomes eligible as a candidate, there is no urgency in sending out an updated list. An updated list be included in the next hello. SHOULD
5.5. PIM GDR Candidate Operation
When an IGMP/MLD report is received, a hash algorithm is used by the GDR Candidates to determine which router is going to be responsible for building forwarding trees on behalf of the host.
The router include the DRLB-Cap Hello Option in all PIM Hello messages sent on the interface. Note that the presence of the DRLB-Cap Option in the PIM Hello does not guarantee that the router will be considered as a GDR Candidate. Once the DR election is done, the DRLBList Hello Option is received from the current PIM DR containing a list of the selected GDR Candidates. MUST
A router only acts as a GDR Candidate if it is included in the GDR Candidate list of the DRLB-List Hello Option. See next section for details.
5.6. DRLB-List Hello Option Processing
This section discusses processing of the DRLB-List Hello Option, including the case where it was received in the previous hello but not in the current hello. All routers ignore the DRLB-List Hello Option if it is received from a PIM router that is not the DR. The option only be processed by routers that are announcing the DRLB-Cap Option and only if the hash algorithm announced by the DR is the same as the local announcement. All GDR Candidates use the hash masks advertised in the Option, even if they differ from those the candidate was configured with. The DR also process its own DRLB-List Hello Option. MUST MUST MUST MUST
A router stores the latest option contents that were announced, if any, and deletes the previous contents. The router also compare the new contents with any previous contents and, if there are any changes, continue processing as below. Note that if the option does not pass the above checks, the below processing be done as if the option was not announced. MUST MUST
If the contents of the DRLB-List Option, the masks, or the candidate list differ from the previously saved copy, it is received for the first time, or it is no longer being received or accepted, the option be processed as below. MUST
If the local router is included in the "GDR Candidate Address(es)" field, it will look for its own address, or if it announces a non-zero Router ID, its own Router ID. For each of the groups or source and group pairs, if the group is in SSM mode with local receiver interest, the router run the hash algorithm to determine which of them is for the GDR. 1. MUST
If there is no change in the GDR status, then no further action is required. ◦
If the router becomes the new GDR, then a multicast forwarding tree be built . ◦ MUST [RFC7761]
If the router is no longer the GDR, then it uses an Assert as explained in Section 5.7. ◦
If one of the following occurs: 2.
the local router is not included in the "GDR Candidate Address(es)" field, ◦
the DRLB-List Hello Option is no longer included in the DR's Hello, or ◦
the DR's Neighbor Liveness Timer expires [RFC7761], ◦
then for each group (or each source and group pair if the group is in SSM mode) with local receiver interest, for which the router is the GDR, the router uses an Assert as explained in Section 5.7.
5.7. PIM Assert Modification
GDR changes may occur due to configuration change, GDR Candidates going down, and also new routers coming up and becoming GDR Candidates. This may occur while flows are being forwarded. If the GDR for an active flow changes, there is likely to be some disruption, such as packet loss or duplicates. By using asserts, packet loss is minimized while allowing a small amount of duplicates.
When a router stops acting as the GDR for a group, or source and group pair if SSM, it set the Assert metric preference to maximum (0x7fffffff) and the Assert metric to one less than maximum (0xfffffffe). That is, whenever it sends or receives an Assert for the group, it must use these values as the metric preference and metric rather than the values provided by the unicast routing protocol. MUST
The rest of this section is just for illustration purposes and not part of the protocol definition.
To illustrate the behavior when there is a GDR change, consider the following scenario where there are two flows: G1 and G2. R1 is the GDR for G1, and R2 is the GDR for G2. When R3 comes up, it is possible that R3 becomes GDR for both G1 and G2; hence, R3 starts to build the forwarding tree for G1 and G2. If R1 and R2 stop forwarding before R3 completes the process, packet loss might occur. On the other hand, if R1 and R2 continue forwarding while R3 is building the forwarding trees, duplicates might occur.
When the role of GDR changes as above, instead of immediately stopping forwarding, R1 and R2 continue forwarding to G1 and G2 respectively, while, at the same time, R3 build forwarding trees for G1 and G2. This will lead to PIM Asserts.
For G1, using the functionality described in this document, R1 and R3 determine the new GDR, which is R3. With the modified Assert behavior, R1 sets its Assert metric to the near maximum value, as discussed above. That will make R3, which has normal metric in its Assert, the Assert winner.
5.8. Backward Compatibility
In the case of a hybrid Ethernet shared LAN (where some PIM routers support the functionality defined in this document and some do not):
If the DR does not support the new functionality, then there will be no load balancing. •
If non-DR routers do not support the new functionality, they will not be considered as GDR Candidate and will not take part in load balancing. Load balancing may still happen on the link. •
6. Operational Considerations
An administrator needs to consider what the total bandwidth requirements are and find a set of routers that together have enough available capacity while making sure that each of the routers can handle its part, assuming that the traffic is distributed roughly equally among the routers. Ideally, one should also have enough bandwidth to handle the case where at least one router fails. All routers should have reachability to the sources and RPs, if applicable, that are not via the LAN.
Care must be taken when choosing what hash masks to configure. One would typically configure the same masks on all the routers so that they are the same, regardless of which router is elected as DR. The default masks are likely suitable for most deployment. The RP Hash Mask must be configured (the default is no bits set) if one wishes to hash based on the RP address rather than the group address for ASM. The default masks will use the entire group addresses, and source addresses if SSM, as part of the hash. An administrator may set other masks that mask out part of the addresses to ensure that certain flows always get hashed to the same router. How this is achieved depends on how the group addresses are allocated.
Only the routers announcing the same hash algorithm as the DR would be considered as GDR Candidates. Network administrators need to make sure that the desired set of routers announce the same algorithm. Migration between different algorithms is not considered in this document.
7. IANA Considerations
IANA has made these assignments in the "PIM-Hello Options" registry: value 34 for the PIM DR Load-Balancing Capability (DRLB-Cap) Hello Option (with Length of 4), and value 35 for the PIM DR Load-Balancing List (DRLB-List) Hello Option (with variable Length).
Per this document, IANA has created a registry called "PIM Designated Router Load-Balancing Hash Algorithms" in the "Protocol Independent Multicast (PIM)" branch of the registry tree. The registry lists hash algorithms for use by PIM Designated Router Load Balancing.
7.1. Initial Registry
The initial content of the registry is as follows.
Table 1
7.2. Assignment of New Hash Algorithms
Assignment of new hash algorithms is done according to the "IETF Review" procedure; see . [RFC8126]
8. Security Considerations
Security of the new DR Load-Balancing PIM Hello Options is only guaranteed by the security of PIM Hello messages, so the security considerations for PIM Hello messages, as described in PIMSM , apply here. [RFC7761]
If the DR is subverted, it could omit or add certain GDRs or announce an unsupported algorithm. If another router is subverted, it could be made DR and cause similar issues. While these issues are specific to this specification, they are not that different from existing attacks, such as subverting a DR and lowering the DR priority, causing a different router to become the DR.
If, for any reason, the DR includes a GDR in the announced list that announces a different algorithm from what the DR announces, the GDR is required to ignore the announcement, and there will be no router acting as the DR for the flows that hash to that GDR.
If a GDR is subverted, it could potentially be made to stop forwarding all the traffic it is expected to forward. This is also similar today to if a DR is subverted.
An administrator may be able to achieve the desired load balancing of known flows, but an attacker may send a single high rate flow that is served by a single GDR or send multiple flows that are expected to be hashed to the same GDR.
9. References
9.1. Normative References
[RFC2119] , , , , March 1997, . Bradner, S. "Key words for use in RFCs to Indicate Requirement Levels" BCP 14 RFC 2119 DOI 10.17487/RFC2119 <https://www.rfc-editor.org/info/ rfc2119>
,
[RFC6395] , , , , October 2011, . Gulrajani, S. and S. Venaas "An Interface Identifier (ID) Hello Option for PIM" RFC 6395 DOI 10.17487/RFC6395 <https://www.rfc-editor.org/info/ rfc6395>
[RFC7761] , , , , , March 2016, . Fenner, B., Handley, M., Holbrook, H., Kouvelas, I., Parekh, R., Zhang, Z., and L. Zheng "Protocol Independent Multicast - Sparse Mode (PIM-SM): Protocol Specification (Revised)" STD 83 RFC 7761 DOI 10.17487/RFC7761 <https://www.rfc-editor.org/info/rfc7761>
[RFC8126] , , , , , June 2017, . Cotton, M., Leiba, B., and T. Narten "Guidelines for Writing an IANA Considerations Section in RFCs" BCP 26 RFC 8126 DOI 10.17487/RFC8126 <https://www.rfc-editor.org/info/rfc8126>
[RFC8174] , , , , , May 2017, . Leiba, B. "Ambiguity of Uppercase vs Lowercase in RFC 2119 Key Words" BCP 14 RFC 8174 DOI 10.17487/RFC8174 <https://www.rfc-editor.org/info/ rfc8174>
9.2. Informative References
[RFC3376] , , , , October 2002, . Cain, B., Deering, S., Kouvelas, I., Fenner, B., and A. Thyagarajan "Internet Group Management Protocol, Version 3" RFC 3376 DOI 10.17487/RFC3376 <https://www.rfc-editor.org/info/rfc3376>
[RFC3810] , , , , June 2004, . Vida, R., Ed. and L. Costa, Ed. "Multicast Listener Discovery Version 2 (MLDv2) for IPv6" RFC 3810 DOI 10.17487/RFC3810 <https://www.rfceditor.org/info/rfc3810>
[RFC4541] , , , , May 2006, . Christensen, M., Kimball, K., and F. Solensky "Considerations for Internet Group Management Protocol (IGMP) and Multicast Listener Discovery (MLD) Snooping Switches" RFC 4541 DOI 10.17487/RFC4541 <https://www.rfceditor.org/info/rfc4541>
[RFC4607] , , , , August 2006, . Holbrook, H. and B. Cain "Source-Specific Multicast for IP" RFC 4607 DOI 10.17487/RFC4607 <https://www.rfc-editor.org/info/rfc4607>
Acknowledgements
The authors would like to thank and for helping with the original idea; , , , , , , , , , , , , , , , , and for reviews and comments; and and for helpful conversation on the document. Steve Simlo Taki Millonis Alia Atlas Bill Atwood Joe Clarke Alissa Cooper Jake Holland Bharat Joshi Anish Kachinthaya Anvitha Kachinthaya Benjamin Kaduk Mirja Kühlewind Barry Leiba Ben Niven-Jenkins Alvaro Retana Adam Roach Michael Scharf Éric Vyncke Carl Wallace Toerless Eckert Rishabh Parekh
Authors' Addresses
Yiqun Cai
Alibaba Group 520 Almanor Avenue , Sunnyvale CA 94085 United States of America email@example.com Email:
Heidi Ou
Alibaba Group 520 Almanor Avenue , Sunnyvale CA 94085
United States of America
firstname.lastname@example.org
Email:
Sri Vallepalli
email@example.com
Email:
Mankamana Mishra
firstname.lastname@example.org
Email:
Cisco Systems, Inc. 821 Alder Drive, , Milpitas CA 95035 United States of America
Stig Venaas
Cisco Systems, Inc.
Tasman Drive , San Jose CA 95134
United States of America
email@example.com
Email:
Andy Green
British Telecom Adastral Park Ipswich IP5 2RE United Kingdom
firstname.lastname@example.org
Email:
|
Common Fixed Point Theorems for Sub Compatible
and Sub Sequentially Continuous Maps
in 2 Metric Spaces
S. Ranjeth Kumar
Assistant Professor, Department of Mathematics Eritrea Institute of Technology Asmara , Eritrea ( N. E. Africa ) firstname.lastname@example.org
Loganathan
Principal Maharaja Arts and Science College Coimbatore, Tamil Nadu, India
M. Peer Mohamed
Department of Mathematics, Eritrea Institute of Technology Asmara, Eritrea ( N. E. Africa )
Abstract. The present paper introduces the new concepts of sub compatibility and sub sequential continuity in 2 metric spaces which are weaker than occasionally weak compatibility and reciprocal continuity. We also establish a common fixed point theorem for four maps using sub compatibility and sub sequential continuity. Our results particularly extend and generalize the results of H. Bouhadjera and C. GodetThobie [6] and Jungck and Rhoades [19]. In general all known results on commuting, weakly commuting, compatible, weak compatible, semi compatible and occasionally weak compatible maps in 2 metric spaces are generalized in this note.
Mathematics Subject Classification: 47H10, 54H25
Keywords: Compatible maps, Weak Compatible maps, occasionally weak compatible
maps, Sub compatible maps, Sub sequential continuity, fixed points and 2 metric space
1. Introduction
Ghaler [17] gave the concept of 2-metric space whose abstract properties were suggested by the area function in Euclidean space. A 2 metric space is one which finds its wide range of applications in the fields of military, medicine and economics. Employing various contractive conditions Iseki [22] set out the tradition of proving fixed point theorems in 2-metric spaces. Later on, Naidu and Prasad [24] contributed few fixed point theorems in 2-metric space introducing the concept of weak commutativity. Cho et al. [9] introduced the notion of semi-compatible maps in d-topological space. Various authors like Saliga [28] , Sharma et al. [27] and Popa [25] proved some interesting fixed point results using implicit real functions and semi-compatibility in d-complete topological spaces.
Recently, B. Singh and S. Jain [31, 32, 33 , 34] introduced the concept of semicompatibility in fuzzy metric spaces, D-metric spaces, 2 metric space and proved fixed point results using implicit relations in these spaces.
Various authors have discussed and studied extensively various results on coincidence, existence and uniqueness of fixed and common fixed points by using the concept of weak commutativity, compatibility, non-compatibility and weak compatibility for single and set valued maps satisfying certain contractive conditions in 2 metric spaces and they have been applied to diverse problems.
Recently, Al-Thagafi and N. Shahzad [2] weakened the concept of compatibility by giving a new notion of occasionally weakly compatible (owc) maps which is more general among the commutativity concepts.
Most recently, H. Bouhadjera and C. Godet-Thobie [6], weakened the concept of occasionally weak compatibility and reciprocal continuity in the form of sub compatibility and sub sequential continuity respectively and proved some interesting results with these concepts in metric spaces.
The main purpose of our paper is to extend the results of [6] by introducing sub compatibility and sub sequential continuity in 2 metric spaces and prove some fixed point results related with these new concepts.
Our improvements in this paper are three-fold as;
(i) Completeness of the space removed
(ii) Minimal type contractive condition used
(iii) Weakened the concept of occasionally weak compatibility by a more general concept of sub compatibility and sub sequential continuity.
We first give some preliminaries and definitions using [17].
2. Preliminaries
Definition 2.1. Let X be non-empty set with real valued function d on X X X × × satisfying the followings:
(i) ( ) , , 0 d x y z = if at least two of , , x y z are equal,
(ii)
()
()
()
, ,
, , d x y z
dpxyz
=
for all , , , x y z X ∈ and each permutation
()
, , p x y z
of
, , x y z
(iii)
() () () ()
, ,
, ,
, ,
, , d x y z
dxywdxwz
dwyz
≤
+
+
for all
, , , x y z w
X ∈.
The function d is called a 2-metric on X and the pair ( ) , X d is called a 2-metric space.
Definition 2.2. Two self mappings A and S of a 2-metric space,
()
X d are called compatible if
()
lim,
,
0
n
n
n
d ASx SAx a
= for all a X ∈ , where
{ } x
n
is a sequence in X such that lim
lim.
n n
n n
Ax
Sx x for some x in X
=
=
Definition 2.3. Two self mappings A and S of a 2-metric space ( ) , X d are called weakly compatible if they commute at their coincidence points i.e., if , Ax Sx then SAx ASx = = for some x X ∈ .
Definition 2.4. Two self mappings , : A B X X → are said to be semi-compatible if ( ) lim , , 0 n n d ABx Bx a for all a X = ∈ , whenever { } n x is a sequence in X such that lim lim . n n n n Ax Bx x for some x X = = ∈
Now, we give some examples to show the relationship of compatible, weakly compatible and semi-compatible maps.
,
Then ( ) , X d is a 2-metric space as proved in [11].
Define , : A B X X → as
compatible.
Thus semi-compatibility of the pair (A , B) does not imply the semi-compatibility of the pair (B,A).
Moreover, weak-compatibility need not imply the semi-compatibility. Here B and A are weak compatible as they commute at their coincident point 1 2 but they are not semicompatible.
Also, semi-compatible maps need not be compatible. Here (A , B) is semi-compatible but not compatible as,
Again, weak compatibility does not imply compatibility as the maps B and A are weak compatible but not compatible.
The next example shows that compatible maps need not be semi-compatible.
Then ( ) , X d is a 2-metric space .
Define , : A B X X → as
Thus, ( ) lim , , 0 n n n d ABx BAx a = , which implies that A and B are compatible.
But lim,
,
0
1
⎛
n
2
n
d ABx B a
⎞≠
⎜
⎟
⎝
⎠
, implies that A and B are not semi-compatible.
Hence, compatibility does not imply semi-compatibility.
Definition 2.5. Two self maps f and g on a set X are said to be occasionally weakly compatible (owc) if and only if there is a point x X ∈ which is a coincidence point of f and g at which f and g commute. i.e., there exists a point x X ∈ such that fx gx = and fgx gfx = .
Definition 2.6. Two self maps f and g on a 2 metric space ( ) , X d are said to be sub compatible if and only if there exists a sequence { } n x in X such that lim lim fx gx z = = , z X ∈ and which satisfy ( ) lim , , 0 d fgx gfx a = for all
Obviously two occasionally weakly compatible maps are sub compatible maps, however, the converse is not true in general as shown in the following example.
Example 3. Let X = and d(x, y,z) min[ | x y |,| y z |,| z x | ], for all x, y,z X = − − − ∈ .
Then clearly ( ) , X d is a 2 metric space.
Define the maps , : A B X X → by setting
Thus, A and B are sub compatible but A and B are not owc maps as, ( ) ( ) 4 7 4 A B = = and ( ) ( ) ( ) 4 7 13 4 10 AB A BA = = ≠ = .
It is also interesting to see the following one way implication .
Commuting ⇒ Weakly commuting ⇒ Compatibility ⇒ Weak compatibility ⇒ Occasionally weak compatibility ⇒ Sub compatibility.
Now, we aim at our second objective which is to introduce a new notion called sub sequential continuity in fuzzy metric spaces by weakening the concept of reciprocal continuity introduced by Pant [26].
Definition 2.7. Two self maps A and S on a 2 metric space ( ) , X d are called reciprocal continuous if lim n n ASx At = and lim n n SAx St = for some t X ∈ whenever { } n x is a sequence in X such that lim lim n n n n Ax Sx t X = = ∈ .
Definition 2.8. Two self maps A and S on a 2 metric space ( ) , X d are said to be sub sequentially continuous if and only if there exists a sequence { } n x in X such that
Remark 1. If A and S are both continuous and reciprocally continuous then they are obviously sub sequentially continuous.
The next example shows that there exist sub sequentially continuous pairs of maps which are neither continuous nor reciprocally continuous.
Example 4. Let X R = be the set of real numbers. We define 'd' as.
Then clearly ( ) , X d is a 2 metric space.
Define , : A S X X → as;
SAx
( )
3
3 3 2
1 ⎛
⎞
n
S
B
n
= + = ≠ =
⎜
⎟
⎝
⎠
. Thus A and S are not reciprocally continuous but if we
Therefore, A and S are sub sequentially continuous.
3. Results and Discussion
Now, we prove our main result.
Theorem 1. Let , , f g h and k be four self maps on a 2 metric space ( ) , X d . If the pairs ( ) , f h and ( ) , g k are sub compatible and sub sequentially continuous, then
(i) f and h have a coincidence point,
(ii) g and k have a coincidence point.
Further, If
, , x y a X ∈ , where [ ] [ ] : 0,1 0,1 φ → is a continuous function such that ( ) s s φ > for each 0 1 s < < . Then , , f g h and k have a unique common fixed point in X.
Proof. Since the pairs ( ) , f h and ( ) , g k are sub compatible and sub sequentially continuous, therefore, there exist two sequences { } n x and { } n y in X such that lim lim n n n n fx hx u = = for some u X ∈ and which satisfy
lim lim n n n n gy ky v = = for some v X ∈ and which satisfy.
Therefore, fu hu = and gv kv = . i.e., u is the coincidence point of f and h and v is a coincidence point of g and k .
Now, using (1.1) for n x x = and n y y = , we get
Letting n →∞ ,
Common fixed point theorems
1195
i.e., ( ) ( ) ( ) , , , , , , d u v a d u v a d u v a φ ≤ > ⎡ ⎤ ⎣ ⎦ , a contradiction.
Hence, u v =.
Again using (1.1) for x u = , n y y = , we obtain
Letting n →∞ ,
.
Therefore, u v = is a common fixed point of f , g , h and k .
For uniqueness, let w u ≠ be another fixed point of f , g , h and k . Then from (1.1), we have
theorem.
If we put f g = and h k = , we get the following result.
Corollary 1. Let f and h be self maps on a 2 metric space ( ) , X d such that the pairs ( ) , f h is sub compatible and sub sequentially continuous, then
(i) f and h have a coincidence point,
Further, If
where [ ] [ ] : 0,1 0,1 φ → is a continuous function such that ( ) s s φ > for each 0 1 s < < . Then f and h have a unique common fixed point in X.
If we put h k = , we get the following result.
Corollary 2. Let , f g and h be self maps on a 2 metric space ( ) , X d . Suppose that the pairs ( ) , f h and ( ) , g h are sub compatible and sub sequentially continuous, then (i) f and h have a coincidence point,
(ii) g and h have a coincidence point,
Further, If
where [ ] [ ] : 0,1 0,1 φ → is a continuous function such that ( ) s s φ > for each 0 1 s < < . Then f , g and h have a unique common fixed point in X.
Now, we furnish our theorem with example.
Example 5. . Let X R = be the set of real numbers. We define 'd' as
Then clearly ( ) , X d is a 2 metric space.
Define the maps f , g , h and k : X X → as
Consider the sequences { } { } 1 1 n n x y n = = − .
Then, clearly n fx , n gx , n hx and n kx 1 → .
Thus ( ) , f h is sub compatible and sub sequentially continuous.
Again,
which shows that ( ) , g k is sub compatible and sub sequentially continuous.
Also the condition (1.1) of our theorem is satisfied and '1' is unique common fixed point of f , g , h and k .
References
[1] M. Abbas and B. E. Rhoades, Common fixed point theorems for hybrid pairs of occasionally weakly compatible mappings satisfying generalized condition of integral type, Fixed point theory appl., Art. ID 54101, 9pp
[2] M. A. Al-Thagafi and N. Shahzad, A note on occasionally weakly compatible maps, Int. J. Math. Anal. 3(2)(2009) , 55-58.
[3]. M. A. Al-Thagafi and N. Shahzad, Generalized I-non expansive self maps and invariant approximation, Acta Mathematica Sinica, English Series 24(2008) , 867-876.
[4] H. Bouhadjera, A. Djoudi and B. Fisher, A unique common fixed point theorem for occasionally weakly compatible maps, Surveys in Mathematics and its Appli. 3(2008), 177-182
[5] H. Bouhadjera and A. Djoudi, Common fixed point theorems for single and set valued maps without continuity, An. St. Univ. Ovidius Constanta. 16(1)(2008), 49-58.
[6] H. Bouhadjera and C. G. Thobie, Common fixed point theorems for pairs of sub compatible maps, Hal-00356516. 1(2009),1-16.
[7] H. Bouhadjera and C. G. Thobie, Common fixed point theorems for occasionally weakly compatible maps, ArXiv. 0812.373 [math. FA]. 2(2009): 123:131
[8] H. Chandra and A. Bhatt, Fixed point theorem for occasionally weakly compatible maps in probabilistic semi-metric space, Int. J. Math. Anal. 3(12)(2008), 563-570.
[9] Y. J. Cho, B. K. Sharma and D. R. Sahu, Semi compatibility and fixed points, Math. Japon, 42(1)(1995) : 91-98.
[10] Y. J. Cho, H. K. Pathak, S. M. Kang and J. S. Jung, Common fixed points of compatible maps of type β on fuzzy metric spaces, Fuzzy Sets and Systems, 93(1998), 99-111.
[11] P. N. Dutta, B. S. Choudhury and K. Das, Some fixed point results in Menger spaces using a controle function, Surveys in Mathematics and its application, 4(2009), 41-52.
[12] Z. Deng, Fuzzy pseudo-metric space, J. Math. Anal. Appl., 86(1982), 74-95.
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[14] M. Grabiec, Fixed points in fuzzy metric space. Fuzzy Sets and Systems, 27(1988),385-389.
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[16] U. C. Gairola and A. S. Rawat, A fixed point theorem for two pairs of maps satisfying a contractive condition of integral type, Int. Mathematical Forum, 4(4)(2009), 177-183.
Common fixed point theorems
1199
[17] S. Ghaler, 2-metricsche raume ihre topologische structur, Math. Nachr. 26 (1963-64), 115-148.
[18] G. Jungck, Compatible mappings and common fixed points, Int. J. Math. Math. Sci., 9(4)(1986) : 771-779.
[19] G. Jungck and B. E. Rhoades, Fixed points for set valued functions without continuity, Indian J. Pure and Appl. Math., 29(3)(1998), 227-238.
[20] H. Kaneko and S. Sessa, Fixed point theorems for compatible multi-valued and single valued mappings, Int. J. Math. Math. Sci., 12(2)(1989), 257-262.
[21] I. Kramosil and J. Michalek, J., Fuzzy metric and statistical metric spaces, Kybernetica, 11(1975), 326-334.
[22] K. Iseki, Fixed point theorems in 2-metric spaces, Math. Sem. Notes. Kobe. Univ., 3 (1975), 133-136.
[23] O. Kaleva and S. Seikkala, On fuzzy metric spaces, Fuzzy Sets Systems, 12(1984), 215-229.
[24] S. V. R. Naidu and J. R. Prasad, Fixed point theorems in 2-metric spaces, Indian J. Pure Appl. Math. 17(1986), 974-993.
[25] V. Popa, Fixed points for non-surjective expansion mappings satisfying an implicit relation, Bul. Stiint. Univ. Baia Mare Ser. B. Fasc. Mat. Inform. 18(1)(2002), 105-108.
[26] R. P. Pant, Common fixed point theorems for contractive maps, J. Math. Anal. Appl., 226(1998), 251-258.
[27] B. K. Sharma, D. R. Sahu, M. Bounias and A. Bonaly, Fixed points for non-surjective expansions mappings, Int. J. Math. Math. Sci. 21 (2)(1995), 277-288.
[28] L. M. Saliga, Fixed point theorems for non self maps in d-complete topological spaces, Int. J. Math. Math. Sci., 19(1)(1996) , 103-110.
[29] S. Sessa, On a weak commutativity condition in fixed point considerations, Publ. Inst. Math. (Beograd) (N.S), 32(46)(1982),149-153.
1200 S. Ranjeth Kumar, Loganathan and M. Peer Mohamed
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[36] D. Turkoglu, O. Ozer and B. Fisher, A coincidence point theorem for multivalued contractions, Math. Commu., 7(1)(2002), 39-44.
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Received: November, 2011
|
EVALUATING THE OBAMA TAX PROPOSAL:
FOUR STANDARDS AND VERTICAL EQUITY INDICES
by
Ben J. Ji
Submitted in partial fulfillment of the requirements for Departmental Honors in the Department of Accounting Texas Christian University Fort Worth, Texas
EVALUATING THE OBAMA TAX PROPOSAL:
FOUR STANDARDS AND VERTICAL
EQUITY INDICES
Project Approved:
Elizabeth Plummer, Ph.D. Department of Accounting (Supervising Professor)
Janice Cobb, M.B.A. Department of Accounting
Robert Boatler, Ph.D. Department of Finance
TABLE OF CONTENTS
ACKNOWLEDGEMENTS
I would like to thank the advising committee of this project for their help and guidance. Professor Elizabeth Plummer of the Accounting Department, the Supervising Professor, helped scope the project, refine the research topic, and shared her knowledge with respect to federal taxation. Professor Janice Cobb and Professor Robert Boatler provided valuable comments on the research methods and provided insights to the research findings. I would also like to thank the Neeley School of Business and the Honors College at TCU for hosting a series of thesisrelated workshops, and making many resources available during the length of the project. Finally, thanks to Shuyu Deng, who gave me emotional and moral support during the difficult times of the project.
INTRODUCTION
In the 2012 U.S. presidential election, economic policies proposed by both candidates took center stage. Among these policies, the candidates' tax plans received the most scrutiny and, in turn, stirred discussions about their respective ramifications on U.S. economic development. Towards the end of 2012, tax reform also emerged as a priority issue for Congress amid fears of mounting national budget deficits and a double dip recession caused by the so-called "fiscal cliff."
In 2012, President Obama proposed a series of tax reforms aimed at curbing income inequality and providing stimulus to the economy. This thesis attempts to first evaluate President Obama's tax proposals based on the primary criteria provided by the AICPA (2001) in their Tax Policy Statements: sufficiency, administrative convenience, efficiency, and equity. As generally agreed by tax scholars, these criteria provide a multi-dimensional perspective to look at a tax plan. These criteria also reveal the intricate trade-offs a tax plan has to make between various attributes.
Additionally, the paper will assess President Obama's tax plan with respect to vertical equity, partly because many claim equity as a significant merit of this plan. Vertical equity is the idea that persons with more ability to pay should pay a larger amount of their income in tax relative to persons with lesser ability to pay. Vertical equity is measured by the change in the after- tax income distribution vis-à-vis the before-tax income distribution, expressed in the form of their respective Gini index values (Iyer, 2012, May-June). One way to measure vertical equity is using the Kakwani indices. This paper uses the Kakwani indices of income inequality and tax progressivity to document the effects of the proposed Obama tax plan on vertical equity. Several studies in accounting and economics have used the Kakwani indices to measure tax progressivity and income equality. For example, Iyer et al. (1996) used the Kakwani and Suits indices to document the distributional effects of replacing the progressive income tax with a flat tax. Likewise, Dunbar (1996) used the Kakwani and Suits indices to estimate the effect of personal credits on federal income tax progressivity. Some advantages of using the Kakwani indices are (a) it is easy to compute relative to alternative methods and easily understood by a broader audience; (b) it is effective in documenting the changes in income distributions; (c) it is based on the well-studied Lorenz curves, which will likely be familiar to some readers; and (d) its graphical dimension helps provide intuition and highlights changes and results (Iyer, 2012, May-June).
Besides using the Kakwani indices, this paper adopts the method used by Iyer et al. (2012, May-June), in which they decompose the Kakwani indices into subindices, based on the components of the subject whose distribution is studied. For example, Iyer et al. (2012, May-June) isolated capital gains and qualified dividends, as well as salaries and wages from AGI, and computed Kakwani indices of income inequality and tax progressivity for each type of income.
The remainder of the paper is organized as follows. The next section provides an overview of the standards of a good tax. The third section introduces the individual income tax plan President Obama proposed in 2012 and evaluates the plan based on the standards of a good tax. The fourth section includes computations of the Kakwani indices of income inequality and tax progressivity, decomposition of the indices by income sources, and a technique to adjust the Kakwani index of tax progressivity for the changes in the pre-tax income distribution over time. In the last section, I summarize with limitations and conclusions.
RESEARCH QUESTION
Although vertical equity dictates that taxes paid be a function of individual taxpayers' ability to pay, multiple methods can measure vertical equity, resulting in different opinions over whether a specific tax is vertically equitable (possessing the character of vertical equity), or whether a given tax change increases vertical equity. Supporters of tax increases argue that tax increases on the wealthy are necessary to "undo years of stagnant wages, declining incomes and growing inequality," while opponents claim that "the income tax system has never been more progressive" (Iyer, 2012, May-June). Consequently, some could praise a tax proposal for restoring equity in the system, while others see it as inequitable.
Despite differing opinions, both sides use existing data and studies to support their position. For instance, Congressman Kevin Brady claimed that individuals in the top income bracket paid the highest shares of income tax in decades (Iyer, 2012, May-June). The other side looks from a different angle, drawing evidence from income tax as a percentage of total income, a figure that is decreasing for top earners while increasing for the middle class. Contrary to the two perspectives above that look at the tax share of an income group and the effective tax rates of different income groups, this thesis considers the tax share of a group in relation to its income share.
A recent poll conducted by the Pew Research Center shows a nation divided over who should bear the tax burden: 44% of respondents say raising taxes on incomes above $250,000 would help the economy, while 22% say it would hurt it. Results are divided along party lines: 64% of Democrats say raising taxes on incomes over $250,000 would help the economy, and 65% of Democrats say it would make the system fairer. In contrast, 41% of Republicans say this would hurt the economy, and 36% say it would make the tax system less fair (Pew Research Center, 2012).
While many lawmakers and the administration both agree that tax reform is much needed given the state of the economy, and they both seem to recognize the emergency of this issue, current debates about potential tax plans tend to focus on a few narrow aspects of the plan. One heavily evaluated attribute is a tax plan's projected effectiveness in stimulating economic growth. From a policy making perspective, it makes sense to set economic stimulation as an important standard for any tax plan. But some also propose a balanced approach in formulating new tax policies, considering also the policy's equity and whether it is strategically aligned with deficit reduction objectives. The goal of this paper is to provide a model to evaluate a prospective tax proposal with respect to its vertical equity, adopting the existing methods used to measure historical vertical equity values generated under tax plans already in place. I hope the results of this paper can enrich ongoing discussions on tax policies and provide information to those formulating tax changes.
STANDARDS OF A GOOD TAX
A good tax ought to be one that is sufficient to raise revenues for the government, convenient to administer and to pay, efficient in regulating the economy and equitable for taxpayers (AICPA, 2001). These tenets of tax policy date back to the days of Adam Smith, who first introduced his idea of these "four maxims" of a good tax (Nadia, n.d.).
Tax revenues must be sufficient to allow the government to perform its duties and functions. Although the federal government is not mandated to operate under a balanced budget, the levels of current budget deficit will likely not be sustainable in the long run. The desirable spending level is a political matter and varies with economic conditions and global competitive landscapes. The amount of tax due is determined by the tax base and the tax rate, which are the direct results of a given tax system. If the goal is to raise more tax, a proposed tax plan may expand the tax base, increase the tax rate, or do both.
The convenience tenet of tax policy states that a good tax should be convenient to administer and to pay. Issues involved are twofold- costs and ease, both to the IRS and to taxpayers. The administration of tax collection incurs costs due to the sheer number of revenue officers and other personnel working for the IRS. It also costs taxpayers who must pay for tax planning and preparation. A good tax plan should minimize administration costs to the government as well as compliance costs to the taxpayer. Many politicians and practitioners hail the idea to simplify the tax code, which would reduce administration and compliance costs (AICPA, 2001). Ease of payment relates to the time and manner that a tax is due. For example, sales tax is due at the time of purchase, which makes it easy to pay and calculate (AICPA, 2001). Easier means of paying taxes makes timely payment more likely to happen. Therefore, a good tax should be less costly and easier to pay.
A tax system is efficient when it minimally distorts market competition and is well aligned with the economic principles and goals of the government levying the tax (AICPA, 2001). Under an efficient tax system, individuals' and businesses' decisions as to whether and how to engage in a transaction are not unduly affected by the tax implications of the decisions (AICPA, 2001). As a result, an efficient tax system likely creates more economic growth in the long run.
The idea of equity is constructed in the context of weighing gains against sacrifices made by various parties. The equity principle dictates that a good tax should take into account the taxpayer's financial condition. That is, the amount of tax liability should be a function of the taxpayer's ability to pay. Horizontal equity is achieved when persons with equal ability to pay incur the same amount of tax liability. Although the idea itself sounds simple, choice of the yardstick to measure the ability to pay is debatable. Two households may earn the same amount of annual income, but may not be "similarly situated" and will thus have differing abilities to pay taxes (AICPA, 2007). The differing abilities to pay taxes could be due to different household structures, household members of different ages, and different levels of cost of living across geographical areas. (AICPA, 2007). The difficulty in quantifying horizontal equity makes it difficult to evaluate with respect to a tax plan.
Vertical equity provides that persons with more ability to pay should pay a larger amount of tax relative to persons with lesser ability to pay (Iyer, 2012, MayJune). This relates to the progressivity of a tax, an attribute of a tax system that measures the extent to which higher effective tax rates are applied to higher income brackets (Iyer, 2012, May-June). But how much more tax should a person pay relative to a lower income bracket? There is no consensus as to the specific amount, although it is generally agreed that progressivity is desirable.
Another dimension of equity emerges when we see tax as an exchange between an individual and the government. It is only equitable when value received from the government by the individual is appropriate for the amount of tax he/she paid (AICPA, 2007). In the current discussion of tax policies, this attribute of a tax plan is frequently cited as an argument against increasing taxes for higher income earners, the reason being that they do not receive from the government an amount in reasonable proportion to what they pay in taxes. Any attempt to understand this attribute goes back to the fundamental question of the government's role in people's lives. If one believes that individuals' income primarily comes from their hard work and intelligence, then that person would most likely not view it equitable to tax high-income individuals more heavily than lower-income individuals. On the other side, "big government" supporters would argue that the government provided the environment and critical success factors such as infrastructure and the rule of law for individuals to be able to earn higher income. Therefore, taxing higher income earners more because they indeed benefited from government services is logicaltheir higher income being the direct evidence. This attribute, for the most part, is beyond the scope of the discussion of a good tax plan as the perceived value of
government services to individual citizens is also associated with government spending and policies other than taxes.
Note that equity is largely a matter of perception. What is perceived equitable is influenced by an individual's personal experience and frame of reference. While designing a tax system deemed equitable by all parties is impossible, equity is generally a desirable feature of a tax system. Not only does an equitable tax system improve social justice, the perception of equity also encourages compliance and provides stability in the consistent enforcement of the tax code (AICPA, 2007).
MAJOR TAX LEGISLATIONS SINCE 1995
The Taxpayer Relief Act of 1997 contained two major provisions with respect to the progressivity of the federal income tax system: it reduced capital gains rates from 28% and 15% to 20% and 10%; it introduced the $500 per year child tax credit, the Hope credit, and the Lifetime Learning education credit (Tax Policy Center, 2011). The former likely decreased tax progressivity and vertical equity in the tax system.
The Economic Growth and Tax Relief Reconciliation Act (EGTRRA) of 2001 reduced the ordinary income tax rates from 28%, 31%, 36%, and 39.6% by 1% each year to 25%, 28%, 33%, and 35% respectively, beginning in 2006 (Tax Policy Center, 2011). The EGTRRA also created a new 10% bracket applicable to the first $12,000 of income for joint filers and $6,000 for single filers (Tax Policy Center, 2011). Additionally, the EGTRRA phased down personal exemption phase-out and limitation on itemized deductions between 2006 and 2009 (Tax Policy
Center, 2011). The phase down increased the value of itemized deductions and personal exemptions for high earners, which likely reduced the progressivity of the tax system.
The Jobs and Growth Tax Relief Reconciliation Act (JGTRRA) of 2003 accelerated the ordinary tax rate reductions enacted in the EGTRRA to begin in 2003 and accelerated the increase in standard deductions for joint filers enacted in the EGTRRA to begin in 2003 (Tax Policy Center, 2011). It also reduced the capital gains and dividends rates from 20% and 10% to 15% and 5% (Tax Policy Center, 2011). The reduction in capital gains rates and dividend rates likely decreased the progressivity of the tax system.
President Obama's first term
President Obama proposed a tax plan during his 2008 presidential election campaign. At the center of his 2008 proposal was a rate increase for the top two income brackets. He would restore these tax rates to pre-2001 levels of 36% and 39.6%, compared with 33% and 35% respectively at that time (Sahadi, 2008). Although Congress did not enact this rate increase, it came to national spotlight again after President Obama was re-elected in 2012. In addition to ordinary income, President Obama included in his 2008 platform changes to the rates at which dividends and capital gains would be taxed (Sahadi, 2008). He would extend the 2001 tax cuts that allowed preferential rates for dividends and capital gains (for specific rates, see "the Baseline" column in Tables 4 and 5), except in the case of high-income individuals (Sahadi, 2008). Much like his proposed rate increase for the top two brackets of salaries and wages, this tax proposal failed to receive bipartisan support, but remained on President Obama's platform for 2012.
Three tax bills were passed during President Obama's first term (see Table 1): American Recovery and Reinvestment Tax Act of 2009 (ARRTA), Patient Protection and Affordable Care Act of 2010 (PPACA), and Tax Relief Unemployment Insurance Reauthorization and Job Creation Act of 2010 (TRUIRJCA) (Tax Policy Center, 2011). ARRTA created the Making Work Pay credit and American Opportunity credit, increased the Earned Income Tax Credit for families with three or more children, and lowered the threshold for determining the refundable portion of the child tax credit (Tax Policy Center, 2011). PPACA mandates a 3.8% Medicare contribution tax on unearned income for taxpayers filing jointly with AGI in excess of $250,000 and single filers with AGI in excess of $200,000 (Tax Policy Center, 2011). TRUIRJCA extended through 2012 the tax rates as they were after the 2001 and 2003 tax cuts, the American Opportunity Tax credit, the 2009 expansion of the Earned Income Tax credit and the child Tax credit, and the reduced rates on longterm capital gains and qualified dividends (Tax Policy Center, 2011).
Table 1. Tax acts passed in President Obama's first term (Tax Policy Center, 2011)
| Act | Changed Provisions | Note |
|---|---|---|
| ARRTA of | Created the Making Work Pay credit | |
| 2009 | Created the American Opportunity credit | |
| | Increased the Earned Income Tax credit rate for | |
| | families with three or more children | |
| | Lowered the threshold for determining the | |
| | refundable portion of the child tax credit | |
| PPACA of | 3.8% Medicare contribution tax on unearned | For joint (single) |
| 2010 | income | filers with AGI in |
| | Increase employee’s portion of the Medicare Tax | excess of $250,000 |
| | from 1.45% to 2.35% | ($200,000) |
| TRUIRJCA | Extended the expansion of the child Tax credit | Through 2012 |
| of 2010 | Extended the expansion of the Earned Income Tax | Through 2012 |
| | credit | |
| | Extended the American Opportunity Tax credit | Through 2012 |
| | Extended tax rates as they were after the 2001 | Through 2012 |
| | and 2003 tax cuts (including capital gains and | |
| | qualified dividends) | |
PRESIDENT OBAMA'S 2012 TAX PROPOSAL
Note that the scope of this project only includes President Obama's proposal for federal individual income tax (hereafter, "the Proposal"). The President's other tax proposals are beyond the scope of this thesis. For the purpose of evaluating the Proposal, this project attempts to compare the Proposal to a baseline (hereafter, "the Baseline") selected by the author. This project defines the Proposal based on tax provisions listed in the President's 2013 federal budget issued in February 2012. The Baseline against which the Proposal is compared is essentially the policy in place in 2011. See Table 2 for differences between the two.
Table 2. General terms of the Proposal and the Baseline
| Tax Provision Items | The Proposal | The Baseline | ATRA |
|---|---|---|---|
| Ordinary Income | Partially Extend | Fully Extend | Extend Bush Cuts |
| | Bush Cuts (see | Bush Cuts | for low brackets, |
| | Table 3) | | increase threshold |
| | | | for top bracket |
| | | | (see page 9) |
| Long-Term Capital Gains | Partially Extend | Fully Extend | Extend Bush Cuts |
| | Bush Cuts (See | Bush Cuts | except for top |
| | Table 4) | | bracket |
| Qualified Dividends | Partially Extend | Fully Extend | Same as long-term |
| | Bush Cuts (See | Bush Cuts | capital gains |
| | Table 5) | | |
| Pease & the 18% Limit | Yes (See Page 16) | No | Yes but at a higher |
| | | | threshold than the |
| | | | Proposal |
| Personal Exemption | Yes (See Page 15) | No | Same as Pease |
| Phase-Out | | | |
| Payroll Tax Holiday | Yes (see page 16) | Yes | No |
| Tax Credits Enacted in | Yes (See Page 17) | Yes | Yes |
What meaning does comparing the Proposal with the Baseline create? In 2012, faced with Bush tax cuts and a number of tax credits expiring in 2013, the public debated how tax laws should change with regard to expiring provisions. This paper attempts to evaluate President Obama's proposal as a possible direction that the tax system could take. The assumption underlying the Baseline is that fully extending what was in place in 2011 was a possible course of action for Congress in late 2012. The Baseline, therefore, represents an alternative to the Proposal.
Congress passed the American Taxpayer Relief Act of 2012 (ATRA) on January 1, 2013. Refer to Table 2. This legislation was essentially a combination of the Proposal and the Baseline. Rate increases for ordinary income and long-term capital gains did pass, only at higher thresholds than in the Proposal (Tax Policy Center, 2013). Phase-outs for personal exemptions and itemized deductions were passed with higher thresholds than in the Proposal (Tax Policy Center, 2013). The payroll tax holiday was not extended, but tax credits originally enacted in 2010 were extended for five more years (Tax Policy Center, 2013).
General Terms of the Proposal and the Baseline
With respect to individual income tax rules, President Obama proposed adjusting the rate structure on ordinary income, long-term capital gains, and qualified dividends, changing the rules governing personal exemptions, limiting deductions, and extending the payroll tax cut and a number of tax credits (Tax Policy Center, 2012).
*+ Income (ordinary income, capitals gains, dividends, alimonies, interest payments, etc.) Gross
Adjusted Gross Income Adjusted Gross Income
Gross Tax Liability Gross Tax Liability
*- above-the -linedeductions (moving expenses, higher education expenses, etc.)
*- standard /itemized deductionpersonal exemptions
*- Tax Credits Prepayments
Income
Taxable Income Taxable Income
Gross Income
- Above-The-Line Deductions
Adjusted Gross Income (AGI) - Standard Deduction/Itemized Deduction - Personal Exemptions
Taxable Income x Tax Rate
Gross Tax Liability - Tax Credits - Prepayments
Tax Due/Refund
Figure 1.The individual federal income tax formula
Tax Due/Refund Tax Due/Refund
*x Tax Rate
Figure 1 provides an illustration of the federal income tax formula. The Proposal as specified in the 2013 federal budget would affect most steps in the computation of one's federal income tax. President Obama proposed changing the rate schedule for ordinary income and increasing the top rate for capital gains and qualified dividends. Refer to Figure 1. These measures would result in a different amount of gross tax liability for individuals who fall under the affected brackets. He also proposed changing the personal exemption phase-out and limiting itemized deductions. These would change the amount of adjusted gross income in arriving at taxable income for affected individuals. Additionally, he proposed extending a number of tax credits enacted in the past, which could lower one's gross tax liability in arriving at tax due.
President Obama proposed restoring the top rates on ordinary income and wages to their pre-2001 levels, which would effectively let the Bush Tax Cuts expire for single filers with AGI in excess of $200,000 and for joint filers with AGI in excess of $250,000 (Tax Policy Center, 2012). He proposed making permanent the lower rates for taxpayers making below those thresholds (Tax Policy Center, 2012). (See Table 3).
Table 3. Ordinary income rate schedule (Tax Policy Center, 2012 Feb)
| | | Single Filers | | | | | Married Filing Jointly | |
|---|---|---|---|---|---|---|---|---|
| | | The Proposal | T | he Baseline | | | The Proposal | The Baseline |
| | $0-$8,750 | 10% | | 10% | | $0-$17,500 | 10% | 10% |
| | $8,750-$35,500 | 15% | | 15% | | $17,500-$71,000 | 15% | 15% |
| | $35,500-$86,000 | 25% | | 25% | | $71,000-$143,350 | 25% | 25% |
| | $86,000-$179,400 | 28% | | 28% | $ | 143,350-$218,450 | 28% | 28% |
| $ | 179,400-$200,000 | 33% | | 33% | $ | 218,450-$250,000 | 33% | 33% |
| $ | 200,000-$390,050 | 36% | | 33% | $ | 250,000-$390,050 | 36% | 33% |
| | $390,050 and over | 39.6% | | 35% | | $390,050 and over | 39.6% | 35% |
In 2011 and 2012, long-term capital gains were taxed at a maximum rate of 15%. Long-term capital gains are generally gains from the sale of capital assets held for at least one year (Tax Policy Center, 2012). Long-term capital gains rates were scheduled to revert in 2013 to their pre-2003 level of 10% for taxpayers in the 15% bracket or lower, and 20% for taxpayers in the 25% bracket or higher (Tax Policy Center, 2012). According to the Proposal, only high-income taxpayers (defined by the administration as single filers with AGI in excess of $200,000 and married joint filers with AGI in excess of $250,000) would see their long-term capital gains rate rise to 20%. (See Table 4). Taxpayers in the lower income brackets would still have the lower tax rates on their long-term capital gains.
Table 4. Capital gains rate schedule (Tax Policy Center, 2012 Feb
)
| | The Baseline | The Proposal |
|---|---|---|
| | (Extend Bush | |
| | Cuts) | |
| 10% | 0% | 0% |
| 15% | 0% | 0% |
| 25% | 15% | 15% |
| 28% | 15% | 15% |
| 33% | 15% | 15% |
| 36% | 15% | 20% |
| 39.6% | 15% | 20% |
Qualified dividends are dividends paid by a domestic U.S. company or a qualifying foreign company that meets certain requirements (Tax Policy Center, 2012). Qualifying dividends were taxed at similar rates as long-term capital gains0% for individuals in the 15% bracket or below, and 15% for all others in 2012. The dividend rates were scheduled to expire in 2013, making dividends subject to the
same tax rate as ordinary income (Tax Policy Center, 2012). However, President Obama proposed increasing rates only for the top two brackets (Tax Policy Center, 2012). (See Table 5).
Table 5. Qualified dividends rate schedule (Tax Policy Center, 2012)
| Marginal Rates on | Qualified Dividends Rates | |
|---|---|---|
| Ordinary Income | | |
| | The Baseline | The Proposal |
| per the Proposal | | |
| | (Extend Bush | |
| | Cuts) | |
| 10% | 0% | 0% |
| 15% | 0% | 0% |
| 25% | 15% | 15% |
| 28% | 15% | 15% |
| 33% | 15% | 15% |
| 36% | 15% | 36% |
| 39.6% | 15% | 39.6% |
As shown in Figure 1 above, personal exemptions and deductions decrease AGI in arriving at taxable income. Personal exemptions are a specific amount ($3,900 for 2013) for taxpayers, their spouses, and each dependent claimed on their tax return. The exemption amounts are indexed for inflation each year. Standard deductions are an amount that differs across filing status and can be deducted from AGI when computing taxable income ($6,100 for singles and $12,200 for joint filers in 2013). Itemized deductions are allowable expenses that one can deduct from their AGI. The original idea of having exemptions and deductions stemmed from the belief that a certain level of income should be insulated from taxation to allow for a minimal standard of living. These deductions also provide more specific treatment to persons with differing abilities to pay taxes due to various conditions. For example, personal exemptions allow larger households to deduct more, thereby paying less tax than households with fewer dependents. Itemized deductions help
persons with larger medical expenses deduct them from AGI. Itemized deductions also represent Congress's desire to direct resources to areas such as charitable organizations and the housing market. The deductibility of charitable contributions and housing mortgage payments essentially represent a form of subsidy to these sectors of the economy.
High-income taxpayers face a reduction to their personal exemptions when their AGI exceeds a certain level. The 2001 tax act gradually eliminated the phaseout of the exemption, but the phase-out was re-enacted in 2013 (Tax Policy Center, 2012). The phase-out reduces the value of each claimed exemption by 2% for each $2,500 or part thereof of AGI above a threshold that depends on the filing status. Personal exemptions are thus fully phased out over a $122,500 range above the threshold (Tax Policy Center, 2012). The limitation on itemized deductions- known as Pease after the Congressman who introduced it, reduces certain itemized deductions by 3% of AGI above a predetermined threshold, or 80% of the total itemized deductions subject to phase-out, whichever is less (Tax Policy Center, 2012). President Obama proposed allowing both the personal exemption and Pease phase-outs to resume, but would change the income threshold above which the two apply. The proposed threshold for both is $261,450 for married filing jointly and $209,150 for single filers (Tax Policy Center, 2012). Refer to Table 6 for details on Pease and PEP.
Table 6. Other Proposed provisions in the Proposal (Tax Policy Center, 2012)
| Provision | | The Proposal | | The Baseline |
|---|---|---|---|---|
| Phase-out of itemized | Reduce itemized deductions by 80%, or by 3% of AGI above the PEP threshold, whichever is less | | NO | |
| deductions (Pease) | | | | |
| Personal exemptions | Reduce exemption by 2% for each $2,500 above $261,450 (joint) or $209,150 (single) | | NO | |
| phase-out (PEP) | | | | |
| 28% limit | Limit the value of some exclusions and itemized deductions to 28% of their gross amount | | NO | |
| Social Security tax | Lower the employee’s portion by 2% to 4.2% | | Same as the Proposal | |
| Earned Income Tax | Make permanent increase in maximum credit and phase-out income levels | | Same as the Proposal | |
| Credit | | | | |
| American Opportunity | Make the credit permanent and index for inflation | | Same as the Proposal | |
| Credit | | | | |
| Child and Dependent | Increase phase-out income level from $28,000 to $75,000 | | Same as the Proposal | |
| Care Credits | | | | |
On top of these two measures, President Obama proposed adding another limit to some specified exclusions and itemized deductions taken as a whole: that their values not exceed 28% of their gross amount (Tax Policy Center, 2012) (see Table 6). The value of a tax deduction or exclusion equals the tax savings one can derive from it, which is simply the amount of the deduction/exclusion multiplied by one's marginal tax rate. Limiting the value of deductions and some exclusions to 28% would make itemized deductions and these specified exclusions less attractive to taxpayers who would be in the 36% and 39.6% brackets under the Proposal.
Social security funding comes from employees and their employers, as well as from self-employed individuals. Workers and their employers each pay 6.2% of wages/salaries up to a specified amount, which is indexed for inflation. Selfemployed individuals pay the combined rate of 12.4% (Tax Policy Center, 2012). The maximum income subject to the Social Security tax is $110,100 for 2012. The
TRUIRJCA of 2010 reduced the employee's portion of the Social Security tax rate by 2% in hopes of providing stimulus to the economy. President Obama proposed further extending the rate cut through all of 2012 (Tax Policy Center, 2012).
President Obama also proposed extending a number of tax credits. The Earned Income Tax Credit provides a wage subsidy that varies based on number of children and marital status and is a function of one's earned income (Tax Policy Center, 2012). The President sought to make the increase in the maximum credit and in the phase-out income levels permanent (Tax Policy Center, 2012). For the American Opportunity Credit, an education credit that allows for deduction of one's tuition, fees and course materials in each of the first four years of postsecondary education up to $2,500, the President sought to make this credit permanent and index it for inflation (Tax Policy Center, 2012). Other than the two credits above, President Obama proposed expanding the Child Tax Credit and Dependent Care Tax Credit by increasing the phase-out income level from $28,000 to $75,000 (Tax Policy Center, 2012). See Table 6 for a summary of these credit.
While this section lists most of the changes to the tax code that President Obama has proposed, it is by no means all-inclusive. Two types of proposed changes are not listed above: changes with respect to corporations, estates, and trusts, and changes that are estimated to bring in relatively small amounts of revenues or incur relatively small amounts of tax expenditures. An example of this is raising the AGI floor on medical expense deductions from 7.5% to 10%, which is projected to raise $15 billion in revenue through 2019 (Dubay, 2011).
Illustration of the Proposal
To aid the reader's understanding of the Proposal, I use two hypothetical scenarios to illustrate how tax treatments would differ for high-income individuals and those in the middle-income bracket. I also compare each hypothetical taxpayer's taxes to their taxes as if calculated under the Baseline.
Joe James is an assistant inspector at a local warehouse. He is going back to college after dropping out a few years ago. He earns $42,000 annually from his job. His wife Tina earns $40,000 from her job as a cashier. Table 7 shows the James' major incomes and tax-deductible expenses for the year 2013.
Table 7. The James' income/deductible expense for 2013
| Salary | $82,000 |
|---|---|
| Employer-Sponsored Health Insurance | $2,000 |
| Qualified Tuition | $1,000 |
Mrs. and Mr. Brown file a joint return. They have two children who live with them and are supported by them. Mrs. and Mr. Brown earn a salary of $250,000 and $120,000 respectively each year. In addition, they had $80,000 of long-term capital gains from stock trading, $10,000 of municipal bond interest, and other expenses that are deductible for income tax purposes. Table 8 shows major items on their joint return for 2013.
Table 8. The Browns' income/deductible expenses for 2013
| The Browns’ Income/Deductible Expense For 2013 | |
|---|---|
| Mrs. Brown’s Salary | $250,000 |
| Mr. Brown’s Salary | $120,000 |
| Long-Term Capital Gains | $80,000 |
| Municipal Bond Interest | $10,000 |
| State And Local Income and Property Taxes | $18,000 |
| Mortgage Interest Payment | $4,000 |
| Charitable Contributions | $8,000 |
| Qualified Moving Expenses | $6,000 |
The James' gross income would be their salary of $82,000. Since they do not have expenses that qualify for above-the-line deductions, their AGI would be the same as gross income, $82,000. They take the standard deduction of $12,200 for joint filers, which, combined with the $7,800 personal exemption, gives them taxable income of $62,000. According to the Proposal's rate schedule, they would fall into the 15% bracket and their gross tax liability would be $8,425. Because they have $1,000 worth of qualified tuition, they can claim $1,000 of American Opportunity tax credit, which would reduce their taxes due to $7,425. Under the Proposal, 4.2% of Social Security tax and 1.45% of Medicare tax would apply to the James' ordinary income. Therefore, they would pay $3,444 in Social Security tax and $1,189 in Medicare tax under the Proposal.
The Browns' gross income, i.e. every income source listed except for the taxexcludible municipal bond interest, would be $450,000 under the Proposal. They can then deduct the $6,000 moving expense as an above-the-line item to reduce their AGI to $444,000. Itemized deduction, while totaling $30,000 for the Browns, would be reduced to $24,523.5 by Pease under the Proposal. The Browns' personal exemptions would have no effect on their taxes due to the re-introduction of personal exemption phase-out under the Proposal. Because President Obama proposed limiting the value of some exclusions and itemized deductions to 28%, the Browns' exclusions and itemized deduction of $34,523.5 should yield the same tax savings as if they were $24,410.56 of deductions absent the 28% limit, and their taxable income would be $429,589.44. Their long-term capital gains would be taxed at 20% under the Proposal because their ordinary income falls into the 39.6% bracket. Their payroll tax rates would be the same as Joe's except for the higher 2.35% Medicare tax on income above $250,000. Because their AGI is above the $250,000 threshold, their capital gains would be subject to the 3.8% Medicare surtax. Table 9 compares each taxpayer's financial position and taxes due under the Baseline and the Proposal.
Table 9. The James' and the Browns' federal income tax figures for 2013, under the Proposal and the Baseline
| | The James | | The Browns | |
|---|---|---|---|---|
| Financial Measures | | | | |
| | The Baseline | The | The Baseline | The |
| | | Proposal | | Proposal |
| Gross Income | 82,000 | 82,000 | 450,000 | 450,000 |
| Above-the-line deductions | 0 | 0 | 6,000 | 6,000 |
| AGI | $82,000 | $82,000 | $444,000 | $444,000 |
| Deduction | 12,200 | 12,200 | 30,000 | 24,524 |
| Exemptions | 7,800 | 7,800 | 15,600 | 0 |
| Taxable income | 62,000 | 62,000 | 398,400 | $429,589 |
| Tax Credits | 0 | 1,000 | 0 | 0 |
| Federal Income Tax | $8,425 | $7,425 | $82,323 | $95,398 |
| Capital Gains Tax (Including 3.8%) | $0 | $0 | $12,000 | $19,040 |
| Payroll Tax | $4,633 | $4,633 | $9,989 | $11,069 |
By examining the Proposal, President Obama's intent to increase taxes on the wealthy is evident. Almost all proposed changes that aim to increase tax rates or
limit deductions apply solely to high-income individuals. This pattern is also evidenced by a comparison of the hypothetical taxpayers' tax returns: under the Baseline, the Browns will pay 10 times more in income tax than the James; however, they would pay 13 times more than the James under the Proposal. This gap results from the higher rates for higher earners under the Proposal and the fact that President Obama proposed extending many tax credits that had been initially created to increase take-home income for the middle class and low-income taxpayers. Payroll tax is higher for the Browns under the Proposal than under the Baseline because of the increase in Medicare payroll tax on income over $250,000 in the Proposal. Another significant increase for the Browns is on their capital gains tax, which went from 15% to 23.8%.
EVALUATING THE PROPOSAL BASED ON STANDARDS OF A GOOD TAX
Over two decades of Federal budget deficit has left the national debt at an unsustainable level. Economists and politicians widely agree that this amount of debt will hamper the long-term prospects of the United States and put a tremendous burden on future generations (AICPA, n.d.). The sufficiency of the tax plan, therefore, becomes an important criterion. According to a Tax Policy Center analysis of the 2013 budget proposal (2012), President Obama's tax plan would increase Federal tax receipts by $2.1 trillion relative to the current policy baseline (which assumes all policy as it stands in 2012 except allowing the payroll tax holiday to expire) during the course of the next decade. Of the $2.1 billion increase, $440 billion comes from allowing the Bush tax cuts to expire for the wealthy, $236 billion comes from reverting rates on long-term capital gains and qualified dividends for the wealthy,
$119 billion comes from fixing the estate tax at its 2011 indexed parameters, $165 billion comes from reinstating PEP and Pease, and $580 billion comes from the 28% limit on the value of itemized deductions (Tax Policy Center, 2012). Whether the Proposal will generate sufficient revenues depends on the federal government's spending level and its overall strategy to reduce federal debt, but the Proposal would likely generate more tax revenues than the Baseline in the next decade.
The Proposal contains a number of provisions different from the Baseline that seem to simply the tax code, and some other provisions that make it less convenient to administer. An example of simplification is indexing the 2011 alternative minimum tax (hereafter, "AMT") parameters to inflation (Tax Policy Center, 2012). Taxpayers are subject to AMT only if their tentative AMT liability exceeds their regular income tax liability (Tax Policy Center, 2012). AMT is computed with a different rate schedule and tax base than regular income tax (Tax Policy Center, 2012). Although it was created to limit the amount of tax preferences and deductions available to the wealthy, it has evolved to affect increasingly more taxpayers in the middle class (Tax Policy Center, 2012). This is because the exemptions were created to be a fixed amount for each year, and as taxpayers' income increases over time, more of them incur AMT liability (Tax Policy Center, 2012). The Proposal would index to inflation the 2011 AMT parameters. If enacted, Congress would not need to pass AMT patches to increase exemption amounts each year. This also increases certainty when it comes to computing and estimating one's AMT liability, thus simplifying tax planning and filing. President Obama proposed simplifying rules for claiming the Earned Income Tax Credit (hereafter, "ERTC") for those otherwise eligible for the ERTC residing with qualifying children whom they do not claim (Department of Treasury, 2012). This makes the ERTC less confusing and easier to claim.
Certain provisions in the Proposal make preparing tax returns more complicated. The personal exemption phase-out, itemized deduction phase-out, and the 18% limit on itemized deductions in the Proposal would all require additional calculations on one's tax returns and can be confusing to some taxpayers. Because the Proposal contains both provisions simplifying the tax code and those complicating the tax code, the administrative convenience of the Proposal overall does not differ significantly from the Baseline.
Efficiency deals with the effect that the tax system has on economic activities. According to a Heritage Foundation study, the Proposal would decrease total U.S. economic output by an average of $196 billion each year from 2013 to 2022 relative to the Baseline (Beach, 2012). They also project that the Proposal would increase the U.S. unemployment rate by an average of 0.46% each year from 2013 to 2022 relative to the Baseline (Beach, 2012). They cited higher cost of capital investment, lower incentive to work, and less job creation due to less investment as causes of those numbers (Beach, 2012). If this study proved accurate, the Proposal would be economically inefficient.
Recall that equity is a central theme to the Proposal. Without any quantitative analysis, the Proposal implies a higher level of vertical equity than the Baseline, through mandating more provisions that increase tax rates for the wealthy
and limit their deductions. The next section provides an analysis of the vertical equity of the Proposal relative to the Baseline.
MEASURING THE VERTICAL EQUITY OF THE PROPOSAL: METHODS
This section provides details on the computation of the Kakwani indices of income inequality and tax progressivity based on the Gini index values of pre-tax income distribution, tax distribution, and after-tax income distribution. Following the computation of the indices are two methods of adjusting the computation of the indices that enable comparing the indices between income sources and over time.
The Gini Index
A Lorenz curve plots the relationship between the cumulative proportion of taxpayers (see x axis in Figure 2) and the cumulative proportion of their corresponding income (see y axis in Figure 2) (Iyer, 2012). Taxpayers are arranged in the order of their income, from lowest to highest (Iyer, 2012). Similarly, a tax curve illustrates the relationship between taxpayer proportions to their taxes paid, with taxpayers arranged by their taxes paid, from lowest to highest (Iyer, 2012). A Lorenz curve is a graphical representation of the income distribution, and a tax curve is a graphical representation of the tax distribution. An egalitarian line is a 45° line that intersects with point (0,0) (see Figure 2)(Iyer, 2012). In this context, it represents a perfectly equal state where the cumulative proportion of income/tax equals the cumulative proportion of taxpayers at any given point on the line (Iyer, 2012).
The Gini index is a widely used index that measures inequality in a distribution. It is measured as twice the area bounded by the egalitarian line and the Lorenz or tax curve (area bounded by the Income curve/Tax curve and the Egalitarian line in Figure 2) (Iyer, 2012). Because taxpayers are arranged by their income/tax, the slope of the Lorenz/tax curve, which graphically represents incremental income/tax, increases as it moves to higher taxpayer proportions on the line. Therefore, a Lorenz/tax curve can only move away from the egalitarian line to its right/below. If the distribution becomes more equal, the Lorenz/tax curve moves towards the egalitarian line. Thus, a larger Gini index denotes greater inequality in the distribution.
Kakwani Indices of Income Inequality and Tax Progressivity
Recall that I attempt to measure the degree of vertical equity of the Proposal and the Baseline using the Kakwani indices of income inequality and tax progressivity. The computation of both of these indices is based on the Gini index value of income and tax distributions (Iyer, 2012). I demonstrate the computation of these indices with data extracted from the Tax Policy Center 2013 Budget Analysis (2012, Feb), which is reproduced in Table 10. Note that data are organized by size of AGI, from lowest to highest. Column A lists cumulative taxpayer proportion by size of AGI. Column B shows the cumulative pre-tax income proportion. I used the 2010 Statistics of Income data from the IRS (2012, Fall) to reproduce the Baseline distribution for S&W, qualified dividends, and capital gains (columns C through E). The assumption is that the 2010 distribution of these income sources is a reasonable approximation of the 2013 distribution. Columns F, H and columns G, I show the cumulative tax proportion and cumulative proportion of after-tax income (net of credits), for the Baseline and the Proposal respectively.
The Kakwani index of income inequality, K(I), measures the change in equality in the income distribution as a result of the tax system (Iyer, 2012). It compares the after-tax income distribution against the pre-tax income distribution. K(I) = Ginipre-tax- Giniafter-tax (Iyer, 2012). Ginipre-tax is always greater than Giniafter-tax, resulting in a positive K(I) or zero. Larger K(I) values indicate higher vertical equity levels. If the pre-tax and after-tax income distributions are identical, which implies a flat tax rate, K(I) is zero as the two corresponding Lorenz curves overlap. If the pretax income distribution becomes more unequal, holding the after-tax income distribution constant, K(I) will increase. If the after-tax income distribution becomes more equal, holding the before-tax income distribution constant, K(I) will increase.
The Kakwani index of tax progressivity, K(P), measures vertical equity from a different angle than K(I). K(P) is the difference between the Gini index of the tax curve and the Gini index of the pre-tax income distribution (Iyer, 2012). i.e. K(P) = Ginitax - Ginipre-tax (Iyer, 2012). Under a proportional tax, the tax curve will overlap
with the pre-tax Lorenz curve, because for any given proportion of taxpayers, the cumulative proportion of tax paid equals that of their pre-tax income. Thus, a proportional tax structure results in a zero value for K(P) (Iyer, 2012). Similar to K(I), when the tax distribution becomes more progressive, that is, cumulative proportion of taxes paid grows at an increasing rate as it moves across the taxpayer strata, K(P) increases (holding the pre-tax income distribution constant); and vice versa. Therefore, K(P) is always positive under a progressive tax structure. Larger values of K(P) indicate greater progressivity, resulting from either changes in the tax system or changes in the pre-tax income distribution.
Table 10. Selected data from Tax Policy Center 2013 Budget Analysis (Internal Revenue Service, 2012, Fall; Tax Policy Center, 2012, February)
AGI Range
The Baseline
(In
Thousands
Of U.S.
Taxpayer
Propor- Pre-Tax Salaries & Qualified Capital
After-
Tax
The Proposal
After -Tax
Dollars)
tion
Income Wages Dividends Gains Tax Income Tax Income
A
B
C
D
E
F
G
H
I
Decomposing the Kakwani Indices
In their work, Iyer et al. (2012) use a method introduced by Silber to decompose the Kakwani indices by sources of income. They start by decomposing the Gini index by income source. According to Silber, the Gini index can be written (with matrix notation) as
Gini = e'Gs where e is a column vector of n elements, each element equal to 1/n (e' being the corresponding row vector); s is a column vector of n elements being respectively equal to s1, s2, … , sn; and G, also called the G-matrix, is an n by n matrix whose elements gij, are equal to -1 when i > j, +1 when i < j, and 0 when i = j (Iyer, 2012). Applied to income distribution, e represents the proportion of taxpayers and s represents the proportion of income received by them (Iyer, 2012). Assuming AGI is made up of several sources, the Gini index of each source income can be expressed in the formula above, except for replacing s with income share from each source (Iyer, 2012). Finally, summarizing Gini indices of all incomes scaled by their respective share in total income results in the Gini index for total income (Iyer, 2012).
k
Gini total
= S
i
* Gini
i
i=1
Where k is the number of income sources, and Si is the share of income source i in total income (Iyer, 2012). If we call Si * Ginii the adjusted Gini for an income source, then this adjusted Gini in percentage of Gini for the total income distribution can represent the contribution of income source i to total income Gini (Iyer, 2012).
What is the goal of decomposing the Kakwani indices? Much like that with the Gini index, decomposing the Kawani indices shows the contribution of each income source to the K(I) and K(P) of total income/tax distribution (Iyer, 2012). Since K(I) = Ginipre-tax- Giniafter-tax, to compute the effect of the distribution of salaries and wages on K(I), we replace Ginipre-tax with GiniS&W (Iyer, 2012). Because S&W's impact is limited by its share in total income, K(I)S&W = (GiniS&W - Giniafter-tax) * SS&W, where SS&W denotes S&W's share in total income (Iyer, 2012). Likewise, to
decompose K(P), we replace Ginipre-tax with GiniS&W and scale Ginitax - GiniS&W based on S&W's share in total income (Iyer, 2012).
Real K(P)
We can also compare K(I) and K(P) under the Proposal and the Baseline with their historical values. In Iyer et al.'s paper (2012), they compute the K(I) and K(P) for years 1995 to 2006 using the Statistics of Income Data. Comparing the indices under the Proposal and the Baseline with Iyer et al.'s results (2012) will give meaning to the indices in a historical context.
Iyer et al. (2012) introduced a method in which they converted K(P) into what they called "real K(P)." Because K(P) is the difference between the Gini index value of the tax distribution and the Gini index value of pre-tax income distribution, it will change according to the pre-tax income distribution, even if the tax system stays the same (Iyer, 2012). We are able to compare K(P) between the Proposal and the Baseline only because I assume their pre-tax income distribution is the same. To convert K(P) to make it comparable over time is to hold the pre-tax income distribution constant and make only the tax system a variable. Iyer et al. (2012) gives the following formula to adjust K(P) to K(P)real, where the adjusted tax share for each income bracket equals:
Current year tax share x 1995 income share /current year income share x 1995 proportion of taxpayers in the group /current year proportion of taxpayers in the group.
This formula designates year 1995 as a base year, and essentially converts the current year tax share of an income bracket into what their tax share would have been in 1995, by adjusting the tax share first by their income, and by number of taxpayers in the income bracket (Iyer, 2012). With the assumption that the average effective tax rate within each income bracket is the same each subsequent year as 1995, the above formula computes K(P)real for a given year as if that year's tax system was applied to 1995 pre-tax income (Iyer, 2012).
RESULTS AND ANALYSIS
Based on data reproduced in Table 10, Gini indices of the pre-tax income, after-tax income, and tax distributions are computed for the Baseline and the Proposal respectively. K(I) and K(P) are computed with the Gini input. Table 11 shows the results.
Table 11. Gini indices of incomes sources and the computed Kakwani indices of the Proposal and the Baseline
| | | | | The Baseline | | The Proposal | |
|---|---|---|---|---|---|---|---|
| | Salaries | | | | After- | | After- |
| Pre-Tax | & | Qualified | Capital | | Tax | | Tax |
| Income | Wages | Dividends | Gains | Tax | Income | Tax | Income |
The Gini of pre-tax income distribution, which is the same for the Baseline and the Proposal, is 0.5865. The Proposal's tax Gini index is slightly higher than the Baseline. Because the pre-tax income that is subject to tax is the same for the Proposal and the Baseline, a larger tax Gini index indicates more progressivity in the proposed tax system than in the Baseline tax system. Because of the more progressive tax distribution under the Proposal, its after-tax income Gini is slightly lower than the Baseline's (i.e. the Proposal's after-tax income distribution is less unequal than the Baseline.)
K(I) and K(P) provide evidence consistent with the Gini indices. K(I) measures the difference between pre-tax Gini and after-tax Gini. It can be interpreted as the equity improvement in income distribution as a result of taxation. Because pre-tax distribution is the same for the Baseline and the Proposal, comparing K(I)'s actually measures solely the difference in after-tax income Gini indices. Of the 0.0404 of K(I) of the Proposal, the 0.0065 difference from the Baseline represents a 16% improvement in equity under the Proposal. K(P) is a measure of tax progressivity and is affected by pre-tax income distribution. Similarly, because the pre-tax Gini index is held constant here, the difference in K(P) between the Baseline and the Proposal can be attributed to their different tax systems. The Proposal's tax progressivity is higher than the Baseline's by 0.0135.
Table 12 shows percentage contribution of each of the three primary income sources to K(I) and K(P) indices for both the Proposal and the Baseline. Generally, the percentage each primary income source contributes is similar between the Proposal and the Baseline. This is likely an indication that the equity change in the income distribution caused by the Proposal's tax system is relatively evenly distributed across various income sources, resulting in small changes in the percentage contribution of each income source to total K(I) and total K(P).
S&W, under both the Proposal and the Baseline, constitutes the most significant driving force in decreasing K(I). In computing K(I) for specific income sources, a decrease in K(I) caused by the Gini of an income source lower than the
Gini of after-tax income means that the income source is more equally distributed relative to the after-tax income, thereby resulting in an equity gain. S&W increases equity in total K(I) by 118.8% and 128.7% under the Proposal and the Baseline respectively. However, it is partially offset by capital gains and qualified dividends, combining for a 39.8% and 38.9% decrease in equity under the Proposal and the Baseline respectively.
Two factors affect the percentage contribution of each income source to total income: the share of the income source in AGI, and the distribution of the income source. When divided by their respective share in AGI, contribution of each income source to AGI shows their (income sources) ability in increasing/decreasing equity in the after-tax income distribution, per percentage of AGI. Take the Proposal for example. Because S&W makes up 71.1% of AGI, with the 118.8% overall contribution to K(I), it increases equity by 1.67% per percentage of AGI. Capital gains constitute 4.8% of AGI, and decreases equity by 6.77% per percentage of AGI. Qualified dividends decrease equity by 4.4% per percentage of AGI. Compared with S&W's 1.67%, capital gains' 6.77% and qualified dividends' 4.4% indicate a stronger equity-decreasing effect than S&W's equity enhancing effect on a percentage-of-AGI basis. This is likely the outcome of concentration of capital gains and qualified dividends in the top income bracket. It may also be caused by the preferential tax treatment of capital gains relative to S&W under the Proposal.
S&W, under the Baseline, has a larger equity-enhancing effect of 128.7% than under the Proposal. Capital gains and qualified dividends produce larger decreases in equity under the Proposal than the Baseline. The combination of less equity
enhancing by S&W and more equity decreasing by capital gains and qualified dividends under the Proposal than the Baseline, on a percentage basis, implies that the rest of the income sources under the Proposal have a smaller collective equity decreasing effect to K(I).
Table 12. Decomposition of K(I) and K(P) by income source
| K(I) | | K(P) | |
|---|---|---|---|
| The | The Baseline | The | The Baseline |
| Proposal | | Proposal | |
Under the Proposal, S&W contributes substantially more to K(P) than capital gains or qualified dividends. Because S&W is more equally distributed than tax (notice that the S&W curve is closer to the egalitarian line than the tax curve in figure 3), its K(P) is a positive value. S&W accounts for 124.2% of the K(P), or total tax progressivity under the Proposal; capital gains decreased tax progressivity by 2.9%; and qualified dividends increased tax progressivity by 0.1%. This percentage contribution to K(P) can also be explained by figure 3. Because the decomposed K(P) compares the source income distribution to the tax distribution, income sources whose curves are to the left of the tax curve, such as S&W, contribute to total K(P), or tax progressivity. While income sources whose curves are to the right of the tax curve, such as capital gains, have the effect of reducing tax progressivity.
Table 13 presents K(I), K(P) and K(P)real values for each year from 1995 to 2006 as calculated in Iyer et al.'s paper(2012). The K(I) index shows a decreasing trend with fluctuations, which is likely an outcome of increasingly equally distributed pre-tax income and a decreasingly progressive tax system during the period 1995-2006. K(P) displays an overall increasing trend, while K(P)real decreases each year from 1995 to 2000, rebounds in 2001, and decreases again each year from 2002 to 2006. The widening gap between K(P) and K(P)real suggests that the tax system is becoming less progressive over the period, while the pre-tax income distribution is becoming more equally distributed, which more than compensated for the increasingly regressive tax system. This hypothesis is consistent with that drawn from the decreasing K(I) over the same period.
The K(I) for the Baseline and the Proposal are much higher than 1995-2006 values. Two hypotheses may explain this phenomenon: pre-tax income is less equally distributed under both scenarios than during the period 1995-2006, or the tax systems under both scenarios are more progressive than during the years 19952006. Under both the Proposal and the Baseline, K(P) and K(P)real are less than the smallest historical value from 1995 to 2006. This is likely an indication that both the Proposal and the Baseline's tax systems are less progressive than the tax system has been from 1995 to 2006. This finding rules out the hypothesis from the beginning of this paragraph, that the tax system is more progressive under the two scenarios than in any year during the period 1995-2006. Therefore, we can reasonably attribute the higher K(I) and lower K(P) under the two scenarios to its less equally distributed pre-tax income.
Table 13. Historical values of K(I), K(P), and K(P)real (Iyer, 2012, May-June)
K(P)real under the Proposal, 0.0169, is more than twice the K(P)real under the Baseline, 0.0072. This indicates a 235% more progressive tax system under the Proposal than under the Baseline. In contrast to the significant difference in K(P)real's, K(P) under the Proposal only indicates a 109% more progressive tax system than under the Baseline. This suggests a large amount of "noise" in K(P) produced by the changing pre-tax income- it inflates K(P) substantially and makes the difference in tax progressivity seem less significant.
DISCUSSION
One limitation of this paper is that it only studies the tax side of the income redistribution, and does not incorporate government spending. The federal government redistributes income in the economy through collecting taxes and then spending the revenue on programs that benefit its citizens. In Steuerle's paper (2003), he argues that Social Security and Medicare are regressive, in part due to the longer life span of the wealthy than the poor. Overall, government expenditure might be regressive in that people with high income tend to enjoy less benefit in relation to their income size than people with low income (Steuerle, 2003). When a tax proposal results in a net change in tax revenue, the expenditure level needs to change accordingly assuming revenues and spending have to balance in the long run. Because spending changes tend to follow the distribution pattern of existing spending, i.e. the net change in spending tends to be regressive, the outcome of a tax proposal and its corresponding spending proposal is likely different than what the tax proposal alone reveals (Steuerle, 2003). Future studies on the Obama tax proposals can incorporate his proposals on spending changes, and account for those changes quantitatively to each income bracket to evaluate the full redistributive effect of his proposals.
Another limitation of this paper is that in evaluating equity and progressivity, it focuses on the federal income tax alone without examining other types of tax one may be subject to. According to Iyer et al. (2012, March-April), this may lead to incomplete or inaccurate conclusions because other taxes may differ significantly from the federal income tax in their progressivity. For example, when including
payroll taxes, the progressivity of the federal income tax is reduced by 50% (Iyer, 2012, March-April). Therefore, one could apply the findings in this paper more effectively in conjunction with a thorough evaluation of other major types of taxes on the individual level. In other words, this paper could be one piece of a larger effort to understand the equity and progressivity of the entire Obama tax proposal.
According to Poterba (2007), the tax system has an indirect effect on pre-tax income distribution that arises from changes in taxpayer behavior that are induced by the tax system. Generally, a reduction in marginal tax rate for a certain segment in the income distribution is likely to raise the pre-tax income share accruing to this segment (Poterba, 2007). Taxpayers' behavior in response to tax changes may take forms of generating more income (for low income taxpayers in response to higher marginal rates), changing the mix income components (employer benefits vs. salary), changing the timing of income reporting, etc. In this paper, I computes the Kakwani indices for 2013 assuming the pre-tax income distribution is the same for the Proposal and the Baseline. This limitation can be overcome by using a dynamic projection of pre-tax income distribution that gives consideration to taxpayers' changing behaviors in response to a tax proposal.
Besides addressing the three limitations above, future studies of the vertical equity and tax progressivity of a tax proposal can attempt to create a method to adjust K(I) so to allow the comparison of K(I)'s from different years. Future studies can also explore the relationship of the difference between K(P) and K(P)real to the evolving pre-tax income distribution over time. This could provide critical insights into understanding the factors driving the value of K(P). Finally, future studies can evaluate the choice of 1995 as the base year which K(P)'s from other years are adjust to. As the economy evolves and interacts with the tax system, a pre-tax income distribution that changes each year is expected. Therefore, a more recent year could be more representative to the current pre-tax income distribution and makes for a more meaningful base year.
IMPLICATIONS
The Kakwani indices have been used widely in economics and tax policy studies to evaluate the progressivity of existing tax systems or tax systems in place in the past. This thesis provides a way to compute the Kakwani indices of two hypothetical tax systems and make comparisons based on the indices. The thesis also incorporates the decomposition of the indices into various income sources, which allows us to attribute index values to income sources on a percentage basis (Iyer, 2012 May-June). The conversion of K(P) to K(P)real isolates the effect of the tax system on K(P)real, allowing us to quantify tax progressivity alone (Iyer, 2012 May-June). Overall, this thesis examines the four standards of a good tax, and in particular, the vertical equity implications of a tax system. With careful consideration of the equity indices, vertical equity could be more effectively factored into policy makers' decisions with respect to tax policies.
CONCLUSION
Overall, the Proposal would likely generate more tax revenues through a combination of applying higher rates on the wealthy and limiting their deductions, thus scoring high on sufficiency. The Proposal does little on convenience, as it has a mix of provisions, some of which would simplify the tax code, and some of which
would complicate it. Many projected that the Proposal would slow down economic growth relative to the Baseline in the next decade. Therefore, the Proposal is likely less economically efficient than the Baseline.
The Proposal implies a higher vertical equity than the Baseline as evidenced by its higher overall K(I). The Proposal also has a more progressive tax system than the Baseline as evidenced by its higher K(P). The three primary income sources constitute similar percentages of tax progressivity and equity in the Proposal and the Baseline. Considering differences in K(I), K(P), and K(P)real between the Proposal and the years 1995-2006 leads to the conclusion that the Proposal's pre-tax income distribution is less equally distributed than during 1995-2006, and its tax system is less progressive than during 1995-2006.
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Iyer, Govind S., Seetharaman, A., & Englebrecht, T., (1996) An analysis of the distributional effects of replacing the progressive income tax with a flat tax. Journal of Accounting and Public Policy, 15 (2), 83-110. http://dx.doi.org/10.1016/0278-4254(96)00013-0
Iyer, Govind S., Jimenez, P., & Reckers, P. M.J. (2012, March-April). Comparing the top and the bottom income earners: Distribution of income and taxes in the United States. Journal of Accounting and Public Policy, 31, 226-234. http://dx.doi.org/10.1016/j.jaccpubpol.2012.02.001
Iyer, Govind S., & Reckers, P. M.J. (2012, May-June). Decomposition of progressivity and inequality indices: Inferences from the US federal income tax system. Journal of Accounting and Public Policy, 31, 258-276. http://dx.doi.org/10.1016/j.jaccpubpol.2011.08.008
Nadia. (n.d.). Adam Smith's recommendations on taxation. Retrieved from http://www.progress.org/banneker/adam.html
Pew Research Center. (2012, July). Raising taxes on rich seen as good for economy, fairness. Retrieved from http://pewresearch.org/pubs/2309/taxes-obama-romney-raising-rich-helpeconomy-$250000-democrats-republicans-independents-hike-fairness
Poterba, James M. (2007, May). Income inequality and income taxation. Journal of Policy Modeling, 29, 623-633. http://dx.doi.org/10.1016/j.jpolmod.2007.05.010
Sahadi, Jeanne. (2008, June). What Obama means by tax the wealthy? Retrieved from http://money.cnn.com/
Steuerle, G. (2003, September 1). Can the progressivity of tax changes be measured
in isolation? Tax Notes. Retrieved from http://www.taxpolicycenter.org/UploadedPDF/1000558_EP_090103.pdf
Tax Policy Center. (2011, Jan 26). Selected provisions of major tax legislation by act,
1981 to 2010. Retrieved from http://www.taxpolicycenter.org/legislation/upload/legislation_by_act-2-2811-4.pdf
Tax Policy Center. (2012, February). Tax proposals in the 2013 Budget. Retrieved from http://www.taxpolicycenter.org/taxtopics/2013-Budget.cfm
Tax Policy Center. (2013, January). Tax provisions in the American Taxpayers Relief Act of 2012 (ATRA). Retrieved from http://www.taxpolicycenter.org/publications/url.cfm?ID=412730
ABSTRACT
President Obama's 2013 federal budget proposal included provisions that would generally increase taxes for the wealthy. This paper evaluates the Obama tax proposal on individual income taxes against a baseline representing the 2011 tax law. The evaluation first follows the guideline of four standards of a good tax by the AICPA (2001), and then focuses on the vertical equity of the proposal by computing its Kakwani indices of income inequality and tax progressivity. Finally, the paper uses Iyer et al.'s method to decompose the Kakwani indices by income components, and converts K(P) to isolate the effect of the tax system (Iyer, 2012, May-June). Results show that President Obama's tax plan in the 2013 federal budget proposal is more vertically equitable than the chosen baseline, in that it creates more equity in the income distribution (a higher K(I)), and that it has a more progressive tax system (a higher K(P)). Comparison of the indices with historical index values shows that the proposal's tax system is less progressive than any year from the period 1995-2006.
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5 ESSENTIAL KEYS TO CHOOSING THE BEST NETWORK MARKETING COMPANY FOR YOU
FOLLOW YOUR PASSION TO LIVE YOUR DREAMS
Dr. Gillian Lockitch
NETWORK MARKETING PROFESSIONAL TOOLS
THE GROWING OLDER LIVING YOUNGER PROJECT
This information is provided for educational purposes only.
© 2021 Dr. Gillian Lockitch
FIND YOUR NETWORK MARKETING NICHE
The richest people in the world find and build networks; everyone else looks for work (Robert Kyosaki)
On her 70th birthday, when Dr. Gillian Lockitch started her network marketing, health, wellness and anti-aging business, it was by sheer chance that she partnered with a company leading the epigenetic, anti-aging science industry AND found a heart-centered, energizing, supportive team of mentors. After being approached multiple times by people hoping to recruit her to their MLM company, she created her system of 5 Essential Keys to evaluate other network marketing opportunities against the billion-dollar global, health, beauty and anti-aging company she still represents today.
An international speaker and author of Growing Older, Living Younger: The Science of Aging Gracefully and The Art of Retiring Comfortably, Dr. Gill is host of the Growing Older, Living Younger Podcast, founder of the Growing Older, Living Younger Project, as well as leading her global team of independent, opportunity-oriented entrepreneurs.
NETWORK MARKETING PROFESSIONAL TOOLS
2
This information is provided for educational purposes
READ THIS FIRST
Before you even begin to work through the 5 Keys to choosing the right network marketing business for you to earn a passive income, it is important to define your main business objective.
WHAT IS YOUR PRIMARY GOAL FOR THIS BUSINESS?
q Is this just a side hustle to earn EXTRA DISCRETIONARY INCOME?
q Do you NEED ADDITIONAL INCOME to SUPPLEMENT your primary income source?
q Are you looking to REPLACE YOUR WORK INCOME and build a ‘work-anywhere’ fulltime business?
q Do you want TOTAL FINANCIAL FREEDOM TO LIVE YOUR DREAM LIFE?
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Having identified your primary goal, using the 5 keys will support you in making the right choice for now, as well as looking to the future when your goal might change.
NETWORK MARKETING PROFESSIONAL TOOLS
NETWORK MARKETING PROFESSIONAL TOOLS
3 3
THE 5 ESSENTIAL KEYS TO CHOOSING THE NETWORK MARKETING COMPANY THAT ALIGNS WITH YOUR GOAL
1. UNDERSTAND GLOBAL CONSUMER TRENDS
2. FOLLOW YOUR PASSION
20 203 3. EXPLORE THE PRODUCTS
4. DO YOUR DUE DILIGENCE ABOUT THE COMPANY
5. EVALUATE THE AFFILIATE MARKETING SYSTEM
NETWORK MARKETING PROFESSIONAL TOOLS
4 3
KEY 1. UNDERSTAND GLOBAL CONSUMER TRENDS
A rising tide lifts all boats (John F. Kennedy)
HERE IS A LIST OF SOME MAJOR CONSUMER TRENDS IN 2021
Technology
Digital and cloud computing
Business on your Smart Phone
Applied technology
On-line Shopping and Courses
Artificial Intelligence
Social Media Marketing
Work from Home
Gig Economy and Affiliate Marketing
NETWORK MARKETING
Flexible schedules
Health, Fitness and Anti-aging
PROFESSIONAL TOOLS Multi-Billion Dollar Industries/ Products
Digital coins
Personal Development
Financial Planning
Other consumer trends
Leadership and Coaching
Planet Stewardship
Ecological travel
NETWORK MARKETING PROFESSIONAL TOOLS
KEY 1 - 2 UNDERSTAND GLOBAL CONSUMER TRENDS Example
The GLOBAL HEALTH AND WELLNESS INDUSTRY
2015 3.7 Trillion dollars
2018 4.2 Trillion dollars
Multi-Billion Dollar Industries within this sector
Health and Fitness
Anti-Aging
Weight Loss
Mental Health and Personal Development
Skin Care and Cosmetics
NETWORK MARKETING Projected Growth
PROFESSIONAL TOOLS Examples of Multi-Billion Product Opportunities
Home Spa and Beauty Devices
2031- $ 68 Billion
2021- $14 Billion
Ingestible Collagen
2014 - $ 50 Million
2020 - $ 293 Million
2025 - $ 6.5 BILLION
NETWORK MARKETING PROFESSIONAL TOOLS
KEY 2. FOLLOW YOUR PASSION
Choose a job you love, and you will never have to work a day in your life. (Confucius)
FIND YOUR PASSION:
What are your hobbies? What makes you happy ? What things do you like to share with others? Write down the top 3 things that would fill you with purpose very day
1. –––––––––––––––––––––––––––––––––
2. _________________________________
3. _________________________________
NETWORK MARKETING PROFESSIONAL TOOLS NETWORK MARKETING PROFESSIONAL TOOLS Return to your current business goal
Do you want to REPLACE YOUR WORK INCOME or have TOTAL FINANCIAL FREEDOM ?
Do any of the choices you made above show up in the top consumer trends? If so, these are the places to start your search.
Do you just want EXTRA DISCRETIONARY or SUPPLEMENTAL income ? Are there any trends that pique your interest though they may not be your ideal choice right now?
NETWORK MARKETING PROFESSIONAL TOOLS
KEY 3. EXPLORE THE PRODUCTS
Take care of your body, it's the only place you have to live (Jim Rohn)
Example – ResearchingConsumer Products in The GLOBAL HEALTH AND WELLNESS INDUSTRY
AVOID THE MINEFIELDS OF UNVERIFIED OPINIONS CAN YOU GET YOUR RESEARCH QUESTIONS ANSWERED DIRECTLY FROM THE COMPANY WEBSITE
Are scientific claims valid or just unsubstantiated hype?
NETWORK MARKETING 3 Is there a qualified research team of multi-disciplinary scientists? Are clinical studies made available to consumers? Do they list publications, presentations, patents ?
Can you assess the product quality?
PROFESSIONAL TOOLS
Do they have a Quality Assurance program? How complete is consumer information and documentation ?
As an affiliate what product training can you relay on? How comprehensive are product information sheets? Is the science explained in easily understood sections of the website?
KEY 4. STUDY THE COMPANY
Great companies are built on great products (Elon Musk)
Here are some of the key criteria to consider when evaluating a network marketing company :
NETWORK MARKETING q Can you build your business in any region where they operate?
PROFESSIONAL TOOLS q Do you have to purchase and then distribute products or does the company deliver direct to your clients?
q Is this a well established, financially stable company?
q Is it publicly traded, with complete financial transparency?
q Do they have an established history of award-winning products ?
q Do they consistently produce innovative, leading-edge products?
q Is the compensation plan designed to foster collaboration and support rather than competition?
q Does their ethical and philanthropic mission align with yours?
q Can you tour the corporate headquarters and meet with management?
KEY 5.
EVALUATE THE MARKETING SYSTEM FOR AFFILIATES
Lots of people will want to ride with you in the limo but what you want Is someone who will take the bus with you when the limo breaks down (Oprah Winfrey)
NETWORK MARKETING q What onboarding support and training is provided ?
PROFESSIONAL TOOLS q Are free online training and marketing resources provided?
Here are key criteria to evaluate a network marketing affiliate program
q What is the cost to start your business?
q Are there mandatory packages to purchase?
q Are there weekly or monthly minimum purchase requirements?
q Is the compensation plan simple to understand and teach?
q Is the compensation plan designed to foster support at all levels?
q Is compensation exclusively based on product sales?
q Are free websites are provided?
q Is there social media marketing support with free assets?
q What personal development training and resources are provided?
q Is there a variety of events that your team and prospects can attend?
q Are there additional incentives that one can earn?
HOW DOES THE PHILOSOPHY OF YOUR SPONSORSHIP TEAM ALIGN WITH YOUR GOALS AND ASPIRATIONS?
NETWORK MARKETING PROFESSIONAL TOOLS
HOW DOES MY NETWORK MARKETING COMPANY STACK UP?
Is this a well established, financially stable company? ✓ Founded 1984 in USA, In Canada since 1990, now > 50 countries
Is it publicly traded with complete financial transparency? ✓ On New York Stock Exchange since 1996
Do they have an established history of award-winning products ? ✓ Numerous awards for health, wellness, anti-aging products, AND company management, culture and philanthropy
Do they consistently produce innovative, leading-edge products? ✓ With frequent new 'blue ocean' windows of opportunity
Can you build your business in any region where they operate? ✓ In over 50 countries (AmericaS, Asia, Europe, Africa, Australasia)
Do you have to purchase and then distribute products? X NO. Customers shop in their own online store and products are delivered directly to them
Does the compensation plan foster collaboration and support? ✓ Yes. There are no separate legs competing within a team. The person you sponsor today could surpass your earnings tomorrow.
Does their ethical and philanthropic mission align with yours? ✓ The philosophy of being a force for good, the mission, and goals align perfectly with my goal of aging well and in good health.
Can you tour the corporate headquarters and meet with executives and scientists
[x] Yes. There are tours of headquarters AND the research facilities
HOW DOES THE AFFILIATE PROGRAM STACK UP?
What is the cost to start your business?
Are there mandatory packages to purchase? Are there weekly or monthly minimum purchase requirements?
There is NO cost to register and start your business
No mandatory packages, weekly or monthly minimum purchase requirements
Simple, clear and straightforward
Is the compensation plan simple to understand and teach?
Is the compensation plan designed to foster support at all levels?
Is compensation exclusively based on product sales?
Yes, it fosters collaboration not competition
Yes, all commission is based on product sales volume
The sponsor and sponsor's team provide as much onboard
What onboarding support and training is provided ?
training and support as an affiliate puts into practice
You get your own account website plus your unique marketing websites and resources on computer and smartphones Is there social media marketing support?
What free online training, websites and marketing resources are provided?
Social media pictures and videos are free to use within company guidelines about allowable claims and terminology
There are numerous online and in-person events and trainings at all levels
What personal development training and resources are provided?
Are there additional incentives that one can earn?
You can qualify for 2 Success Trips a year, starting June and January each year.
THE GROWING OLDER LIVING YOUNGER COMMUNITY
You can register for a free copy of my book at gillianlockitch.com – just pay for shipping (Canada and USA)
The Kindle version is available at Amazon for a special rate of $USD 2.99
20 203
To learn more about unleashing your personal epigenetic superpower, extend your healthspan or find out about kickstarting your network marketing business.
book a complimentary DECELERATE YOUR AGING Discovery Call https://calendly.com/askdrgill/30min
or email me at email@example.com
The GROWING OLDER LIVING YOUNGER PROJECT Network Marketing Professional Tools
9 The Growing Older Living Younger Project
13
This information is provided for educational purposes only.
Visit the website at www.askdrgill.com
Listen to my podcast Subscribe Rate and Review
This information is provided for educational purposes only.
© 2021 Dr. Gillian Lockitch
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Article
p53 reaction to cellular stress maximizes apoptosis in glioblastoma
Cheng-Jung Ho 1 , Yu-Hsuan Pao 2¶ , Hsin-Wen Chen 2¶ , Wei-Hua Zhu 2¶ , Ru-Wei Lin 3 , Cheng-Wei Chu 4,5 , Joon-Khim Loh 4,6 , Yi-Ren Hong 7* and Chihuei Wang 2,8*
1Department of Orthopedics, Kaohsiung Medical University Hospital, Kaohsiung, 807, Taiwan
2Department of Biotechnology, Kaohsiung Medical University, Kaohsiung, 807, Taiwan
3Graduate Institute of Food Safety Management, National Pingtung University of Science and Technology, Pingtung, 912, Taiwan
4Graduate Institute of Medicine, College of Medicine, Kaohsiung Medical University, Kaohsiung, 807, Taiwan
5Division of Neurosurgery, Department of Surgery, Kaohsiung Municipal Ta-Tung Hospital, Kaohsiung, 801, Taiwan
6Department of Neurosurgery, Kaohsiung Medical University Hospital, Kaohsiung, 807, Taiwan
7
Department of Biochemistry & Graduate Institute of Medicine, Kaohsiung Medical University,
Kaohsiung, 807, Taiwan
8
Department of Medical Research, Kaohsiung Medical University Hospital, Kaohsiung, 807, Taiwan
¶
These authors contributed equally to this work.
*Correspondence: firstname.lastname@example.org (CW); email@example.com(YRH)
Abstract: In prostate cancer, p53 maximizes apoptosis in response to severe DNA damage, not DNA replication stress. Here, we examined the apoptotic response of two glioblastoma cells, p53-wild type U87 and a p53-mutated T98G cell, for the same stresses. We ascertained that p53 intensified apoptosis in response to severe DNA damage, not DNA replication stress in glioblastoma. We further asked if p53-mediated apoptosis can be induced by cellular stress other than severe DNA damage. We analyzed two compounds, bortezomib and vorinostat, respective inhibitors of 26S proteasome and histone deacetylase, to evaluate their capacity to activate p53-mediated apoptosis. The cellular stress incited by bortezomib, not vorinostat, activated p53-mediated apoptosis. Next, we asked if the cellular stress generated by combining the two compounds had a synergistic effect on apoptosis. Our results demonstrated that doxorubicin with bortezomib or CFS-1686, or bortezomib with vorinostat have a significant synergistic effect on apoptosis only in p53-wild type cell. Under high stress, p53 translocates from cytosol into the nucleus to cause apoptosis possibly. Together, p53 maximizes apoptosis for cellular stress caused by severe DNA damage, disruption of protein turnover, and for the stress induced by drug combination including doxorubicin with bortezomib or CFS-1686, and bortezomib with vorinostat.
Keywords: glioblastoma; p53; apoptosis; doxorubicin; bortezomib; vorinostat.
1. Introduction
p53 is regarded as the most important cancer-suppressing gene in vivo. p53 also has an essential role in cancer-therapeutic apoptosis. When cancer cells are treated by agents that disrupt cellular activities, p53 is activated by shutting down its negative regulator, MDM2, to turn on the numerous target genes [1, 2]. Several of these are involved in cell cycle arrest, DNA repair and apoptosis in response to treatment [3, 4].
© 2019 by the author(s). Distributed under aCreative Commons CC BY Creative Commons CC BY license. license.
The target genes of p53 participating in cell cycle arrest and DNA repair include p21, GADD45A, DDB2, FANCC and XPC, which function to rescue cells from damage [5, 6]. Another group of p53upregulated genes including PUMA, NOXA, BAX and APAF do the opposite way and propel cell death through apoptosis [5, 6]. We may ask how cell fate, either survival or death, can be determined by the same p53 molecule after treatment with genotoxic agents. The theory of promoter selectivity proposes that p53 interacts differentially with its response elements through post-translational modifications and interactions with cofactors to activate cell survival or apoptosis genes [7]. However, several microarray studies analyzing genotoxic expression profiles after p53 overexpression revealed that both cell cycle arrest and apoptosis genes are transcribed by the same conditions [8-11]. One study claimed that the level of p53 is a threshold mediating the cell fate decision between growth arrest and apoptosis [12].
In addition, two studies have demonstrated that p53 is not a transcriptional activator of Puma in prostate cancer [13, 14]. Instead of Puma, another BH3-only protein, Bim, counteracts Bcl-xl to initiate apoptosis in a p53-independent manner for doxorubicin-treated prostate cancer [14]. Our recent study further found that the role of p53 is to intensify apoptosis after doxorubicin-induced DNA damage stress, not to activate Puma to initiate apoptosis, and that DNA replication stressinduced apoptosis is p53-independent in prostate cancer [15].
To see if the p53-mediated apoptosis found in prostate cancer also occurs in other cancer types, we extended our studies to glioblastoma. Two widely studied cell lines, U87 and T98G, were generated over 50 years ago from glioblastoma patients [16, 17]. U87 carries wild type p53 [18] and T98G has a mutation at codon 273 (ATG to ATA) of p53 that blocks transcriptional activity in reporter gene assay [19]. Using this pair of glioblastoma cell lines, we asked if cellular stress caused by a given single agent or combination of two agents can induce apoptosis through either a p53-dependent or p53-independent pathway. Our results revealed that doxorubicin and bortezomib induce p53mediated apoptosis dose-responsively, while CFS-1686 and vorinostat trigger apoptosis in a p53- and dose-independent manner. Three combinations, doxorubicin plus CFS-1686, doxorubicin plus bortezomib and bortezomib plus vorinostat, all produce synergistic apoptosis in a p53-dependent manner. The determining factor for p53-mediated apoptosis from either a single agent or a combination of two agents is the extent or type of cellular stress, not the level of p53.
2. Results
2.1. The effects of doxorubicin can be divided into two phases by the dual role of p53 in U87 cells, while CFS1686-induced apoptosis is p53-independent
The role of p53 is to maximize apoptosis in response to severe DNA damage, not to activate BH3only protein to initiate apoptosis, in prostate cancer [15]. We investigated various responses of U87 cells including the level of p53, the expression of BH3-only proteins, cell cycle arrest, DNA damage and apoptosis in the presence of doxorubicin from low to high concentration. The results revealed that the level of p53 kept increasing as doxorubicin concentrations increased, up to maximum at 0.5 μM, and then declined from 0.5 μM to 2 μM (Fig 1A). Interestingly, the expression of p21, the sign of cell cycle arrest, appeared at 0.125 μM and dropped to basal levels at 0.5 μM (Figure 1A). In contrast, the activation of caspase 3, the sign of apoptosis, showed up at 0.5 μM and reached maximum at 1 μM (Figure 1A). Cell cycle arrest and apoptosis corresponded to low and high DNA damage, respectively, as evaluated by the level of γH2AX (Figure 1A). The functions of p53 in the above two events can be easily distinguished in U87 cells. In addition, the expression of Puma was not affected by p53 (Figure 1A), suggesting that the canonical pathway of p53-mediated apoptosis does not occur in this cell.
Unlike U87 cells, doxorubicin treatment in T98G cells did not activate caspase 3, even at concentrations up to 7-fold higher than in the positive control U87 cell (Figure 1B). We then asked if doxorubicin has any effect on T98G cells. The result revealed that doxorubicin caused DNA damage though it cannot activate p21 expression via its mutated p53, compared to U87 cells treated by 0.25 μM of doxorubicin showing high expression of p21 (Figure 1C). Thus, we concluded that the mutated form of p53 in T98G is not a functional form of p53 and cannot effectively induce apoptosis in T98G (Figure 1B).
We further tested the effect of CFS-1686-induced DNA replication stress on apoptosis in T98G and U87 cells. This compound has been verified as the catalytic inhibitor of topoisomerase 1 [20] and it can induce apoptosis in prostate cancer independently of p53 [15]. Here, CFS-1686 could induce apoptosis in both U87 and T98G cells with about equal sensitivity, suggesting that apoptosis in response to DNA replication stress is p53-independent in glioblastoma (Figure 1D). However, this apoptosis-initiating compound showed no capacity to maximize apoptosis by increasing its concentration higher than 1 μM (Figure 1D).
Our results clearly indicated that apoptosis can be initiated either with or without p53 and the role of p53 is to magnify the apoptotic death signal dependent on the type and magnitude of cell stress in glioblastoma.
for 24 h and harvested for western blotting. The immunoblot images of p21, the activation form of caspase 3, caspase 3(a), p53, and γH2AX, normalized to GAPDH, were quantitated as shown. B) Doxorubicin could not induce apoptosis effectively in T98G cells. T98G cells were incubated with various concentrations of doxorubicin for 24 h and harvested for western blotting. U87 cell treated with 1 μM of doxorubicin served as a positive control. C) Doxorubicin caused DNA damage in T98G cells. T98G cells were incubated with various concentrations of doxorubicin as indicated for 24 h and harvested for western blotting. U87 cells treated with 1 μM of doxorubicin served as a control to show the expression of p21. D) CFS-1686, which causes DNA replication stress, induced apoptosis in both T98G and U87 cells. T98G and U87 cells were incubated with various concentrations of CFS-1686 for 24 h and harvested for western blotting. Immunoblot images of the activation form of caspase 3, caspase 3(a), were quantitated as shown.
2.2. Bortezomib and vorinostat induced apoptosis in a dose-dependent and -independent manner, respectively.
Since p53-mediated apoptosis has selectivity for stress types, we further explored whether cellular stresses other than DNA damage can be sensed by p53 to enhance apoptotic response. We analyzed two chemotherapeutic agents, bortezomib and vorinostat, respective inhibitors of 26S proteasome [21] and histone deacetylase [22] , for their potential to activate p53-mediated apoptosis in U87 cells and T98G cells.
Bortezomib stabilized p53 at a constant level from 0.01 μM to 0.15 μM and induced apoptosis in dose-dependent fashion in U87 cells (Figure 2A). Interestingly, bortezomib could also induce apoptosis in T98G cells at high concentrations, starting at 0.05 μM, but the activation form of caspase 3 remained almost the same from 0.1 μM to 1 μM (Figure 2A). We speculated that the differential response of U87 and T98G cells to bortezomib is due to the presence and absence of functional p53, respectively. In U87 cells, p53 reacted to the increasing cellular stress induced by the increasing concentration of bortezomib by dose-responsive apoptosis. However, though bortezomib-induced cellular stress could initiate apoptosis, it had no capacity to amplify apoptosis in T98G cells without p53. Thus bortezomib-induced apoptosis might be p53-dependent.
In contrast, vorinostat could induce apoptosis without increases in p53 and even a reduced basal level of p53 in U87 cells (Figure 2B). The apoptotic signal, the activation form of caspase 3, remained almost unchanged with increasing concentrations of vorinostat from 4 μM to 10 μM (Figure 2B). In T98G cells without functional p53 vorinostat could not trigger apoptosis effectively and showed no dose-responsive pattern of PARP cleavage (Figure 2B). These results suggested that vorinostatinduced cellular stress could only initiate apoptosis, and this stress could not be sensed by p53. Vorinostat-induced apoptosis might be regarded as p53-independent.
We then used the nucleus/cytosol fraction to examine the distribution of p53 between the nucleus and cytosol in apoptosis or non-apoptosis conditions. An increase in the p53 ratio of nucleus to cytosol along with increasing apoptosis was seen in doxorubicin-and bortezomib-treated U87 cells (Figure 2C). For doxorubicin-treated cells, the respective p53 ratios of nucleus to cytosol at 0.125 μM and 1 μM were about 1.8 and 4.7, corresponding to p53 cell cycle arrest and apoptosis functions (Figure 1A and Figure 2C). This suggested that apoptosis activation might require more nuclear p53 than cell cycle arrest activation. The lowest p53 ratios of nucleus to cytosol appeared in bortezomibtreated cells at 0.01 μM, about 0.2, with no apoptosis at this ratio (Figure 2A and C). By increasing the concentration of bortezomib up to 0.150 μM, the p53 ratio of nucleus to cytosol increased about 4fold to 0.85, resulting in significant apoptosis (Figure 2A and C). This was a comparatively low p53 ratio of nucleus to cytosol, compared to the ratio from doxorubicin-treated cells. It seems likely that different types of cellular stress require different amounts of nuclear p53 to induce apoptosis.
Figure 2. Bortezomib apoptosis in doseindependent manner Bortezomib caused the and induced apoptosis manner in U87 cells,
or vorinostat induced dependent or respectively. A) stabilization of p53 in a dose-dependent while it induced
apoptosis in dose-independent manner in T98G cells. Immunoblot images of p53, the activation form of caspase 3, caspase 3(a), and p21 normalized to GAPDH, were quantitated as shown. B) Vorinostat reduced the basal level of p53 and induced apoptosis dose-independently in U87 cells, while it could not effectively induce apoptosis in T98G cells. The immunoblot images of p53, the activation form of caspase 3, caspase 3(a), and the cleaved PARP normalized to GAPDH were quantitated as shown. Experimental conditions of A) and B) were similar to those in fig 1A. C) Doxorubicin or bortezomib caused the translocation of p53 from cytosol to nucleus in U87 cells. U87 cells were incubated with 0.125 and 1 μM of doxorubicin or with 0.01 and 0.15 μM of bortezomib for 24 h and harvested for nucleus and cytosol fractionation. Fractionated nucleus and cytosol protein were further analyzed by western blotting. The p53 ratio of nucleus to cytosol was quantitated as shown. N: nucleus; C: cytosol; p53(N): p53 in nucleus; p53(C): p53 in cytosol.
2.3. Apoptosis induced by bortezomib was p53-dependent.
From the above result, we speculated that bortezomib-induced apoptosis might be p53dependent. We still could not draw the conclusion that p53 plays an essential role in bortezomibinduced apoptosis, without direct evidence. We used overexpression of p53 in LNCaP cells, a prostate can cell line containing a wild type p53, to see if p53 was really involved in bortezomib-induced apoptosis. We previously used the same approach to address whether p53 is responsible for doxorubicin-induced apoptosis after heavy DNA damage condition[15]. Interestingly, our results clearly demonstrated that p53 overexpression enhanced apoptosis in response to bortezomib (Figure 3A). We concluded that p53 does react to the cellular stress caused by bortezomib, resulting in the maximization of apoptosis.
However, p53 was unable to redeem bortezomib-induced apoptosis in PC3 cells, which is a p53null prostate cancer cell line (Figure 3B). p53 overexpression cannot enhance doxorubicin-induced apoptosis in PC3 cells [15]. Thus, it appears that p53-mediated apoptosis in response to various agentinduced cell stresses might go through a common, but complicated mechanism requiring the involvement of other factors. Those factors might not be present in PC3 cells.
2.4. The combination of doxorubicin with bortezomib had a significant synergistic effect on apoptosis, while the combination of doxorubicin with vorinostat slightly lowered apoptosis compared to doxorubicin alone.
Bortezomib and vorinostat are new-generation chemotherapy agents that alter cellular functions other than targeting DNA or microtubules and show some convincing responses in certain cancer types in the clinic. Interestingly, the cellular stresses generated by bortezomib and vorinostat have different effects on p53 and apoptosis in glioblastoma. We explored the effect of combining doxorubicin with p53-dependent bortezomib or p53-independent vorinostat on apoptosis in U87 or T98G cells.
The combination of two p53-dependent agents, doxorubicin plus bortezomib, showed a strong synergistic dose-dependent effect on apoptosis in U87 cells, but not in T98G cells (Figure 4A). Doxorubicin and bortezomib induce apoptosis through p53. T98G cells contain non-functional p53 and did not show increased apoptosis with this combination (Figure 4A). Thus, we speculated that this synergistic apoptosis effect might be p53-dependent. Interestingly, the level of p53 did not increase with this combination in U87 cells (Figure 4A), which indicated that the level of p53 did not determine this synergistic effect. The cellular stress generated by the combination of doxorubicin with bortezomib was much higher than with doxorubicin or bortezomib alone. Thus, we thought that the extent of cellular stress might be a factor to determine the magnitude of apoptosis.
The p53 ratio of nucleus to cytosol from the combination of doxorubicin to bortezomib was about 1.3 (Figure 4B). This value was a little higher than the ratio from bortezomib alone (about 1) and lower than the ratio from doxorubicin (about 1.6, Figure 4B). This result suggested that translocation of p53 into the nucleus seemed essential for apoptosis, while the synergistic effects were determined by compounded cellular stresses caused by the doxorubicin/bortezomib combination (Figure 4A).
Conversely, the apoptotic response induced by combining doxorubicin with vorinostat was lower than that induced by doxorubicin alone (Figure 4C). This was an interesting example of a negative effect from a two-drug combination. Further studies are required to explain this negative effect.
2.5. The combination of doxorubicin plus CFS-1686 or bortezomib plus vorinostat had significant synergistic effects on apoptosis.
The above experiment showed that combining a p53-dependent compound with a p53independent compound lowered the apoptotic response (Figure 4B). We asked if other p53independent agents can interfere with p53-dependent compound-induced apoptosis. We explored two combinations of a p53-dependent compound with a p53-independent compound including doxorubicin plus CFS-1686 and bortezomib plus vorinostat.
To our surprise, both combinations demonstrated a synergistic dose-responsive effect on apoptosis in U87 cells, but not in T98G cells (Figure 5A and B). Since both doxorubicin- and bortezomib-induced apoptosis are p53-dependent, we thought p53 might play an essential role for these two combination-induced apoptotic responses. However, the level of p53 did not increase from these combinations, suggesting that the synergistic effects on apoptosis might be determined by cellular stress, as seen with the combination of doxorubicin and bortezomib. We propose that the cellular stresses caused by these drug combinations are not merely additive and might induce a complex combination of stresses.
The p53 ratio of nucleus to cytosol from the combination of CFS-1686 with doxorubicin was about 3, almost equal to that of doxorubicin alone (Figure 5C). Most p53 will have translocated into the nucleus at this value (Figure 5C). The p53 inside the nucleus might be available for enhancing apoptosis under the huge cellular stress caused by the combination of CFS-1686 with doxorubicin with the results shown in figure 5A.
Unlike doxorubicin, which has a big capacity to drive p53 from cytosol to nucleus, translocation of p53 to the nucleus was relatively limited in bortezomib-treated U87 cells. Even at concentrations up to 0.150 μM that trigger efficient apoptosis, the p53 ratio of nucleus to cytosol in bortezomibtreated cells was about 0.85 (Figure 2C). Significantly, the p53 ratio of nucleus to cytosol for the combination of bortezomib with vorinostat was 1.6, 3-fold and 9-fold higher than that of bortezomib and vorinostat, respectively (Figure 5D). We speculate that the nuclear translocation of p53 driven by this combination generates the synergistic effect on apoptosis shown in figure 5B.
normalized to GAPDH, were quantitated as shown. Experimental conditions of A) and B) were similar to fig 4A. C) The nucleus to cytosol ratio of p53 was higher for doxorubicin plus CFS-1686 than CFS-1686 alone. The nucleus to cytosol ratio of p53 was quantitated as shown. D) The nucleus to cytosol ratio of p53 was higher in bortezomib plus vorinostat than either bortezomib or vorinostat alone. The nucleus to cytosol ratio of p53 was quantitated as shown. Experimental conditions of C) and D) were similar to fig 2C.
3. Discussion
Our results revealed that doxorubicin, bortezomib, doxorubicin plus CFS-1686, doxorubicin plus bortezomib or bortezomib plus vorinostat induced cellular stresses that could be sensed by p53. In contrast, CFS-1686 or vorinostat-induced cellular stress could not be sensed by p53. Cellular stresses that caused a reaction by p53 produced a magnitude of apoptosis proportional with the extent of cellular stress, eventually up to maximum when cellular stress reached the utmost (Fig 6). However, cellular stress that could not be sensed by p53 only initiated a level of apoptosis that remained constant and could not be amplified (Figure 6).
Our study raises a very interesting issue about the stress selectivity of p53. Among the four compounds we studied, doxorubicin and bortezomib displayed p53-dependent effects, while CFS1686 and vorinostat showed p53-independent effects. Based on the types of cellular stress, doxorubicin and bortezomib caused DNA double-strand breaks and shutdown of protein turnover, which were more threatening to cell survival than halt in DNA replication or the unwinding of chromatin structures caused by CFS-1686 or vorinostat, respectively. Thus, we concluded that the stress selectivity of p53 is based on the severity of the cellular stress. This speculation is fully supported by the combination treatments that showed synergistic outcomes of p53-mediated apoptosis, because these combination treatments seemed to generate more cellular stress than either compound used alone.
One study has proposed that the level of p53 is a threshold determining the cell fate of either cell cycle arrest or apoptosis, and that lowering the apoptotic threshold can potentially increase p53mediated apoptosis[12]. Our results demonstrated that apoptosis began at 0.5 μM and reached maximum at 1 μM of doxorubicin in U87 cells (Figure 1A). However, the status of apoptosis corresponded to the level of γH2AX, not p53 (Figure 1A). Moreover, the magnitude of apoptosis matched the concentration of bortezomib, not the level of p53, in bortezomib-treated U87 cells (Fig
2A). In the three combination treatments we explored, doxorubicin plus bortezomib, doxorubicin plus CFS-1686 and bortezomib plus vorinostat, the synergistic effect of apoptosis was not correlated with the level of p53, but did parallel the extent of cellular stress (Figure 4A and Figure 5A and B). Thus, we speculated that the threshold of p53-mediated action is the extent of cellular stress, not the level of p53.
The type and extent of cellular stress therefore controls p53-mediated apoptosis in glioblastoma. Our results demonstrated that the translocation of p53 from cytosol to nucleus seems to be an essential step in p53's initiation of apoptosis. According to the canonical p53-mediated apoptotic pathway, once in the nucleus p53 transcriptionally activates Puma or Noxa to trigger apoptosis. However, the expression of Puma was not affected by p53 (figure 1A), and two p53-independent agents, CFS-1686 and vorinostat, could also initiate apoptosis (Figure 1D and Figure 2B). These results excluded the canonical p53-mediated apoptotic pathway as the cause of p53-initiated apoptosis in glioblastoma. Other target genes of p53 might be involved in this pathway.
4. Materials and Methods
4.1. Compounds and plasmids
Doxorubicin (Merck Millipore), bortezomib (Selleck), vorinostat (Selleck) and FuGENE 6 (Promega) were purchased as indicated. CFS-1686 is an in-house compound [20]. The two plasmids including pCMV-p53 and pIRES2-EGFP (Clontech), which were used for overexpression of p53 and vehicle control for transfection, respectively, were purchased as indicated.
4.2. Cell culture and compound treatment
The U87 and T98G glioblastoma cell lines and LNCaP and PC3 prostate carcinoma cell lines were obtained from the Bioresource Collection and Research Center (BCRC) in Taiwan. Culture conditions for all four cells were 37°C under 5% CO2 in their respective medium with 10% fetal bovine serum. RPMI 1640 (Invitrogen) medium was used for the two prostate cancer lines. The media for
U87 and T98G were -MEM (Invitrogen) and DMEM (Invitrogen) respectively. About 5×10 5 cells of
LNCaP or PC3 and 1 x 10 5 cells of U87 or T98G were plated on petri dish (10 cm). When cell growth was reached 70-80% confluence, fresh medium was substituted and the cells were incubated with various concentrations of doxorubicin, CFS-1686, bortezomib, vorinostat or various combinations for 24 h. After treatment the cells were harvested, washed with PBS and spun down.
4.3. Cell transfection
For transfection of LNCaP cells, 5 plates (10 cm) of LNCaP cells at 70% confluence were collected and re-suspended in 0.8 ml of serum-free RPMI 1640 medium. Then, 0.8 ml of cells were aliquoted into two Gene Pulser Cuvetts (Bio-Rad) each containing 0.4 ml of cells. Then 5 g of pCMV-p53 or pIRES2-EGFP were added to each cuvette. The cells in the cuvette were electroporated by Bio-Rad Gene Pulser at 230 volts and 960 Faraday. Following transfection, the cells were collected, washed and plated into 3 plates (10 cm) and incubated with RPMI 1640 media containing 10% FBS for 2 days. Then the cultured medium was replaced by fresh medium with various concentrations of bortezomib for 36 h and the cells were harvested for immunoblotting. For PC3 cells, we used FuGENE 6 to perform transfection. We mixed 26 μl of FuGENE 6 transfection reagent with 340 l of RPMI 1640 serum-free medium, and incubated for 5 min. About 6 μg of DNA were added to the FuGENE 6/medium mixture and incubated for 15 min. Then the DNA solution was added to the cultured PC3 cells (10 cm dish, about 70% confluence) dropwise. The transfected PC3 cells were incubated for 24 h. Then, the cultured medium was replaced by fresh medium with various concentrations of bortezomib for 36 h and the cells were harvested for immunoblotting.
4.4. Cytosol and nuclear fractionation
Three plates of U87 cells treated by the same compound or compound combination were harvested and then washed in hypotonic buffer (10 mM Hepes pH7.9, 1.5 mM MgCl2, 10 mM KCl, 0.5 mM DTT) with protease and phosphatase inhibitors. The washed cell pellets were resuspended in hypotonic buffer for 10 min to swell cells. The swollen cells were homogenized by 5 up-and-down pushes through the syringe with 26 1/2 needle. The nuclei were spun down by centrifuging for 15 min at 4000 rpm. After spinning down, the cytosol supernatant and the collected nuclei were lysed in RIPA buffer (25 mM Tris-HCl pH7.6, 150 mM NaCl, 1% NP40 1 mM DTT, 0.1% NP-40, 1% sodium deoxycholate, 0.1% SDS) containing protease and phosphatase inhibitors. Both cytosol and the nuclei lysates were analyzed by immunoblotting.
4.5. Immunoblotting
The harvested cells were lysed in RIPA buffer containing protease and phosphatase inhibitors. The protein concentrations from the cell lysate, separated cytosol and nuclear lysate were determined by a BCA Protein Assay Kit (Pierce). About 60 μg of protein per well was subjected to SDS-PAGE. After electrophoresis, the proteins were transferred to a nitrocellulose membrane. The transferred membranes were blocked in 5% (w/v) nonfat dry milk or 5% (w/v) BSA in TBS (0.5 M NaCl, 20 mM Tris-HCl, pH 7.4) with 0.1% (v/v) Tween 20 and probed for the first antibody, followed by incubation with a secondary antibody conjugated with horseradish peroxidase (anti-rabbit, Cell Signaling; antimouse, Jackson ImmunoResearch) with visualization by ECL (Merck Millipore) with photographic film development. The first antibodies used in this study were anti-GAPDH (Cell Signaling, #5174), anti-Bim (Cell Signaling, #2933), anti-caspase 3(a) (Cell Signaling, #9661), anti-PARP (Cell Signaling, #9542), anti-γH2AX (Santa Cruz Biotechnology, Sc-517348), anti-p21 (Abcam, ab109199), anti-Puma (Cell Signaling, #4976), anti-lamin (Cell signaling, #4777) and anti-p53 (Santa Cruz Biotechnology, Sc126). Immunoblot images were quantitated by Image Studio Lite (LI-COR Biosciences).
4.6. Statistical analysis
A paired t-test was used to show the statistical significance of the results using JMP13. *P < 0.05 or **P < 0.01 was considered significant.
5. Conclusions
In conclusion, we found that the cellular stress caused by doxorubicin, bortezomib, or three combinations including doxorubicin plus bortezomib, doxorubicin plus CFS-1686 and bortezomib plus vorinostat can trigger p53-mediated apoptosis, but not CFS-1686 or vorinostat. The extent of cellular stress, not the level of p53, appears to be the threshold determining p53-mediated apoptosis.
Author Contributions: "conceptualization, CW; CJH and YRH.; methodology, YHP; HWC; WHZ and RWL.; software, YHP; HWC; WHZ and RWL.; validation, YHP; HWC; WHZ and RWL.; formal analysis, YHP; HWC; WHZ and RWL.; investigation, CW and CJH.; resources, CW; JKL; CWC and YRH.; data curation, YHP; HWC; WHZ and RWL.; writing—original draft preparation, CJH.; writing—review and editing, CW and YRH.; supervision, CW.; funding acquisition, CW; CJH and JKL.
Funding: This research was funded by Kaohsiung Medical University, KMU-M107012(CW), by Kaohsiung Municipal Ta-Tung Hospital, kmtth-106-017 (CJH) and by Kaohsiung Municipal Siaogang Hospital, kmhk-104007 (JKL).
Acknowledgments: The authors thank Gary Mawyer, M.F.A., for manuscript editing.
Conflicts of Interest: The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
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Fiber-laser-based frequency comb with a tunable repetition rate
B. R. Washburn, R. W. Fox, and N. R. Newbury
National Institute of Standards and Technology, 325 Broadway, Boulder, CO 80305 email@example.com
J. W. Nicholson, K. Feder, and P. S. Westbrook
OFS Laboratories, 700 Mountain Avenue, Murray Hill, New Jersey 07974
C. G. Jørgensen
OFS Fitel Denmark I/S, Priorparken 680, 2605 Brøndby, Denmark
Abstract: A phase-locked, self-referenced frequency comb generated by a mode-locked fiber soliton laser with a tunable repetition rate is presented. The spacing of the frequency comb is set by the laser's repetition rate, which can be scanned from 49.3 MHz to 50.1 MHz while one tooth of the comb is held phase-locked to a stable RF source. This variable repetitionrate frequency comb should be useful for wavelength and length metrology, synchronization of different fiber laser-based frequency combs, and the generation of precise swept wavelength sources.
Work of an agency of the U.S. government; not subject to copyright.
OCIS codes: (140.3510) Lasers, Fiber; (190.4370) Nonlinear Optics, Fibers; (120.3930) Metrological Instrumentation;
References and links
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9. F. Tauser, A. Leitenstorfer, and W. Zinth, "Amplified femtosecond pulses from an Er:fiber system: Nonlinear pulse shortening and self-referencing detection of the carrier-envelope phase evolution," Opt. Express 11, 594-600 (2003), http://www.opticsexpress.org/abstract.cfm?URI=OPEX-11-6-594.
10. F.-L. Hong, K. Minoshima, A. Onae, H. Inaba, H. Takada, A. Hirai, H. Matsumoto, T. Sugiura, and M. Yoshida, "Broad-spectrum frequency comb generation and carrier-envelope offset frequency measurement by second harmonic generation of a mode-locked fiber laser," Opt. Lett. 28, 1-3 (2003).
11. K. Tamura, H. A. Haus, and E. P. Ippen, "Self-starting additive pulse mode-locked erbium fiber ring laser," Electron. Lett. 28, 2226-7 (1992).
12. H. Hundertmark, D. Kracht, M. Engelbrecht, D. Wandt, and C. Fallnich, "Stable sub-85 fs passively modelocked Erbium-fiber oscillator with tunable repetition rate," Opt. Express 12, 3178-3183 (2004), http://www.opticsexpress.org/abstract.cfm?URI=OPEX-12-14-3178.
13. H. R. Telle, B. Lipphardt, and J. Stenger, "Kerr-lens, mode-locked lasers as transfer oscillators for optical frequency measurements," Appl. Phys. B 74, 1-6 (2002).
14. L.-S. Ma, M. Zucco, S. Picard, L. Robertsson, and R. S. Windeler, "A new method to determine the absolute mode number of a mode-locked femtosecond-laser comb used for absolute optical frequency measurements," IEEE J.. Sel. Top. Quantum Electron. 9, 1066-1071 (2003).
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16. J. W. Nicholson, P. S. Westbrook, K. S. Feder, and A. D. Yablon, "Supercontinuum generation in UV irradiated fibers," Opt. Lett. 29 (to be published).
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18. B. R. Washburn and N. R. Newbury, "Phase, timing, and amplitude noise on supercontinua generated in microstructure fiber," Opt. Express 12, 2166 (2004), http://www.opticsexpress.org/abstract.cfm?URI=OPEX-12-10-2166.
19. J. D. Jost, J. L. Hall, and J. Ye, "Continuously tunable, precise, single frequency optical signal generator," Opt. Express 10, 515-520 (2002), http://www.opticsexpress.org/abstract.cfm?URI=OPEX-10-12-515.
1. Introduction
Phase-locked self-referenced fiber-laser-based frequency comb sources have been developed for precision infrared frequency metrology using a figure-eight fiber laser [1], a pulsecompression mode-locked fiber laser [2], and several different designs of fiber ring lasers [35]. The basic designs of the fiber-laser frequency combs duplicate that used for Ti:Sapphire laser-based frequency combs [6, 7]; an octave-spanning supercontinuum [8] is generated and used to detect the carrier envelope offset (CEO) frequency [9, 10]. Unlike their Ti:sapphire laser-based counterparts, fiber laser-based frequency combs can be relatively compact and operate in the telecommunications band. As a result, they are of particular importance for telecommunications and optical sensing applications.
Here we describe a frequency comb based on a passively mode-locked soliton laser [11] with a tunable repetition rate. The high gain of the fiber laser allows us to change its repetition rate by 800 kHz, or ~1.6 %, using a fiber-coupled free-space delay line with a ~1 dB insertion loss. By injecting amplified pulses from the soliton laser into highly nonlinear fiber, we can generate the octave of supercontinuum bandwidth needed to selfreference the frequency comb using the standard f-to-2f interferometer [6]. In a closely related work, a passively mode-locked fiber laser with a variable repetition rate was recently demonstrated [12]; here we demonstrate that the repetition rate can be significantly changed while the laser remains mode-locked and the comb offset frequency remains phase-locked to a microwave reference.
The optical frequency of the n th tooth of a self-referenced comb is given by the simple expression fn = nfr + f0, where fr is the repetition rate and f0 is the comb offset frequency, set by the CEO frequency. The CEO frequency is given by f0 = (ω 0/2π)(1-vg/vp), where ω 0 is the carrier frequency of the laser pulse, and vg (vp) is the appropriately averaged group (phase) velocity around the fiber laser cavity. For the fiber laser, f0 ~ 2.5 THz. However, in metrology experiments using a self-referenced comb, the offset frequency is typically defined modulo fr to a range -fr/2 < f0 < +fr/2, so that it represents the frequency of the lowest comb line if the optical comb were to be extended to zero frequency. Using this definition, here we phase-locked the up-shifted offset frequency at 2fr + f0. (This frequency was convenient given the available electronics.) With this comb tooth fixed, a change in the repetition rate leads to an elastic-tape or accordion-like expansion of the entire frequency comb about this fixed point [13]. In other words, a change in the laser's repetition rate of 800 kHz corresponds to a 3 THz (25 nm) change of a comb tooth in the 1550 nm region. There are many attractive features of a frequency comb with a tunable repetition rate. First, it can be used for precision metrology without a wavelength meter [14]. Second, it can be used to match the repetition rate of a second frequency comb, which can be useful, for example, for tests of the stability of the frequency comb [15]. Third, a frequency comb with a tunable repetition rate can be used to scan precisely the frequency of a continuous wave laser locked to the comb.
2. The fiber-laser-based infrared supercontinuum source
The supercontinuum source (Fig. 1) consists of an additive pulse mode-locked (APM) erbium fiber ring laser [11], an erbium-doped fiber amplifier (EDFA), and a length of UV-exposed dispersion-flattened, highly nonlinear, dispersion-shifted fiber (HNLF) [16]. The APM fiber
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laser has a net negative cavity dispersion and produces solitonic pulses with a spectral bandwidth of 20 nm (Fig. 2(a)) and a chirped output of 210 fs duration. The cavity has 1 m of normal dispersion erbium-doped fiber, 0.3 m of single-mode fiber (SMF) at 1060 nm, and 2.7 m of SMF at 1550 nm. The net cavity dispersion was -0.04 ps 2 neglecting the dispersion of any components. The pulse spectrum exhibits Kelly sidebands that are typically found in the output of a soliton laser [17]. A commercial fiber-coupled free-space, motor driven delay line in the fiber laser cavity allows the repetition rate to be changed from 49.34 MHz to 50.12 MHz (i.e., a total delay of 310 ps). The insertion loss of the delay line ranges from ~0.75 dB to 1 dB. The delay can be scanned quickly (128 ps/s) without any loss of modelocking. Longer delays may be possible provided that the variation of insertion loss over a scan is minimized.
BPF
Fig 1. Schematic of the fiber laser frequency comb. The CEO frequency is detected by a photodetector (PD), and is used to control the pump diode current. A piezoelectric transducer (PZT) fiber stretcher in the cavity allowed for adjustment of the repetition rate. The thick solid lines represent free-space paths, the thin solid lines represent fiber paths and the dotted lines represent electrical paths. BPF: Bandpass filter; SHG: second-harmonic generation.
To produce the supercontinuum needed to self-reference the frequency comb output of the laser, pulses from the laser are amplified to an average power of 60 mW, and temporally compressed to less than 90 fs in the EDFA (Fig. 2(b)) before being injected into UV-exposed HNLF. The HNLF uses a combination of Ge and F dopants to produce a nonlinear coefficient of γ ~ 10.6 W -1 km -1 , a dispersion of 1.74 ps/(nm km), and a dispersion slope of 0.009 ps/(nm 2 km) at 1550 nm. In order to enhance the supercontinuum generation, this HNLF was exposed to UV radiation [16], which increased the refractive index of the Gedoped core, enhancing the short wavelength (<1100 nm) portion of the supercontinuum. To generate a supercontinuum, a 40 cm length of HNLF with a 15 cm UV-exposed portion was used. As seen in Fig. 3(a), the generated supercontinuum spanned from 1000 nm to 2100 nm (~157 THz wide).
The CEO frequency is measured by mixing 1030 nm light with frequency-doubled 2060 nm light in an f-to-2f interferometer [6]. A dichroic mirror at the HNLF fiber output
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Received 10 September 2004; revised 29 September 2004; accepted 29 September 2004
4 October 2004 / Vol. 12, No. 20 / OPTICS EXPRESS 5001
transmits the supercontinuum above 1800 nm. The 2060 nm light is frequency doubled by second-harmonic generation in a 1 mm thick KNbO3 crystal. This light is then combined on a beamsplitter with the fundamental light at 1030 nm, filtered by a 15 nm bandpass filter (BPF), and launched into a single-mode fiber to ensure spatial overlap. The interference between the fundamental 1030 nm light and the doubled 2060 nm light is detected with a 125 MHz InGaAs photoreceiver, producing the RF spectrum shown in Fig. 3(b). The FWHM of the CEO beat signal is ~1 MHz, which is slightly larger than observed in previous work [1, 2, 9], and may be due to greater amplification of intrinsic laser noise because of the longer initial pulse [18].
0
Fig 3. (a) The octave-spanning supercontinuum generated in the UV-exposed highly nonlinear fiber. (b) RF power spectrum from mixing the 1030 nm portion of the supercontinuum with the frequency-doubled 2060 nm portion. The repetition rate signal (fr) at 49.8 MHz and CEO frequency (f0) are clearly seen. The CEO beat frequency has a SNR of 20-25 dB.
3. Scanning the repetition rate
To demonstrate the variable repetition-rate frequency comb, the CEO frequency was locked and the repetition rate of the laser was scanned by moving the in-cavity delay line. The repetition rate was free-running for these data, although it could be phase-locked at a given repetition rate by feeding back to the intracavity PZT stretcher [1]. The CEO frequency was locked as shown in Fig. 4. The phase-locked CEO frequency had a standard deviation of ~25 mHz for a fixed (i.e. phase-locked) repetition rate. Because of the choice of bandpass filter at 120 MHz the frequency that was actually fixed during a scan (i.e. phase-locked to the RF oscillator) was the up-shifted CEO frequency 2fr + f0, rather than simply f0. As a result, the offset frequency does change during the scan by -2δfr where δfr is the change in repetition rate. (The sign of f0 ~+20 MHz was verified by measuring a heterodyne signal with a fixed laser while varying both f0 and fr.) During a repetition rate scan, pump power changes of a few mW were required to maintain the CEO frequency phase-lock.
Figure 5 shows the divided-down CEO frequency for repetition rate scans over 47 kHz (Fig. 5(a)) and the full range of 800 kHz Figs. 5(b)-(c)). Occasional cycle slips occurred due to the relatively low signal-to-noise ratio (SNR) of the CEO beat note. Figures 5(b)-(c)
demonstrate different scan speeds from 0.62 kHz/s to 19.91 kHz/s; due to mechanical vibrations the phase-locking of the CEO frequency became more difficult as the scan velocity was increased. Higher SNR of this signal should further improve the stability of the phaselock at high scan speeds. Nevertheless, excluding the cycle slips, the CEO frequency in a 1 s gate is phase-locked to better than a few hertz even for the worst-case example of Fig. 5(c). The corresponding contribution to the instability of the optical comb frequencies is 10 -14 or less, which is negligible for most applications.
4. Applications for frequency metrology: the "accordion" frequency comb
A phase-locked frequency comb with a variable comb tooth separation has many potential uses for infrared frequency metrology. For example, the ability to sweep the comb tooth separation over a large range allows one to unambiguously identify an unknown laser frequency in a heterodyne measurement without using a wavelength meter to distinguish the mode number of the nearest comb tooth [14] (even for a relatively noisy unknown laser frequency). The ability is particularly attractive for the fiber-laser frequency comb since otherwise the ambiguity of 50 MHz in the mode number must be removed by using the highest-accuracy wavelength meter commercially available. Also, as noted in Ref. [12], the tunable repetition rate will allow synchronization between two optical frequency combs for tests of comb stability [15]. Note that the alternative approach of building two fiber lasers with the identical repetition rates by cutting the fiber to the appropriate length is virtually impossible to achieve. A final important application of the variable repetition rate laser is to scan a CW laser precisely in frequency by locking it to a single comb tooth of the supercontinuum. Figure 6 depicts a CW laser locked to the n~4 millionth tooth of a frequency comb with a fixed CEO frequency. If f0 is phase-locked while the repetition rate is changed from fr to fr+δfr then each n th comb tooth moves in frequency by nδfr. The frequency comb expands likes the bellows of an accordion, with the higher-frequency components experiencing a larger absolute frequency change. If the CW laser remains locked to the n th comb tooth, then the CW laser frequency will also change by nδfr. For our soliton laser, a change in its repetition rate by 800 kHz would correspond to a 3 THz change in the optical frequency of a comb tooth around 1550 nm. A CW laser locked to this comb tooth would then experience continuous tuning over 3 THz (25 nm) or over much of the C-band. A CW laser can also be scanned using a fixed frequency comb [19], but this is technically challenging because of the multiple RF beat signals present in the full heterodyne signal and the difficult hand-over of the phase-lock from one tooth of the comb to the next. The method proposed here of locking the CW laser to the same swept comb tooth has the significant advantage that no hand-over is required and that the heterodyne signal between the CW laser and the n th tooth is at a fixed RF frequency.
5. Summary
We have demonstrated the ability to phase-lock the CEO frequency of an all-fiber frequency comb while scanning its repetition rate, thus altering the comb spacing while one tooth of the comb is phase-locked to a stable RF source. A phase-locked frequency comb with a variable comb tooth separation has many potential benefits for near-infrared frequency metrology.
Acknowledgments
We thank S. Diddams, S. Gilbert, and D. J. Jones for helpful discussions and L. Hollberg for assistance with the locking electronics.
|
DEVAL L. PATRICK GOVERNOR
GREGORY BIALECKI
SECRETARY OF HOUSING AND ECONOMIC DEVELOPMENT
Commonwealth of Massachusetts Division of Professional Licensure Office of Private Occupational School Education
1000 Washington Street Boston Massachusetts 02118
ACI CLAIM CHECKLIST
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MASSACHUSETTS DIVISION OF PROFESSIONAL LICENSURE
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BARBARA ANTHONY
UNDERSECRETARY OF OFFICE OF CONSUMER AFFAIRS AND BUSINESS REGULATION
MARK R. KMETZ DIRECTOR, DIVISION OF PROFESSIONAL LICENSURE
CLAIM FORM
Please complete all information requested below and attach all required documents so the Massachusetts Division of Professional Licensure (DPL) can determine whether you are eligible for a refund based on your enrollment at the American Career Institute (ACI) and your documentation of payments.
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Signature
Date
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Form W-9
(Massachusetts Substitute W-9 Form)
Request for Taxpayer Identification Number and Certification
Rev. April 2009
Completed form should be given to the requesting department or the department you are currently doing business with.
Under penalties of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and
2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Services (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and
3. I am an U.S. person (including an U.S. resident alien).
4 . I am currently a Commonwealth of Massachusetts’s state employee: (check one): No____ Yes _____ If yes , in compliance with the State Ethics Commission requirements.
Certification instructions: You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply.
Name ( List legal name, if joint names, list first & circle the name of the person whose TIN you enter in Part I- See Specific Instruction on page 2)
Business name, if different from above. (See Specific Instruction on page 2)
Check the appropriate box
: □ Individual/Sole proprietor
□ Corporation
□
Partnership
□
Other
-
-----------------------------------------------
Legal Address: number, street, and apt. or suite no.
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CITY, STATE AND ZIP CODE
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Part I Taxpayer Identification Number (TIN)
Enter your TIN in the appropriate box. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instruction on page 2. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 2. Note: If the account is in more than one name, see the chart on page 2 for guidelines on whose number to enter.
Vendors:
Dunn and Bradstreet Universal Numbering System (DUNS))
Social security number
- -
OR
Employer identification number
-
DUNS
Part II Certification
Sign Here Authorized Signature ► Date ►
Purpose of Form
A person who is required to file an information return with the IRS must get your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate transactions, mortgage interest you paid, acquisition or debt, or contributions you made to an IRA.
conditions. This is called "backup withholding." Payments that may be subject to backup withholding include interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding.
Use Form W-9 only if you are a U.S. person (including a resident alien), to give your correct TIN to the person requesting it (the requester) and , when applicable, to:
1. Certify the TIN you are giving is correct (or you are waiting for a number to be issued).
2. Certify you are not subject to backup withholding If you are a foreign person, use the appropriate Form W-8. See Pub 515, Withholding of Tax on Nonresident Aliens and Foreign Corporations. What is backup withholding? Persons making certain payments to you must withhold a designated percentage, currently 28% and pay to the IRS of such payments under certain
If you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return, payments you receive will not be subject to backup withholding. Payments you receive will be subject to backup withholding if:
1. You do not furnish your TIN to the requester, or
2. You do not certify your TIN when required (see the Part II instructions on page 2 for details), or
3. The IRS tells the requester that you furnished an incorrect TIN, or
4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends only), or
4
5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only).
Certain payees and payments are exempt from backup withholding. See the Part II instructions on page 2.
Penalties
Failure to furnish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willful neglect.
Civil penalty for false information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty.
Criminal penalty for falsifying information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines and/or imprisonment.
Misuse of TINs. If the requester discloses or uses TINs in violation of Federal law, the requester may be subject to civil and criminal penalties.
Specific Instructions
Name. If you are an individual, you must generally enter the name shown on your social security card. However, if you have changed your last name, for instance, due to marriage without informing the Social Security Administration of the name change, enter your first name, the last name shown on your social security card, and your new last name.
If the account is in joint names, list first and then circle the name of the person or entity whose number you enter in Part I of the form. Sole proprietor . Enter your individual name as shown on your social security card on the "Name" line. You may enter your business, trade, or "doing business as (DBA)" name on the "Business name" line.
Limited liability company (LLC). If you are a single-member LLC (including a foreign LLC with a domestic owner) that is disregarded as an entity separate from its owner under Treasury regulations section 301.7701-3, enter the owner's name on the "Name" line. Enter the LLC's name on the "Business name" line.
Caution: A disregarded domestic entity that has a foreign owner must use the appropriate Form W-8.
Other entities. Enter your business name as shown on required Federal tax documents on the "Name" line. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on the "Business name" line.
- Taxpayer Identification Number (TIN)
Enter your TIN in the appropriate box.
If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN is your IRS individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below.
If you are a sole proprietor and you have an EIN, you may enter either your SSN or EIN. However, the IRS prefers that you use your SSN.
If you are an LLC that is disregarded as an entity separate from its owner (see Limited liability company (LLC) above), and are owned by an individual, enter your SSN (or "pre-LLC" EIN, if desired). If the owner of a disregarded LLC is a corporation, partnership, etc., enter the owner's EIN.
Note: See the chart on this page for further clarification of name and TIN combinations.
How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Form SS-5, Application for a Social Security Card, from your local Social Security Administration office. Get Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN or Form SS-4, Application for Employer Identification Number, to apply for an EIN. You can get Forms W-7 and SS-4 from the IRS by calling 1800-TAX-FORM (1-800-829-3676) or from the IRS's Internet Web Site www.irs.gov.
If you do not have a TIN, write "Applied For" in the space for the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments.
The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester.
Note: Writing "Applied For" means that you have already applied for a TIN or that you intend to apply for one soon.
Part II - Certification
To establish to the paying agent that your TIN is correct or you are a U.S. person, or resident alien, sign Form W-9.
For a joint account, only the person whole TIN is shown in Part I should sign (when required). Real estate transactions. You must sign the certification. You may cross out item 2 of the certification.
Dunn and Bradstreet Universal Numbering System (DUNS) number requirement –
The United States Office of Management and Budget (OMB) requires all vendors that receive federal grant funds have their DUNS number recorded with and subsequently reported to the granting agency. If a contractor has multiple DUNS numbers the contractor should provide the primary number listed with the Federal government's Central Contractor Registration (CCR) at /www.ccr.gov . Any entity that does not have a DUNS number can apply for one on-line at http://www.dnb.com/us/ under the DNB D-U-N Number Tab.
Privacy Act Notice
Section 6109 of the Internal Revenue Code requires you to give your correct TIN to persons who must file information returns with the IRS to report interest, dividends, and certain other income paid to you, mortgage interest you paid, the acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA or MSA. The IRS uses the numbers for identification purposes and to help verify the accuracy of your tax return. The IRS may also provide this information to the Department of Justice for civil and criminal litigation, and to cities, states, and the District of Columbia to carry out their tax laws
You must provide your TIN whether or not you are required to file a tax return. Payers must generally withhold a designated percentage, currently 28% of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to a payer. Certain penalties may also apply.
5
What Name and Number to Give the Requester
| For this type of account: | Give name and SSN of: |
|---|---|
| 1. Individual 2. Two or more individuals (joint account) 3. Custodian account of a minor (Uniform Gift to Minors Act) 4. a. The usual revocable savings trust (grantor is also trustee) b. So-called trust account that is not a legal or valid trust under state law 5. Sole proprietorship | |
| For this type of account: | |
1 List first and circle the name of the person whose number you furnish. If only one person on a joint account has an SSN, that person's number must be furnished.
2
Circle the minor's name and furnish the minor's SSN.
3
You must show your individual name, but you may also enter your business or “DBA” name. You may use either
your SSN or EIN (if you have one).
4. List first and circle the name of the legal trust, estate, or pension trust. (Do not furnish the TIN of the personal representative or trustee unless the legal entity itself is not designated in the account title.)
Note: If no name is circled when more than one name is listed, the number will be considered to be that of the first name listed.
If you have questions on completing this form, please contact the Office of the State Comptroller. (617) 9732468.
Upon completion of this form, please send it to the Commonwealth of Massachusetts Department you are doing business with.
|
Secure Namespaced Kernel Audit for Containers
Soo Yee Lim University of British Columbia Vancouver, British Columbia, Canada sooyee@cs . ubc . ca
Bogdan Stelea University of Bristol Bristol, United Kingdom bs17580@bristol . ac . uk
Xueyuan Han
Harvard University Cambridge, Massachusetts, USA hanx@g . harvard . edu
ABSTRACT
Despite the wide usage of container-based cloud computing, container auditing for security analysis relies mostly on built-in host audit systems, which often lack the ability to capture high-fidelity container logs. State-of-the-art reference-monitor-based audit techniques greatly improve the quality of audit logs, but their system-wide architecture is too costly to be adapted for individual containers. Moreover, these techniques typically require extensive kernel modifications, making it difficult to deploy in practical settings.
In this paper, we present saBPF ( s ecure a udit BPF ), an extension of the eBPF framework capable of deploying secure system-level audit mechanisms at the container granularity. We demonstrate the practicality of saBPF in Kubernetes by designing an audit framework, an intrusion detection system, and a lightweight access control mechanism. We evaluate saBPF and show that it is comparable in performance and security guarantees to audit systems from the literature that are implemented directly in the kernel.
CCS CONCEPTS
* Security and privacy → Operating systems security; Intrusion detection systems; • Networks → Cloud computing.
KEYWORDS
eBPF, auditing, container, provenance
Permission to make digital or hard copies of all or part of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for profit or commercial advantage and that copies bear this notice and the full citation on the first page. Copyrights for components of this work owned by others than ACM must be honored. Abstracting with credit is permitted. To copy otherwise, or republish, to post on servers or to redistribute to lists, requires prior specific permission and/or a fee. Request permissions from email@example.com.
SoCC '21, November 1–4, 2021, Seattle, WA, USA © 2021 Association for Computing Machinery. ACM ISBN 978-1-4503-8638-8/21/11...$15.00 https://doi . org/10 . 1145/3472883 . 3486976
Thomas Pasquier
University of British Columbia Vancouver, British Columbia, Canada tfjmp@cs . ubc . ca
ACM Reference Format:
Soo Yee Lim, Bogdan Stelea, Xueyuan Han, and Thomas Pasquier. 2021. Secure Namespaced Kernel Audit for Containers. In Proceedings of ACM Symposium on Cloud Computing (SoCC '21). ACM, New York, NY, USA, 15 pages. https://doi . org/10 . 1145/3472883 . 3486976
1 INTRODUCTION
In recent years, container-based cloud computing has gained much traction. As a lightweight alternative to VM-based computing infrastructure, it provides an attractive multi-tenant environment that supports the development of microservice architecture, where a monolithic application is organized into a number of loosely-decoupled services for modularity, scalability, and fault-tolerance [59].
Container security becomes a major concern as the popularity of container-based cloud continues to grow rapidly [64]. For example, by sharing individual microservices across applications, the container ecosystem, as promoted by widelyused container management and orchestration platforms, such as Docker and Kubernetes, inadvertently spreads vulnerabilities that can widen an application's attack surface [63]. Vulnerabilities in individual containers can facilitate the construction of a cyber kill-chain, in which the attackers perform various attacks in steps on different microservices to achieve their ultimate goal [37]. Information leakage between a host and a container and between two co-resident containers has also been demonstrated to be possible [25].
Like in traditional security analysis, system-layer audit logs are often considered to be an important information source for addressing many container security concerns [29, 31, 44]. For example, to identify a misbehaving container from a cluster of replicated microservices, kernel audit logs have been used to define process activity patterns and describe unusual activity that does not fit into any observed pattern [32]. Container-focused security systems typically use existing host audit tools, such as the Linux Audit Framework, to log system events, but research has shown that these audit systems are insufficient to capture complete system activity necessary for security analysis [26]. Alternative
reference-monitor-based approaches [51, 54] provide a more complete picture by leveraging in-kernel monitoring hooks, but they are not designed with container-based computing architecture in mind. Specifically, reference-monitor-based approaches require extensive host kernel modification and permit only host-wide policy specification. The former requirement is often forbidden by cloud infrastructure providers, and the latter makes it difficult to satisfy the audit needs of individual containers sharing the same host.
We present saBPF, a lightweight, secure kernel audit system for containers. saBPF enables each container to customize its auditing mechanism and policy, even if containers specifying different policies and mechanisms are co-located on the same host. Audit data captured by saBPF is guaranteed to have high fidelity, meaning that the data faithfully records complete container-triggered system activity [54], free of concurrency vulnerabilities [66] and missing records [26] that are commonly present in existing audit tools. As such, saBPF builds a solid foundation for future forensic applications in a containerized cloud environment. For example, to deploy a cyber kill-chain detection system for a network of Kubernetes containers (or pods), we can follow the Sidecar design pattern, in which saBPF is configured for each pod based on the characteristics of the microservice it provides. A specialized sidecar container is attached to capture and analyze audit logs. Sidecar containers from different pods can ship any suspicious events to a remote system where alert correlation is performed to detect the presence of a kill-chain [45]. We discuss this use case in more detail in § 4. saBPF is implemented as an extension of eBPF. Specifically, we make the following contributions:
* We expand Linux's eBPF framework to support the attachment of eBPF programs at the intersection of the reference monitor and namespaces, which allows fully-configurable, high-fidelity, system-level auditing for individual containers (see § 3);
* We develop functional proof-of-concept applications using saBPF to demonstrate its practicality (see § 4);
* We conduct thorough performance analysis to understand the cost and benefits of using saBPF for secure audit; we show that our approach outperforms existing audit solutions of similar caliber (see § 5 and § 6);
* We open source saBPF to facilitate the development of security applications for containers in the cloud (see Appendix A).
2 BACKGROUND
saBPF is built upon the extended Berkeley Packet Filter (eBPF) framework, a Linux subsystem that allows user-defined programs to safely run inside the kernel [8]. To provide highfidelity system audit data, saBPF implements eBPF programs
that instrument in-kernel hooks defined by the Linux Security Modules (LSM) framework, which is the reference monitor implementation for Linux [46]. saBPF further leverages namespaces to ensure that auditing can be customized for individual containers. We provide some background knowledge for each component.
2.1 Extended Berkeley Packet Filter
eBPF is a Linux built-in framework that allows customized extensions to the kernel without modifying the kernel's core trusted codebase. We illustrate how eBPF works in Fig. 1. Developers can write an eBPF program in C and compile the program into eBPF bytecode using Clang. The kernel uses a verifier to statically analyze the bytecode, minimizing security and stability risks of running untrusted kernel extensions [28]. After verification, a just-in-time (JIT) compiler dynamically translates the bytecode into efficient native machine code. The translated eBPF program is attached to designated kernel locations (e.g., LSM hooks in our case) and executed at runtime. eBPF programs can share data with user-space applications using special data structures such as eBPF maps and ring buffers [3].
eBPF is frequently used as the underlying framework for network security and performance monitoring. In a container environment, for example, eBPF enables Cilium [5], a popular network monitoring tool for platforms such as Kubernetes, to secure application-level protocols with fine-grained firewall policies.
2.2 Linux Security Modules
LSM consists of a set of in-kernel hooks that are strategically placed where kernel objects (such as processes, files, and sockets) are being accessed, created, or destroyed. LSM hooks can be instrumented to enable diverse security functionality, with the canonical usage being the implementation
of mandatory access control scheme [56]. As a reference monitor, LSM has also been adapted to perform secure kernel logging, which provides stronger completeness and faithfulness guarantees than traditional audit systems [17, 51, 54]. For example, prior research has verified that LSM hooks capture all meaningful interactions between kernel objects [22, 36] and that information flow within the kernel can be observed by at least one LSM hook [27], which is necessary to achieve completeness.
The LSM framework does not use system call interposition as older systems did. Syscall interposition is susceptible to concurrency vulnerabilities, which in turn lead to timeof-check-to-time-of-use (TOCTTOU) attacks that result in discrepancies between the events as seen by the security mechanism and the system call logic [66, 67]. This is why solutions such as kprobe-BPF, while useful for performance analysis, are not appropriate to build security tools. Instead, LSM's reference-monitor design ensures that the relevant kernel states and objects are immutable when a hook is triggered, which is necessary to achieve faithfulness. LSMBPF [57] is a recent extension to the eBPF framework that provides a more secure mechanism to implement security functionalities on LSM hooks.
2.3 Namespaces in Linux
A namespace in the Linux kernel is an abstract environment in which processes within the namespace appear to own an independent instance of system resources. Changes to those
Table 1: Summary of Linux namespaces.
resources are not visible to processes outside the namespace. We summarize available namespaces in Linux in Table 1.
One prominent use of namespaces is to create containers. For example, an application in a Docker container runs within its own set of namespaces. Kubernetes "pods" contain one or more containers so that they share namespaces (and therefore system resources). Kubernetes makes it appear to applications within a pod that they own a machine of their own (Fig. 3).
saBPF modifies the kernel to enable per-container auditing, selectively invoking eBPF programs on LSM hooks based on cgroup membership (§ 3.1). cgroup isolates processes' resource usage in a hierarchical fashion, with a child group having additional restrictions to those of its parent. Since cgroup v2 [35], this hierarchy is system-wide, and all processes initially belong to the root cgroup. In a Kubernetes pod, for example, containers can be organized in a hierarchical structure and assigned various cgroup namespaces to set up further restrictions. Certain types of eBPF programs, such as the ones that are socket-related, can already be attached to cgroups (e.g., BPF_PROG_TYPE_CGROUP_SKB). This allows, for example, a packet filtering program to apply network filters to sockets of all processes within a particular container. saBPF makes it possible to attach eBPF programs at the intersection of cgroups and LSM hooks (§ 3.1) for audit purpose and beyond (§ 4).
3 SABPF: EXTENDING THE EBPF FRAMEWORK
saBPF extends the eBPF framework to support secure kernel auditing in a containerized environment. Our design is minimally invasive, reusing existing components in the framework as much as possible and extending only what we deemed to be necessary. This is a conscious decision made to achieve two objectives: 1) by adhering closely to the
design philosophy of the eBPF framework, we ensure that saBPF can be readily integrated into the mainline kernel; 2) since saBPF is built upon the eBPF framework and adheres to its design philosophy, users already familiar with eBPF can quickly develop new applications using saBPF, while new users have access to eBPF's documentations and forums, which makes saBPF easy to learn and use. In addition, any existing eBPF program can run in conjunction with our audit solution on the saBPF-enhanced platform for individual containers.
3.1 Namespacing LSM-BPF
saBPF extends the use of cgroup (which in eBPF is used mostly for network filtering) to LSM hooks. This extension allows saBPF to precisely control audit granularity. Recall that cgroups are arranged in a global hierarchy since cgroup v2, and all processes belong to the root cgroup by default. A Kubernetes pod, for example, defines a pod-level cgroup, which is the ancestor of container-level cgroups within which individual containers in the pod reside (Fig. 3). By attaching eBPF programs to container-level cgroups, saBPF can perform container-level auditing; at the same time, saBPF can monitor activity inside the entire pod by attaching audit programs to the pod's root cgroup. While the design of Kubernetes makes it natural to follow this two-level audit scheme using cgroup, saBPF can support arbitrarily complex cgroup hierarchy for customizable use.
Listing 1 illustrates how an saBPF program is defined by developers. It is a program that simply prints "Hello World!" when the file_open LSM hook is triggered. The statement in line 1 specifies where the program should be attached, and the ctx variable in line 2 contains the parameters passed from the file_open hook. The user attaches (and detaches) this program to (and from) a cgroup through the bpf() system call. Multiple eBPF programs can be attached to the same cgroup-hook pair by setting the BPF_F_ALLOW_MULTI flag; they will be executed in FIFO order.
```
1 SEC ( " cgroup_lsm / f i l e _ o p e n " ) 2 int cgroup_file_open ( struct bpf_cgroup_lsm_ctx ∗ ctx ) 3 { 4 b p f _ t r a c e _ p r i n t k ( " Hello World ! \ n " ) ; 5 return 0 ; 6 }
```
Listing 1: A "Hello World!" saBPF program that can be triggered on the file_open hook.
In the kernel, when an LSM hook is triggered, saBPF invokes appropriate eBPF programs through a customized security module. This module performs three main actions for every hook. First, it prepares the parameters, which are passed from the hooks to the eBPF programs. It then retrieves the cgroup associated with the current task. Finally, it traverses the cgroup hierarchy (§ 2.3) backwards from the current cgroup to the root cgroup and executes all programs associated with the LSM hook.
Fig. 2 illustrates this process using the open system call as an example. The root cgroup has two child cgroups, child1 and child2. While the root cgroup has programs attached to both inode_create and file_open LSM hooks, child1 has only one program attached to file_open and child2 has one program attached to a different LSM hook, inode_setattr. As a result, any process that triggers the file_open hook leads to the invocation of the programs attached to that hook in the root cgroup. However, the programs attached to the same hook in child1 are only called if a process belonging to child1 (or one of its decedents) triggers the hook. Note that this process still causes programs in the root cgroup to be called.
Early in the design phase, we considered creating a dedicated namespace for system auditing. While this allows a clear separation of namespaces' responsibilities, given that cgroups are designed to control access to system resources, we eventually abandoned this design for two reasons. First, significant re-engineering of existing container solutions would be required to make use of this new namespace. Second, existing namespaced eBPF already uses cgroup. We believe that introducing a new namespace goes against the current design philosophy of eBPF. However, we emphasize that based on our experience, it is relatively straightforward to implement a new namespace should such a need arise in the future.
3.2 Local Storages
System auditing often requires associating data with kernel objects [54]. In early prototypes, we considered using
eBPF maps, which are key-value stores shared among multiple eBPF programs across execution instances, but we abandoned the idea due to poor maintainability. Specifically, when using eBPF maps, developers must create an entry for each new kernel object to store data associated with the object. The key to the entry must be unique during the lifecycle of the object. Ensuring uniqueness for all kernel objects is important, but prone to error. For example, it is insufficient to use just an inode number as the key for an inode object; rather, a combination of the inode number and the file system's unique identifier is needed because inode numbers are guaranteed to be unique per file system only. Moreover, developers must also take special care to remove map entries when objects reach the end of their lifecycle. This problem is exacerbated by the fact that eBPF maps are created with capacity limits.
saBPF uses a completely different approach to storing such data, extending eBPF's local storages, which are data structures that are directly associated with kernel objects. Local storages provide an interface similar to eBPF maps, but they use the object reference as the key and store the value locally with the kernel object. At the end of an object's lifecycle when the object no longer has any reference, eBPF transparently removes the local storage associated with the object. This takes the responsibility of removing unused entries away from developers, making it less error-prone. Furthermore, local storages incur less performance overhead compared to eBPF maps, as shown in Fig. 4. At the time of writing, eBPF provides local storages for only cgroup, socket, inode and task. We implemented additional local storages for file, cred, ipc, superblock, and msg_msg to fully support LSM-based auditing. We give a practical illustration in § 4.1.
3.3 Extension of eBPF interface
To access kernel data, eBPF programs rely on eBPF helpers, which are an allowlist of kernel functions permitted by the eBPF verifier to interact with the kernel. saBPF defines a number of extra eBPF helpers, as shown in Table 2, to facilitate system auditing.
Name
Description
Table 2: Summary of new eBPF helpers provided by saBPF.
A subset of functions return the inode associated to an object of a certain type (e.g., bpf_inode_from_sock returns the inode of a socket object). This can be useful to understand the interplay of system calls acting at different levels of kernel abstraction.
bpf_dentry_get returns the directory entry of an inode, which helps saBPF programs to retrieve the path associated with the inode. A directory entry is protected by a reference counter when a program manipulates it. The reference counter is increased when bpf_dentry_get is called and must be decreased by calling bpf_dentry_put once the entry is no longer used. To ensure correctness, we also modified the eBPF verifier to verify that every bpf_dentry_get has a corresponding bpf_dentry_put being called on the same code path.
The remaining helpers are used to manipulate local storages (§ 3.2). We extended eBPF map helpers so that userspace programs can interact with those storages. In eBPF maps, userspace programs can access a set of helpers via system calls to e.g., update or lookup map entries. Our extension provides similar support for local storages: programs can manipulate data in the local storage of a particular kernel object using appropriate userspace identifiers. For example, assuming appropriate privileges, we can lookup, update, and delete data in a cred 1 object's local storage via its PID.
4 USE CASES
A framework like saBPF is only useful if it is both practical and performant. We discuss three meaningful use cases that we have implemented to demonstrate the types of application that saBPF can easily support, showcasing its practicality. We evaluate saBPF's performance in § 6.
1cred is the credential information associated with a process.
Figure 5: A simplified whole-system provenance subgraph.
4.1 Whole-system Provenance Capture
We describe our implementation of ProvBPF, a provenance capture mechanism that we developed atop saBPF. Provenance has gained much traction in the security community, notably with applications designed to understand intrusions in a computer system [33, 34, 44], prevent data exfiltration [17], and detect attacks [29–31, 42, 45, 65]. ProvBPF captures provenance at the thread granularity, recording information such as security context, namespace, and performance metrics.
A Brief Provenance Introduction. Computing systems are too often opaque: they accept inputs and generate outputs, but the visibility of their inner workings is at best partial, which poses many issues in fields ranging from algorithmic transparency to the detection of cybersecurity threats. Unfortunately, traditional tracing mechanisms are inadequate in addressing these issues. Instead, whole-system provenance [54], which describes system execution by representing information flows within and across systems as a directed acyclic graph, shows promise. Provenance records subsume information contained in a traditional trace, while causality relationships between events can be inferred through graph analysis.
Fig. 5 shows a simple provenance graph. In this graph, two tasks ( 𝑇 and 𝑇 ′ ) are associated with their respective memory ( 𝑀 and 𝑀 ′ ). The subscripts (e.g., 𝑇 1 and 𝑇 2) represent different versions of the same kernel object to guarantee graph acyclicity [48]. 𝑇 creates a pipe 𝑃 and forks a new process (corresponding to 𝑇 ′ and 𝑀 ′ ). 𝑇 ′ reads information from a file 𝐹 and writes information to 𝑃 . 𝑇 then reads from this pipe. A versioned node is created every time an object receives external information (e.g., when a task reads from a file). This is a small subgraph representing a very simple scenario. In practice, for example, a graph representing the
compilation of the Linux kernel would contain approximately a few million graph elements [47].
The rest of our discussion focuses primarily on the novel aspects of ProvBPF and the design choices we made as the result of using saBPF to capture OS-level provenance (instead of modifying the kernel). We compare ProvBPF's performance to that of a state-of-the-art provenance capture system, CamFlow [51], in § 6.
Overview. Fig. 6 illustrates the architecture of ProvBPF using the open system call as an example. In ProvBPF, eBPF programs are executed on LSM hook invocations. ProvBPF's eBPF programs generate provenance graph elements in binary and write them to an eBPF ring buffer [3]. A user-space daemon serializes those graph elements and outputs them to disk (or to remote endpoints like Apache Kafka [1]) in a machine readable format such as W3C PROV-DM [18].
We must associate states with kernel objects to guarantee graph acyclicity and to implement graph compression algorithms. For example, to guarantee acyclicity, we associate with each object a version counter which is updated when external information flows into an object and modifies its state. After the update, a new vertex is added to the graph and connected to the previous version of the object through a version edge, as illustrated in Fig. 5 as dashed lines.
We also associate an "opaque" flag to the state of certain kernel objects; opaque objects are not audited. This is particularly useful for ProvBPF's daemon-related objects, because capturing their provenance would result in an infinite feedback loop. CamFlow uses security blobs from the LSM framework associated with each kernel object to maintain
its associated states. In ProvBPF, we leverages the local storage mechanism (§ 3) for this purpose. Local storage can be accessed by the ProvBPF daemon from userspace to set a policy for each individual object (e.g., to set opacity).
Graph Reduction. eBPF-based provenance capture offers exceptional flexibility in designing customized capture policies that fulfill different objectives. Customization typically involves filtering, i.e., selecting kernel objects and system events that are relevant to a specific analysis. For example, Bates et al. [15] only record events related to objects associated with specific SELinux policies. ProvBPF allows for the filter logic to be built-in during compilation, thus reducing run-time overhead.
ProvBPF implements additional graph reduction techniques other than filtering. It automatically merges consecutive events of the same type between two entities into a single event and avoids object versioning as much as possible. Event merging reduces the number of edges between two nodes without changing the semantics of the interactions they represent. For example, when a process reads a file piece-by-piece through a number of successive read system calls, saBPF would create only one directed edge between the process and the file to capture these read events, which is sufficient to describe the information flow from the file to the process due to read. On the other hand, avoiding object versioning reduces the number of nodes, and ProvBPF does so only when the semantics of an object have not changed. These graph reduction techniques are completely agnostic to specific downstream provenance analysis and can be easily configured at compilation time according to the needs of a particular application. More importantly, unlike previous work [61] that performs graph compression as a costly post-processing step (i.e., after recording the original graph), ProvBPF employs those techniques during capture before new edges are added to the graph.
Verifying Capture Correctness. It is challenging to verify the correctness of a provenance capture mechanism [19]. At a minimum, we must show that a provenance graph describing system activity of a system call makes "intuitive" sense for a human analyst inspecting the graph. We use both static and dynamic analysis to verify that provenance graphs generated by ProvBPF are reasonably correct.
Our static analysis generates a graph motif for each system call, which enables us to reason about the semantics of the graph based on our understanding of the system call. We follow the same strategy as described by Pasquier et al. [52]. To generate a system call graph motif, we first analyze the kernel codebase to construct a call graph of a system call and extract a subgraph, within the call graph, that contains only LSM hooks [27]. We then analyze ProvBPF's codebase to generate a graph motif for each LSM hook and augment the subgraph from the previous step by replacing each LSM
hook in the subgraph with the corresponding graph motif. The resulting subgraph – now containing only graph motifs of LSM hooks – is the graph motif of the system call that summarizes what the provenance graph would look like when the system call is executed.
In addition, we build test programs and follow the same steps above to create program-level graph motifs. For each program binary, we build a call graph which we then transform into a syscall-only graph. We replace the syscalls in the graph with the motifs we previously built. We run each test program and verify by inspection that our (staticallyproduced) motif matches the (dynamically-produced) provenance graph generated by ProvBPF. We perform the same steps in CamFlow [51] to verify that the graphs generated by the two systems are equivalent.
4.2 An Intrusion Detection System for Kubernetes
saBPF-based audit systems such as ProvBPF can be used as an underlying framework for various security applications in the cloud. We demonstrate this feasibility through a concrete use case of deploying Unicorn [29], a state-of-the-art host-based intrusion detection system (IDS), in a Kubernetes pod using ProvBPF as an upstream information provider. Unicorn is an anomaly-based IDS that learns system behavior from the provenance graph generated by benign system activity. Once a model is learned from the graph, detection is formulated as a graph comparison problem: if a running system's provenance graph deviates significantly from the model, Unicorn considers the system to be under attack. In the remainder of this section, we focus our discussion on how ProvBPF facilitates deployment of an IDS in a containerized environment in a novel and elegant manner; in-depth evaluation of the performance of such an IDS is out of scope and left for future work.
Design & Implementation. ProvBPF makes it easy to run a provenance-based IDS at the pod level in Kubernetes, which is challenging when provenance data is provided by a reference-monitor-based audit system such as CamFlow [51]. For systems like CamFlow, provenance is always captured system-wide; as a result, audit logs must be filtered to provide as input to the IDS provenance data relevant to a pod only, and filtering must be done on an individual pod basis. Unfortunately, this extra filtering step inevitably adds delay and complexity to the entire detection pipeline, thus reducing runtime detection efficacy.
Instead, we use ProvBPF and Kubernetes' sidecar design pattern to attach the IDS to Kubernetes applications. A sidecar container is a container that runs alongside a main container (i.e., the one that provides core functionality) in a pod. In our design, for each pod, we include a sidecar container
that runs both ProvBPF and Unicorn. ProvBPF audits the entire pod and generates a pod-level provenance graph; the graph is then used as input to Unicorn. We note that other detection systems such as StreamSpot [42] and log2vec [41] could be used in a similar fashion. In a microservice environment, any misbehavior detected within a single pod can be sent to a dedicated central service that performs alert correlation [45] to detect, for example, early stages of a cyber kill-chain.
Discussion. This deployment strategy, made possible by ProvBPF, have a number of advantages. First, we do not need to modify applications to deploy our IDS thanks to the sidecar pattern. Second, we can easily deploy an IDS model specific to an application running in a pod, without taking into consideration extraneous activity of the rest of the system. Third, ProvBPF produces provenance graph elements that can be analyzed directly, without introducing filtering delays in the detection pipeline. Fourth, deploying ProvBPF imposes no cost on other pods running on the same machine, since saBPF programs are only triggered within the context of a single pod. This is in contrast to a classic systemwide approach (e.g., Linux Auditd or CamFlow), which would negatively affect performance on the entire machine.
4.3 Lightweight Ad-hoc Access Control
While saBPF was designed primarily to provide secure auditing, it can also be used to implement simple access control policy within the scope of a container. 2 We implemented a proof-of-concept to demonstrate saBPF's ability to enforce access control policy. Like in § 4.2, we consider a Kubernetes environment and use the sidecar pattern to deploy access control policy at the pod granularity.
Design & Implementation. Using saBPF, we can easily achieve separation of concerns in Kubernetes, such that each pod has its own set of security mechanisms and policies. We deploy a sidecar alongside unmodified applications to constrain their behavior. The sidecar runs a set of saBPF programs implementing the desired policy and attach them to the root cgroup of the pod. We associate security contexts to kernel objects through local storage and define an eBPF map to store constraints applicable to those contexts. When an LSM hook is triggered, information is retrieved from the map to determine whether or not an action is permitted. Policy violation can be sent to userspace via an eBPF ring buffer, which can then be logged or reported to the user about the unexpected application behavior.
We take advantage of the eBPF framework to optimize the sidecar at the time of its compilation based on the policy to be enforced. For example, if the policy has no network access
2 Policy conflict resolution across cgroup hierarchy is out of scope of this paper. We refer interested readers to § 8.
rules, we do not build any rules enforcement program regarding network access. In general, our access control mechanism generates a minimum set of programs needed to enforce a given policy, thus reducing complexity and improving performance.
Policy Example. Taking inspiration from the Open Policy Agent [12] and AppArmor [2], we create a simple policy language. A policy is expressed in JSON and parsed to generate a customized sidecar application that can be attached to a pod.
```
1 { 2 " t a r g e t " : " / usr / bin / foo " , 3 " network " : { " d e f a u l t " : " deny " , " allow_egress " : [ 404 , 80 ] } , 4 " f i l e " : { " d e f a u l t " : " r " , " rw " : [ " / tmp / ∗" ] , "mr" : [ " / l i b / ld −∗. so ∗" , 5 " / l i b / l i b ∗. so ∗" ] } 6 }
```
Listing 2: A simple policy example.
Listing 2 shows an exemplar policy written in this language. A /usr/bin/foo process is by default denied access to the network unless it is an outgoing connection through the http and https ports. Similarly, the process is denied write or execute by default. However, it has read and write access to the /tmp directory and is able to map system libraries. This policy is inherited by any child process forked from the /usr/bin/foo process.
4.4 Discussion
We conclude this section by summarizing the advantages of using saBPF, as repeatedly demonstrated by the three use cases described above.
Performance. saBPF is the first reference-monitor-based audit system that allows audit rule configuration at compilation time, drastically minimizing run-time audit complexity and improving overall performance. In stark contrast, other audit mechanisms such as CamFlow must evaluate complex audit rules at runtime to satisfy specific needs of different downstream applications. For example, security tools such as SIGL [31] typically analyze only a small subset of host activity logs that an audit system like CamFlow provides. To monitor an application in a Kubernetes pod, Unicorn requires provenance data generated only by activity in the pod. In both cases, filtering is inevitable but it can sometimes become a performance bottleneck that is difficult to overcome. To make matters worse, as we have discussed in § 5.1, run-time evaluation can have adverse and cumulative performance impact, making existing reference monitors undesirable to be even considered in practical settings. Similarly, a given application may only enforce access control constraints on
a subset of events. Through compilation-time policy evaluation, saBPF can minimize run-time cost by running only needed eBPF programs.
In practice, this means that given an equivalent policy, a solution built using saBPF significantly outperforms current solutions developed through the built-in LSM mechanism. Maintainability and Adoption. Maintaining out of tree LSMs requires significant effort and time investment. As LSMs are built in the kernel, rigorous testing is essential to avoid crashes or introducing unintended security vulnerabilities. This makes exploring new mechanisms difficult. For similar reasons, it is rare for third parties to further develop on a custom kernel given the high risk of instability and vulnerability. We further discuss maintainability concerns in § 7.
Decentralized Deployment. Standard LSM-based solutions are generally deployed system-wide and centralized, and must be managed by the host. By contrast, each containerized environment (assuming proper privileges) can deploy its own LSM mechanisms using saBPF without affecting the rest of the system. Each guest environment can run not only different policies, but also a completely different mechanism. Moreover, saBPF programs are only triggered within the cgroup they are attached to, thus limiting data leakage across containers (see § 7 for further discussion on security).
5 UNDERSTANDING POLICY OVERHEAD
The run-time performance overhead of any always-on audit system is critical to its successful adoption. While the overall performance is a function of a specific audit policy, which varies across different needs and use cases, the run-time cost of the underlying infrastructure can be reasonably analyzed, which we present in this section. Our analysis focuses on two main components of saBPF, LSM and eBPF; the cost of running both together has not been widely studied, especially in the context of audit. We also compare our approach with state-of-the-art reference-monitor-based auditing that requires kernel modification.
5.1 LSM overhead
It is difficult to precisely measure LSM overhead [68]. In general, there exist two sources of overhead when performing audit (or other policy enforcement) through LSM: hooking and execution. Hooking refers to the cost of invoking a callback function associated with a specific LSM hook, which incurs roughly constant overhead. Execution refers to the cost of running the callback function, which is dependent on the specific audit (or other policy enforcement) mechanism and can also vary by the (audit) policy itself.
It is sometimes mistakenly assumed that for a given system call and a given policy on the system call, the overhead
Table 3: Summary of LSM hooks called on successful system calls. Some hooks are only triggered in a particular system state or with specific syscall parameters (e.g., when creating a new file on open). + indicates that hooks are always called, and * means hooks are called on every directory in a path.
introduced by a specific LSM module would be constant. In reality, such an assumption is often an oversimplification. Consider an open system call. A number of LSM hooks, such as file_open and inode_permission, are triggered when open is called. If a new file is created because of open, additional hooks such as inode_create and inode_setattr are called when the new file's underlying inode is being created and its attributes set. Of particular interest in this example is the inode_permission hook, which is called on each directory composing the path of the file to be opened, since open must have the permission to search for the file to be opened.
To audit an open-file event, it is important to record all the permission checks (including the ones on the directories) because it reveals file access patterns. For example, in a security context, a failed inode_permission check could indicate that a compromised application attempted to scan the file system to access sensitive data. The overhead introduced by such an audit mechanism on this particular event is a function of path length. For example, assume that invoking file_open and inode_permission and running their callback functions incur the same cost 𝐶 . The total overhead of a file-open event on a path of length 𝑁 is 𝐶 × (𝑁 + 1). Given two audit policies, 𝑃𝐴 and 𝑃𝐵, such that 𝐶𝐴 is one order of magnitude higher than 𝐶𝐵, the total overhead incurred by 𝑃𝐴 is in fact two orders of magnitude higher than that by 𝑃𝐵 on a path of length 10. The open system call is not the only one affected by such behavior; other system calls, such as chmod, symlink, mmap, stat, and execve have similar patterns.
Because this phenomenon can have a significant impact on the overall system performance, we analyze the call graph
associated with each system call (see § 4.1) to understand LSM hook invocation patterns. We show the results for a few system calls in Table 3 (note that for readability, we do not include hooks that are called when a system call fails/errs).
5.2 saBPF overhead
saBPF's sources of overhead are fundamentally the same as those of standard LSM security modules, i.e., hooking and execution (§ 5.1). Therefore, if a standard security module and saBPF implement the same policy, they incur roughly the same total overhead, except that saBPF incurs some additional cost to traverse the cgroup hierarchy and to invoke the relevant eBPF programs (§ 3.1).
In practice, however, there exists significant differences in policy overhead between a standard security module and saBPF; saBPF offers time-saving convenience and flexibility that a standard security module is unable to provide. To run a customized in-kernel LSM module, the Linux kernel must be modified. This requires thorough testing before the deployment of the custom kernel. It is common for average users to shy away from the mere idea of deploying a kernel running heavily-customized code, especially one where said customized code interacts with the OS security framework. To mitigate those issues, standard modules are typically designed to be general-purpose. For example, an auditing module (e.g., CamFlow [51]) must be able to satisfy different auditing needs without requiring users to compile their own custom kernel. To that end, the module must evaluate at runtime an extensive audit policy to determine what information it should log. As a concrete example, Bates et al. [15] deploy policies to record events based on their security context as provided by SELinux. For each object involved in a given event, the audit mechanism needs to retrieve its security ID and compare it with the specified policy. While the policy is relatively simple, the cumulative effects (as discussed in § 5.1) on the policy have a significant impact on performance.
On the other hand, saBPF-based solutions take into account audit policy at compilation time, which significantly reduces run-time complexity and thus improves performance. Moreover, since saBPF allows users to attach programs based on cgroups, there is virtually no overhead imposed on applications running outside of the targeted cgroup. This means, for example, that if a Kubernetes pod deploys a complex audit mechanism, the other pods on the system remain unaffected.
6 PERFORMANCE EVALUATION
In this section, we evaluate saBPF performance on a bare metal machine with 16GiB of RAM and an Intel i7 CPU. In § 6.1, we analyze the cost of hook invocation on saBPF. Next, in § 6.2, we explore the performance gain from using
saBPF rather than a state-of-the-art monitoring system that modifies the Linux kernel, when performing exactly the same functionality. Appendix A has more details on reproducing the results reported in this section.
6.1 Overhead of Namespacing
We compare the overhead associated with different mechanisms responsible for calling LSM hooks. We are interested in the following three strategies: 1) the native LSM mechanism with built-in functions (LSM); 2) LSM-BPF that attaches an eBPF function to an LSM hook (LSM-BPF); and 3) saBPF that attaches eBPF programs at the intersection of a cgroup and an LSM hook (saBPF). We use ftrace [9] to perform the measurement. To measure exclusively the cost of each calling mechanism, the function or program that is attached to each hook performs no operations and simply returns. We capture the overhead of four common functions associated with a UNIX server: socket, bind, listen, and accept. The overhead is associated with the following four LSM hooks: security_socket_[create/bind/listen/accept]. The results are shown in Fig. 7. We report overhead relative to a single baseline and focus on order-of-magnitude comparison, because ftrace (or any similar kernel instrumentation tool) can introduce additional overhead [9]. We use the overhead of native LSM on the socket_create hook to normalize experimental results.
We see in Fig. 7 that the invocation overhead is nearly constant and independent of the system call. It is roughly 10 and 15 times more costly with LSM-BPF and saBPF than with native LSM, respectively. The built-in LSM simply finds the address of the LSM function in a hook table and calls the function. The extra cost of LSM-BPF is related to the
Algorithm 1:
Execute an eBPF program (simplif
1
// disallow task core migration and preemption
2
migrate_disable();
3 rcu_read_lock();
4 rc = run_bpf_programs();
5
rcu_read_unlock();
6
7
// allow task core migration and preemption migrate_enable();
8
return rc;
Algorithm 2: Execute an saBPF program (simplifi ed).
1 hierarchy = get_cgroup_hierarchy(current_task, hook_reference);
2 // disallow task core migration and preemption
3 migrate_disable();
4 rcu_read_lock();
5 foreach cgroup in hierarchy do
6
rc = run_bpf_programs();
7
if rc
then
8
return rc;
9 rcu_read_unlock();
10
// allow task core migration and preemption
11
migrate_enable();
12
return rc;
cost of invoking an eBPF program. We show the simplified logic to execute an eBPF program in Alg. 1. While the overhead of executing the eBPF program itself is relatively low (close to executing a native function), handling read-copyupdate (RCU) [14] synchronization primitives and manipulating scheduler migration and preemption flags accounts for the majority of the overhead.
As shown in Alg. 2, saBPF follows a similar logic, except that it incurs additional overhead when retrieving and traversing the cgroup hierarchy.
However, we emphasize that these relative overheads must be considered with respect to the cost of policy evaluation. As a point of comparison, SELinux's policy evaluation cost of the socket_create hook is 2 , 000 times larger than the invocation cost of native LSM. To better understand the actual cost of running saBPF and to contextualize its overhead, we perform both micro- and macro-benchmarks in the next section.
6.2 Evaluating ProvBPF
To contextualize saBPF's performance with a realistic workload, we perform an evaluation of ProvBPF through micro-
i ed).
Table 4: lmbench results.
(§ 6.2.1) and macro-benchmarks (§ 6.2.2). We demonstrate that ProvBPF outperforms the state-of-the-art whole-system provenance solution CamFlow [51] and incurs minimal performance overhead.
We choose standard benchmarks such as lmbench, so that saBPF can be meaningfully compared with prior and future work. We run each benchmark on three different kernel configurations. The vanilla configuration runs on the unmodified mainline Linux kernel v5.11.2, which serves as our baseline. The CamFlow configuration uses the same kernel but additionally instrumented with CamFlow kernel patches (v0.7.2) [4]. Finally, the ProvBPF workload corresponds to the same Linux kernel but running with our eBPF-based provenance capture mechanism ProvBPF. We also ensure that ProvBPF's and CamFlow's configurations are equivalent.
6.2.1 Microbenchmark. We use lmbench [43] to measure ProvBPF's performance overhead on raw system calls, as reported in Table 4. We show only a relevant subset of performance metrics due to space constraints, but the complete results are available online (see Appendix A).
The overhead of ProvBPF, when compared to the vanilla kernel, is relatively low. In addition to the overhead introduced by the invocation mechanism, ProvBPF also incurs the cost of building the provenance graph elements and sending them to the user-space program. It outperforms CamFlow as it is significantly streamlined. Indeed, CamFlow uses a complex set of capture policies to allow users to tailor data capture to their specific needs [51]. Evaluating the policy at runtime can be relatively costly, especially since the effects can be cumulative (§ 5). In the case of ProvBPF, policy evaluation is performed at compilation time, so that the compiled code only captures the desired events, thus significantly reducing overhead given equivalent policies.
Table 5: Macrobenchmark results.
Table 6: Extended macrobenchmark results.
6.2.2 Macrobenchmark. We present two sets of macrobenchmarks. The first set, as shown in Table 5, measures the performance impact on a single machine when unpacking and building the kernel and running the Postmark benchmark [39]. These are the common benchmarks used in prior provenance literature ever since Muniswamy-Reddy et al. [48] introduced the concept of system provenance. Table 6 shows the results of the second set of benchmarks focusing on a set of applications typically used to build web applications. These benchmarks are not intended to cover every possible scenario, but rather to provide meaningful points of comparison. We rely on the Phoronix Test Suite [13] to perform these benchmarks. Details on benchmark parameters and settings are available in our repository, see Appendix A.
From the first set of benchmarks (Table 5), we see that ProvBPF introduces between 1% and 16% overhead. Unpack and build workloads are computation heavy, and most of the execution time is spent in userspace. On the other hand, postmark spends a more significant portion of its execution time in system call code. As ProvBPF only adds overhead when system calls are executed, it unsurprisingly performs worse in the Postmark benchmark. In the second set of benchmarks (Table 6), we evaluate the impact of ProvBPF on applications that are often deployed through containers. ProvBPF's overhead is between 0% and 11%. In all scenarios, ProvBPF outperforms CamFlow.
We also note that ProvBPF results are in the same order of magnitude as similar whole-system provenance capture
Table 7: Changes made to the LSM ABI in terms of the number of interface function modified (including name changes, parameter modifications, and additions and deletions) since the latest release. We note that there is a total of 236 LSM hooks as of release 5.12.
solutions such as Hi-Fi [54] and LPM [17]. We are not able to provide direct comparison with these solutions since they were implemented for extremely outdated kernels (release 2.6.32 from 2009 for LPM [16] and release 3.2.0 from 2011 for Hi-Fi [53]); internal kernel changes make it practically impossible for us to port them to a modern kernel release.
7 DISCUSSION
Security. We are aware of a number of security issues with eBPF (e.g., CVE [6] and CVE [7]). In many known attack scenarios related to eBPF, an attacker exploits the eBPF verifier to make illegal modifications of kernel data structures, e.g., to perform privilege escalation [6]. One clear solution is to improve the verification of eBPF programs [28, 50]. While this is an important problem worthy of investigation, it is orthogonal to saBPF and therefore out of scope for this paper. We note that, to the best of our knowledge, saBPF does not introduce new attack vectors and that any improvement to eBPF security will benefit saBPF.
Maintainability. One of the key advantages in building audit tools through eBPF and by extension saBPF is that they can be heavily customized to fulfill the needs of the user.
Layering. In this work, we focus on capturing kernel-level audit data that describes low-level system interactions. However, to fully understand application behavior, it is often useful to analyze audit information from multiple sources, preferably from different layers of abstraction. For example, layering both low-level system traces and higher-level application traces can often facilitate attack investigation by enabling forensic experts to identify, in an iterative fashion, an attack point of entry [40]. The application of such techniques is beyond the scope of this paper, but saBPF and any application built atop can be seamlessly integrated with existing layering techniques.
As we previously pointed out, maintaining bespoke built-in audit tools requires the developers to, at a minimum, 1) maintain a custom kernel, 2) prepare a custom OS distribution, and 3) perform extensive testing before actual deployment. This burden is greatly alleviated using our proposed solution. The audit mechanism is neatly separated from the OS and can be built and tested independently. Furthermore, with BTF and CO-RE[49], any solution built with saBPF does not need to be built against a specific version of the kernel; it only needs to be rebuilt (and updated) when the kernel's internal LSM ABI changes, which is rare (Table 7). We note that a number of popular distributions ship only Long Term Support kernel versions, which further simplifies maintenance.
8 RELATED WORK
saBPF is designed mostly for monitoring containers in the cloud and uses two major technologies, eBPF and LSM. We discuss related work in these areas.
eBPF-based Security. In system security, one of the wellknown eBPF-enabled applications is seccomp-bpf, which filters system calls available for user-space applications to reduce kernel attack surface [21]. seccomp filters use BPF programs to decide, based on the system call number and arguments, whether a given call is allowed or not. A more recent application of eBPF is LBM [62], which protects the Linux kernel from malicious peripherals such as USB, Bluetooth, and NFC. LBM places interposition hooks, through the implementation of new eBPF program types, right beneath a peripheral's protocol stack and above the peripheral's controller driver, so that it can guarantee that eBPF programs can filter all inputs from the device and all outputs from the host. LBM introduces a new filter language for peripherals to enforce programmable security policies.
LSM-BPF is still a nascent eBPF extension, emerging from Kernel Runtime Security Instrumentation (KRSI) [57]. KRSI enables privileged users to dynamically update MAC and audit policies based on the state of the computing environment. bpfbox [24] uses LSM-BPF to create process sandboxes through a flexible policy language. BPFContain [23] uses LSM-BPF to enforce system-wide policy to control container IPC, and file and network access. They both leverage eBPF because it is easier to maintain and further develop eBPF programs than to use out-of-tree LSMs for their particular needs. saBPF is orthogonal to these systems and focuses on leveraging eBPF at the intersection of cgroup and LSM hooks, mainly but not exclusively for secure auditing.
Monitoring Containers. There are a number of widely available solutions, such as Cilium [5], Grafana [10], and Nagios [11], that monitor containers, but they focus primarily on performance and/or network traffic monitoring. We design saBPF not to compete with these solutions, but to allow their functionality to be extended to secure auditing. Indeed, while these frameworks provide a wealth of information, their capture methodology does not provide strong enough guarantees in the presence of an attacker. Furthermore, saBPF enables the implementation of decentralized solutions that need not be managed by the host platform.
LSM. The LSM framework [46] was introduced nearly two decades ago to Linux for Mandatory Access Control (MAC). Two of the most popular applications of LSM are AppArmor [2] and SELinux [58]. Over the years, the LSM framework has seen its usage extended to implementing mechanisms such as the Linux Integrity Measurement Architecture [55], which enables hardware-based integrity attestation, and loadpin [20], which was developed to restrict the origin of kernel-loaded code to read-only devices in ChromeOS. LSM has also been used to implement secure auditing as previously mentioned [17, 51, 54]. These work is orthogonal to saBPF; instead, saBPF is closely related to prior work that attempted to allow namespacing and stacking of LSM modules [38, 60]. They focused on enabling containers to define their own security policy within a system-wide MAC scheme. For example, Sun et al. [60] make AppArmor namespaceaware so that each individual container can have its own policy to be enforced by the host. This is a non-trivial task involving conflict resolution alongside the security namespace hierarchy. saBPF expends on such ideas by allowing containers to provide not only their own policy, but also their own totally separate mechanisms.
9 CONCLUSION
We present saBPF, a lightweight system-level auditing framework for container-based cloud environments. saBPF is built upon the widely-used eBPF framework. It is simple to use and allows individual containers to deploy – in a decentralized manner – secure auditing tools. These tools in turn enable users to implement a wide range of security solutions on container-oriented cloud platforms, such as intrusion detection systems for individual containers. Using saBPF, we were able to re-implement a state-of-the-art audit system that provides exactly the same functionality while significantly improving performance. We open-source saBPF, welcoming the community to develop and deploy toolsets that leverage our system, in hopes of further discovering the potentials of saBPF.
A AVAILABILITY
Our implementation (§ 3) and instructions to reproduce the results presented (§ 6) are available at https://github . com/ saBPF-project.
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|
Svitlana Salnikova
PhD, Assoc. Prof. Department of Sociology and Social Work Lesya Ukrainka Eastern European National University Lutsk, Ukraine E-mail: email@example.com
Received: March, 2014 1st Revision: April, 2014 Accepted: May, 2014
DOI: 10.14254/2071- 789X.2014/7-2/15
JEL Classification : C1, C43,
I21, I31
Svitlana Salnikova, Ukrainian Society under Conditions of Total Anomy, Economics & Sociology, Vol. 7, No 2, 2014, pp. 183-198. DOI: 10.14254/2071789X.2014/7-2/15
UKRAINIAN SOCIETY UNDER CONDITIONS OF TOTAL ANOMY
ABSTRACT. The presence of specific phenomena of post-soviet anomy such as the criminalization of judicial and legal system, «state capture», double institutionalization and others aggravates the condition of social disorganization of Ukrainian society. Determination of the degree of influence of anomy on society as a whole and on selected groups is the main goal of this study. The author has used a technique construction of Index of Anomic Demoralization, Cynicism Index, and two Indexes of Social Well-being on the datasets of national surveys (1992–2012) of the Institute of Sociology of the National Academy of Sciences of Ukraine. All indexes for the entire period are quite high and they indicate the total anomy of Ukrainian society. After having analyzed the indicators of anomy in regional, age and sex, and professional and labour aspects, the author came to the following conclusions: (1) indications of anomy and cynicism are aggravated from the West to the East of the country, while the inhabitants of the Southwest and Kyiv feel less demoralized; inhabitants of the South-eastern part of Ukraine – are more demoralized; social well-being of the rural population is significantly worse than that of the inhabitants of large cities; (2) age differences as an indicator of generational change are more significant than regional, it signifies the integrity of the Ukrainian society; (3) professional and labour Ukrainians' differences according to indicators of anomy and cynicism are the most significant. The results confirm the need to reform public institutions, the involvement of professionals in all spheres of public life.
Keywords : indicators of anomy, Index of Anomic Demoralization, Cynicism Index, Index of Social Well-being, Ukraine.
Introduction
Due to the radical social transformations of the early 90's the system of normative expectations of the Ukrainian society lost determinateness, the condition of anomy has emerged. In fact, the concept of «anomy» denotes a general depression when everyone in society feels uncertain in relation to the prevailing norms in this society and ignorance about how to act properly in a particular social situation and role. Ukrainian society is a subject to the anomy and this is not a new scientific discovery, but the fact that it «has been drifting» for
more than 20 years (Shulga, 2011) in this condition actualizes the study not only the «diagnosis», but identifying those reference points that would allow to direct a general «disease» on the way of its recovery.
As obligatory general moral norms have no effect upon the society, people replace them with informal norms accepted in some social groups and communities. Prolonged condition of social anomy reproduces these informal norms according to which the differentiation of society is fixed. Thus, the destruction of the value-normative system leads to substantial changes in the actions of traditional regulators – law and morality. The purpose of this study is to determine the degree of influence of anomy on Ukrainian society as a whole, as well as selection of social groups, the most / the least prone to this condition through such research tasks: (1) to present the principal indicators of anomy during temporal aspect, (2) to analyze manifestations of anomic demoralization and cynicism and well-being in the regional, age and sex, professional and labour contexts.
Sociological techniques for measurement of reactions to anomy (measured by using scales of anomy, cynicism, social well-being, etc.) are the basis of this study. These techniques have been tested by scientists of the Institute of Sociology of the National Academy of Sciences of Ukraine (IS NASU) N. Panina and Ye. Golovakha and are used in national surveys. Thus, the data sets of national monitoring of IS NASU (1992–2012) are the empirical data of this study; these data sets are given to the author by Ye. Golovakha 1 . Their availability is a major advantage of the dynamics' analysis of the investigated object.
Techniques for measuring anomy and cynicism consist of certain judgments, the content of which is debating, but is outside the subject of this study. Therefore, the empirical analysis is restricted to these techniques.
Basics of the anomy theory (E. Durkheim, R. Merton, R. Darendorf, etc.), as well as the results of the author's research on the identification of the main phenomena of the postSoviet anomy present in Ukrainian society and having a tremendous impact on the totality of its presence are given in the first section of the article. The next three sections are devoted to the analysis of the dynamics of the main indicators of anomic demoralization, social cynicism and social well-being, respectively. Each following section is a logical complement of the preceding one: raised level of social cynicism in society is an investigative indicator of its total anomic demoralization; improving the economic standard of living of Ukrainians did not significantly improve their social well-being due to lack of social benefits in such spheres as: social security, professional and labour, vocational, recreational and cultural. A short summary of the procedure applied, the integral indexes, the scale of its measurement and interpretation are also given in these sections as well. Comparative analysis of the manifestations of anomy in regional, age and sex, and professional and labour contexts identified the main empirical results of this study; it is represented by a separate section.
Theoretical framework of study of anomy
According to social-culture approach by Р. Merton the source of anomy is in «inconsistency between aspirations defined by culture and socially organized means of their satisfaction» (Merton, 1966, pp. 301-302). Creator of conflict theory R. Darendorf says that conflicts arising in public systems are regulated and controlled by social institutions that produce certain rules of behavior for the parties involved. Substitution of institutions leads to a «social condition in which the violation of the norms does not entail punishment. … People do not find themselves an application in society, and so they do not feel bound by its rules. This is one side of the medal. The other side – the trust of society to their own rules falls, and
1 Therefore all the presented in the text and tables calculations are made by the author independently.
it just stops achieving compliance with them by the power» (Darendorf, 2002, pp. 215-217). According to sociological theory of anomy (E. Durkheim, R. Merton) the condition of general anomy cannot last indefinitely and normative and non-normative reactions to anomy come instead of social disorganization.
Post-Soviet anomy of Ukrainian society has aggravated by over 20 years of independence and was manifested in indicators of total demoralization of the population. Author substantiated in her own article (Salnikova, 2013) persistence anomy by presence of its specific phenomena such as the criminalization of judicial and legal system, «state capture», corrupt society by «circle of acquaintances» and double institutionalization. The double institutionalization space allows citizens to survive in difficult socio-economic conditions, thereby legitimating the appropriate mechanism of non-normative regulation that has become the norm by prolonged influence of anomy. This is a significant increasing complexity of the «healing» process from the anomy that aspires to liberal-democratic order and claims to be civil.
R. Darendorf describes anomy as follows: «People are losing their support, which they can be given from deep cultural ties; in the end, everything goes wrong, everything becomes equally, and therefore – indifferent. It has a various and very serious consequences for communal life of people. Times of anomy – are the times of uncertainty in everyday life. It starts sounding the call for «law and order». At the same time people are searching for support for themselves wherever they can find. The memories appear, coming from the very depths of history, there are memories about the lost heat of nest of old social relationships. National background and absolute dogmas of faith start generating an interest again» (Darendorf, 2002, p. 68). There is a mechanism, which activated this state: the rules and norms, they were guided earlier – useless, unreliable, inoperative, and the purposes to which they sought, – insignificant, meaningless, or important, but unattainable of known methods (rules, regulations); new goals are either incomprehensible or not worth, and even if they do exist, the mechanism for achieving them is not unintelligible. Content of values, which have not lost significance, has transformed, but is not well-defined. If the economic situation is deteriorating, the various fears are amplified; they produce the social anxiety, uncertainty in an individual and collective future, high suggestibility and susceptibility to various external influences, social irrelevance, and the distrust.
E. Zlobina studying the features of normative regulation of Ukrainian society distinguishes the negative consequences of such anomic reactions in society on individual and behavioural level as the loss of reliability and of social space, the complexity of social identification, etc. (Zlobina, 2007, p. 206).
Ukrainian sociologist N. Soboleva among the most characteristic reactions distinguishes as follows:
– the uncertainty of the situation, which greatly complicates the nearest forecast of their own destiny, career;
– the feeling of an anxiety, a confusion, an unreadiness to live and work in new conditions;
– an idea that there is not any control in society;
– the perception of a new mechanisms of social regulation as ineffective;
– the lack of confidence in the fact that something depends on an ordinary person;
– the sense of negativism, dissatisfaction;
– due to thinking and rethinking of the situation the state of dissonance arises from the inadequacy of perceptions and previouslu formed people's expectations to the real changes in the social reality;
– an inadequacy of evaluation criteria for new ways of the social action and act (Soboleva, 2011, pp. 46-47).
She also believes that «the agreed bases of social norms and values in periods of instability have strong attenuation, and the attention of individuals moves from norms and rules to the intentions of other individuals. Owing to strengthening of the regulatory role of expectations in behavioural models the number of possible equilibriums increases. … In the state of absence of stable evaluation criteria for the outward things, the individual must include the intentions of other individuals into his estimation of the situation» (Soboleva, 2011, p. 47). Social regulation, in turn, provides a stabilizing effect on the social system until neutralization of the conflicts. It is necessary to note that it is being formed under the influence of the perception of instability (or disorganization) (Soboleva, 2011; Slyusaryansky, 2007), which has a completely steady character (Salnikova, 2013). Е. Golovakha and N. Panina also saw a special potential and prospects for the development of society in the «amateur activity of social movements and organizations» (Golovakha, Panina, 2001, pp. 2122).
Hypothetical assertions like the direction of further empirical analysis are denoted also at this point. Firstly positive dynamics of the decrease in anomic reactions in Ukrainian society suggest the development of a sustainable society, the integrity of which – in minimal distinctions between typical groups according to differentiating characteristics (age and gender characteristics, types of professional and work experience, etc.). Secondly, taking into account the historical development of the country, the age differences as an indicator of generational change are significant, but they do not exceed regional, otherwise the integrity of society is in question. Regional inconsistency (or regional differences) according to measured indicators is a proof of the «border» conditions, rather than dividing the country into a completely different East and West, as seen by many politicians of Ukraine; it is known, separatist sentiments are also a consequence of loss of Soviet identity.
Index of Anomic Demoralization
So anomic demoralization is a psychological reaction of people in a social situation when one system of norms and values (which unites them in a community) is ruined and another system has not formed yet.
The Anomy Scale has 9 item-judgments in which people express different opinions regarding life (whether it is their private lives or about society in general) (Table 1) (the response scale: «agree» 2 point, «don't know» 1 point, «disagree» 0 point) and allows to create the Index of Anomic Demoralization (Index of AD). Summarized value of additive Index of Anomic Demoralization varies from 0 to 18 points (0 complete denial of demoralizing actions of anomy, 9 neutral value, 18 maximum degree of demoralization due to the condition of society). The index value from 9 to 12 points indicates a higher level of anomic demoralization, above 12 points a high level.
For comparability indexes of anomy and cynicism the author uses the coefficient of balance «disagreement–agreement» – it is the difference between the proportion of people who do not agree with this judgment, and those who agree, divided into 100. Theoretically, society is not subject to anomic demoralization / cynicism, if almost all its members do not agree with the given judgment, then the value of the coefficient of balance is positive and leads to 1; and vice versa: society demoralized / cynically, if value of this coefficient leads to 1, but with a sign of minus. So, the coefficient of balance takes the value from the interval [-1, 1]: a value of -1 means full availability of properties and +1 – its absence.
According to the values of this index the population of Ukraine is still disoriented and is in a more than an elevated state of anomic demoralization (Table 1, 2), despite of the fact that quality of life has improved since the early 2000s. Decrease of Index of Anomic Demoralization was observed in 2005 and it was assumed that its value in the following years would be in the range of 9-12 points, but apparently the «orange revolution» has not just disappointed, but also has aggravated the condition of anomic demoralization of Ukrainians. The next «relapse» occurred after 2010, most probably as another disappointment after the change of the ruling elite. It turns out that an inconsistent policy of power generates its shifts, and new power – is the same inconsistency leading line in ruling country. During the year after the change of a «ruler» society begins to understand – their hopes are not proved, they are deceived again – and its anomic condition was increasing. Here, of course, we can also assume that the discouragement of Ukrainians partly relates to their naivety to suppose that the newly elected president is able not only to provide them with a «paradise» in the shortest possible time, but also will satisfy the requirements of everyone in the process of its construction. Nonetheless, the anomic state of Ukrainian society is directly related to the stability and consistency of the political system.
Table 1. Indicators of anomic demoralization, %
1 – coefficient of balance «disagreement–agreement» of anomic demoralization,
2 – share of those who agreed with the statement,
3 – answer «I don't know».
Source: data sets of national surveys of IS NASU.
If to consider the content of Index of Anomic Demoralization on items the positive balance was observed only on such an individual characteristic as «I better understand what is right and what is not», and most likely indicates the presence of a significant proportion of citizens with either an individual strong position or an isolated social position; «I do not know» from 16.9% to 22.5% of respondents answered this judgment in different years, which informs of them as having more tolerant social attitudes in comparison with those who disagree. Unfortunately, positions of instability, uncertainty, disorder and disbelief are characterized by the highest negative exponents of stability of the social order. But, in this instability people do not feel so uncomfortable as they describe this social space, because everybody himself has understood better «what is what» (all together of these are more than a third).
Really, the uncertainty (1) of the social space over the study period was considerably both decreasing and increasing, and in general for 20 years of independence it has decreased by 4.2% – and this is the most significant achievement in a process of decrease in anomic reaction of the Ukrainian population. A misunderstanding of an action of the laws (4) is the next in this rating; as an indicator of the level of demoralization it also has decreased by 4.2%. Then – the disorder and lack of understanding (3), complicating rulemaking process, as a whole has decreased by 2.4%. At such rate of «recovery» the level of anomic demoralization of Ukrainian society after 10 years will be about 80%, and the value of the appropriate index will be located on the boundary between high and elevated levels. The prospect is not promising at all, especially when you consider that the indicator of general disbelief (6) in anything for years of independence fell to a record figure of 1,3%. It can be assumed that the total disbelief of Ukrainians due to the absence of stable normative regulators is explained not only by the events of the period of independence, but it has more deeply rooted, related to the events of their Soviet past, and therefore it has acquired a mental character. This is supported by the empirical fact: in all the years of independence, more than half of Ukrainians believe that the safest – is not to trust anyone.
At the same time an inherent feature has intensified for many other Ukrainians – the patience. Percentage of those who adapted to endure difficult circumstances, increased from a third to half, and those to whom it is impossible to endure difficult circumstances, on the contrary, decreased from two-thirds to one (Table 2) for the entire studied period. Ukrainians appraise the perspective of their life in 2012 comparing with 2000, more than half of them consider that there will not be any improvement.
Table 2. Estimate of the situation in country and perspectives of its development, %
Source: data sets of national surveys of IS NASU.
But there are some optimistic arguments. First, such pessimistic expectations typical for anomic demoralization as catastrophic forecasts and discouragement and confusion, etc. (Golovakha and Panina), nevertheless are reduced (Table 2). Second, the process of reconstruction of system norms and values anyhow occurs and in the presence of its strategic certainty by society and stabilization the political system might accelerate the pace.
Cynicism Index
There are common values that in any society should be supported by the majority on condition of its integrity, maturity and stability as a single organism, but not the sum of separate individuals not trusting anyone. The Cynicism Index shows the level of a disparaging attitude towards generally accepted values. A high level of social cynicism may be a serious obstacle to the process of developing normative values and shaping democratic society. Value of Cynicism Index in 2012 became critical.
The Cynicism Scale has 7 item-judgments about the motive of deeds of other people and distrust of surrounding people (Table 3) (the response scale: «agree» 2 point, «difficult to answer» 1 point, «disagree» 0 point) and allows creating the index of cynicism. Summarized value of additive Cynicism Index varies from 0 to 14 points (0 complete denial of the cynical attitude to others, 7 neutral value, 14 maximum degree of the social cynicism). This index value from 7 to 10 points indicates a higher level of social cynicism, above 10 points a high level.
We cannot assert so far, but there is a possibility of «acquisition» of high level of social cynicism by Ukrainian society. The situation with the data of this index differs from the previous one: any sudden changes, associated with changes of the political situation in the country, are not observed, on the contrary, percents of those who agree with cynical propositions about other people have grown steadily, although not significantly in a short period of time. Thus, according to Table 3, the majority of Ukrainians in the opinion of the same Ukrainians became more capable of lying for the sake of career (2) (the highest rate of negative balance – -0.68 and the increase in agreement with this statement – by 10.3%), and more profitable (4) in terms of «end justifies the means» (the balance is -0.55 and adoption of such a norm increased by 12.1%). Last years «to lie in order to avoid troubles» (6) and «unwillingness to bother themselves about cares of other people» (7) also became more acceptable to the majority of Ukrainians (both items increased by 7.9% and 10.9%, respectively). Particularly noteworthy is the judgment about distrust (5) (the percent of agreement increased by 10.3): initial balance, being one of the two smallest, increased by more than 20%, and it became the same as all the other judgments with high negative balance. But the sharp increase of distrust as a social position of an individual in relation to society happened after 2010.
Table 3. Indicators of social cynicism, %
1 – coefficient of balance «disagreement–agreement» of social cynicism,
2 – share of those who agreed with the statement,
3 – answer «I don't know».
Source: data sets of national surveys of IS NASU.
Question arises instead of conclusion on both parts. Values of Anomy and Cynicism Indexes indicate the problem of people who see Ukrainian realities in such a way, or the problem of Ukrainian realities? Most probably people just adequately describe the order of things, social-public ill-being.
Social Well-being of Ukrainians
Indeed, it is a social-public ill-being; indicators of social well-being obviously demonstrate this supposition.
The Scale of Social Well-being contains 44 items in full version or 20 items in short version of the scale related to different social benefits from concrete social sphere; every benefit is evaluated individually according to the personal estimation of social benefits' availability (the scale of sufficiency of benefits: 1 – not-sufficient, 2 – difficult to say, 3 – sufficient, 4 – not interested). Integrated Index of Social Well-being as additive index varies from 20 to 60 points for IISS-20 (40 points average value (conventional zero)).
So we can construct the Index of Sufficiency of Benefits as averaged index according to concrete social sphere. To this effect the scale of sufficiency of benefits is transformed by union 2 and 4 points (those people who are not interested in some benefit are under neutral emotional and estimated condition similar to people who answer «difficult to say»). Index of Sufficiency of Benefits has such values as: 1 – not-sufficient, 2 – conventional zero, 3 – sufficient (Panina, 2008).
Empirical date according to each benefit and IISS-20 during 1992–2010 can see in source (Golovakha, 2011, pp. 36-43).
Improving the economic situation in the country, a society which is exposed to demoralization, has a positive influence on the duration and consequences of this condition. In order that a high level of economic development of the country was decisive in the shaping of the normative system of the society, it is necessary for the society to have a continuous (in time) experience of living in conditions of material wellbeing. Therefore, on the one hand, we can state an improvement of the economic situation in the country during its independence, but on the other hand, we cannot assert the presence of experience of Ukrainian citizens of living under favourable market conditions. After all only those young countrymen, who do not know about the material deprivation period before the 2000s, are able to accumulate the
experience of no psychological concerns related to the society's negative experience as a whole, and even then not everyone, rather only those who used to live / socialized in the relatively good material conditions; such Ukrainians, according to estimates of the Institute of Sociology, in 2002 were 13.9%, in 2004 – 16.6%, in 2005 – 16.8%, in 2006 – 19.6%, in 2008 – 24.9%, in 2010 – 19.5%, in 2011 – 15.0% (Ukrainian society, 2011, p. 111), in 2012 – 18.4% (sum of those who designated on the question of the family's financial position within the last 23 months such items as «live in full comfort», «enough for all necessities, do manage to save», «enough for all necessities but not for savings»).
After the economic «lifting» of the country the percentage of living in comfortable circumstances does not increase, and social well-being of the Ukrainian population as a generalized indicator of reaction to social changes either (Golovakha, Panina, 1997). «The growth of social well-being as evaluation of accessibility of social benefits ... may be accompanied by deterioration in emotional state as a reaction to higher unrealized expectations of the people from the power» (Kaplan, 2013). In fact, after 2004 the society did not particularly support certain initiatives for social change, not seeing opportunities to improve their personal situation in them. Thus, the integral evaluation of everybody's own perception of well-being in the main spheres of life (IISS) as criteria for determining direction (positive or negative) of social change shows that the latter has a weakly positive rate (Table 4).
Table 4. Integral Index of Social Well-being, mean
Source: data sets of national surveys of IS NASU.
In the ranking of the most deficient social benefits to the Ukrainian society in 2012 turned out such benefits as: savings supporting one's own well-being to last during this year in case of serious illness, unemployment, loss of property (80.6%), the order in society (73.5%), confidence in one's own future (72.5%), observance of acting laws in Ukraine (72.1%), the possibility of having a quality vacation (60.9%), necessary medical care (57.7%), the possibility of providing children with complete education (55.3%), legal protection for defending their rights and interests (54.8%), the opportunity to be fed according to their tastes (52.1%), possibilities of having subsidiary earnings (51.3%), etc. Top-Tens of lacking benefits cover the most important in society of the social sphere.
Today Ukrainians in one way or another have the necessary clothing (50.4%) and basic furniture (43.1), the possibility to buy the most necessary food (subsistence) (44.6%), good housing (39.2%); the Sufficiency of Benefits Index exceeds two points only for material living sphere of 1st level.
It is difficult to comment on the results in Table 5. Probably, there are more rhetorical questions than explanatory theses. Does person feel protected in society? Are his/her rights fully ensured, including as a citizen? Is it possible for a society to accumulate social capital … if the most «defective» spheres are the most important ones of social activity – social safety, professional and labour, recreation and cultural, – or these spheres will always be those due to their importance.
Table 5. The hierarchy of spheres of social activity, mean
* Given the social benefits that are not included in the short version of IISS-20, but they are very important for Ukrainians; there is an order in society and confidence in their own future, observance of acting laws in the country, the possibility to provide children with complete education.
Source: data sets of national surveys of IS NASU.
Similarly to Index of Anomic Demoralization, the Integral Index of social well-being also differentiates the Ukrainian population: young people declare higher sufficiency of benefits, and people with higher education and higher social status feel better as well (Table 8).
Comparative consideration and analysis of anomy indicators
Ukrainian society is not homogeneous on the indicators of anomic demoralization: degree of their sensation is amplified from the West to the East of the country, while inhabitants of Southwest and Kyiv feel the smallest demoralization, the inhabitants of the South-eastern part of Ukraine – the most. Because the number of the Russian-speaking population increases from the West to the Centre of the country and from the Centre to the East, and there are ethnic groups for which their native language is prevailing compared with both – Ukrainian and Russian, – those regional differences would be explained by the dominant native language of the inhabitants of the region. But it is not so. Language differences according to the Index of Cynicism are statistically significant not so much between groups of the Russian- and Ukrainian-speaking inhabitants of the country, as between this group and the rest of some other-speaking Ukrainians. The Index of Anomic Demoralization (Index of AD) has no statistically significant differences.
Table 6. Regional differences according to Indexes of AD and Cynicism and IISS-20, mean, 2012
* Correlation coefficients are statistically significant on level 0,001.
** Correlation coefficients are statistically significant on level 0,05.
Source: data set of national survey of IS NASU (2012).
Relation between the type of locality and demoralized condition of its inhabitants strengthens regional differences; as we know, more rural population is in the western part of the country than in the eastern, and rural population is experiencing more uncertainty, instability, lack of understanding of reality and less sufficient of social benefits against the inhabitants of large cities. Highest level of social well-being of the urban population was fixed for the first time in 2005 in Kyiv (43 points); O. Zlobina, analyzing the structure of social benefits, argues that the townspeople «feel the lack of political and economic knowledge significantly less, ... are more confident in their abilities, more resolute, more initiative than the rest of the population of Ukraine» (Zlobina, 2006, рp. 7–8).
Table 7. Locality type differences according to Indexes of AD and Cynicism and IISS–20, mean, 2012
* Correlation coefficients are statistically significant on level 0,001.
Source: data set of national survey of IS NASU (2012).
Thus, regional inconsistency of demoralized Ukrainian society is a reality, and it indicates the presence of «border» conditions in which the country is located. More significant socio-demographic differences are additional confirmation of it.
Table 8. Age and educational differences according to Indexes of AD and Cynicism and IISS–20, mean, 2012
* Correlation coefficients |0,2| are statistically significant on level 0,001.
Source: data set of national survey of IS NASU (2012).
The relationship between age and condition of demoralization of a person and between their education and the same condition has the same strength, but the multidirectional one: the degree of non-acceptance of social reality by person, a sense of alienation from society and the processes occurring in it increases with age, whereas the «higher level of education contributes social inclusion in the contradictory conditions of democratization» (Panina, 2008, р. 129). The conclusion that anomy leads to demoralization less those who are younger with
high levels of education was obtained by N. Panina in 1992 (Panina, 2008, р. 34). For twenty years, the result has not changed; although the level of education of the population as a whole grew, it has not affected the degree of its demoralization. Thus, such factor as availability of higher education is differentiating, but not able to reduce the degree of demoralization of Ukrainian society. Moreover cynical attitude towards other people is more developed among the youth, the most educated and perspective category of the population in terms of the formation the democratic foundations of society, and this means that the deformed integration of a person into a disorganized society successfully is being reproduced.
Of course, the degree of the investigated condition is related to psychological features of a person such as emotionality, personal life satisfaction (Table 9) and present position in society (51.2% of Ukrainians – not satisfied, 19.2% – on the contrary, and 29.6% – difficult to answer), etc. For example, men are demoralized less than more emotional women (Indexes of anomic demoralization are 13.1 and 13.6, respectively, and they are statistically significant at the 0.05 level). Condition despondency, confusion due to the lack of values and regulating norms is more typical for those who were asked about the marital status answered «divorced» officially / non-officially (13.9 and 13.7) or «widow(er)» (14.3), and less characteristic for those who have never been married (12.5); the Index of Anomic Demoralization coincides with common value in the country (13.3) for those who are in a registered / unregistered marriage (13.2 / 13.5). The correlation coefficients are statistically significant at 0.001.
Table 9. Relation between the life satisfaction and anomy indicators, mean, 2012
* Correlation coefficients are statistically significant on level 0,001. Source: data set of national survey of IS NASU (2012).
There are many psychological factors influencing the value of both indexes, but we are more interested in social factors, increase / decrease of which is able to regulate a negative influence of anomy on Ukrainian society. Indicator of higher education in such system of factors can be defined as giving hope for a better social position and quality of life, etc., but not able to fully change a person in order this person can change something. And despite of the fact that between the level of education and social status in the society, and the material standard of living there is a positive relationship (both factors are significant at the 0.01 level). Talking about a critical mass of professionals who are able to change society, Ye. Golovakha implies only those who have a higher education diploma.
Table 10. Professional differences according to Indexes of AD and Cynicism, mean, 2012
* Correlation coefficients |0,2| are statistically significant on level 0,001.
** Correlation coefficients are statistically significant on level 0,05.
Source: data set of national survey of IS NASU (2012).
Data of Table 10 show that the value of the Index of Anomic Demoralization is significantly lower among those who often participate in skill-raising activities (participates in trainings, seminars, conferences, advanced training courses). Both factors – advanced training and education – are equally significant (at 0.001 level), affect the well-being of the person in an unstable society – it (well-being) is a little better than others; this is due to the fact that improvement of professional skill is required if they (skill) are indeed, if there is qualification, and therefore the appropriate level of education. And here employment in the public sector (or lack of) is negatively displayed on the degree of demoralization of employees (relationship is statistically significant at 0.001), and probably there is a consequence of a considerable staff reduction of the state apparatus in recent years. Types of employment indicators confirm the following: the anomy affects particularly hard two groups – professional politicians, decision makers in the state sphere, as well as not working, including pensioners and not having any source of income or registered unemployed (14.5 / 14.4), i.e. the people who have a polar social status: the risk of loss of the first status is very high, position in the second – very risky. People having physical labor job (as a laborer, agricultural workers, 13.5 / 13.9) are also difficult to orientate in an uncertain social space. Better than others have adapted to situation in the country:
1 – law enforcement officers, the military – the Index of Anomic Demoralization for them (11.2) differs significantly from the rest of workers of the public sphere (13.1) – apparently, norms and rules for this and in this state institute are the most clearly established and understood;
2 – pupils, students, cadets, graduate students, etc. (11.7), i.e. a cohort of young, that get the minimum necessary subsistence ensuring from someone (parents, State);
3 – people doing small businesses, self-employed (11.9) – here the issue of employment has exclusively individual character.
To select these professional groups, differentiated on the basis of sense of self in society, a cluster analysis on the data set was used as a whole and on a weighted data set for equation of shares of professional groups in data set.
For other types of employment (petty officers; technical specialists or in the field of science, culture, health, education; businessmen in a large or medium-sized business; skilled workers, etc.) the Index of Anomic Demoralization is in the range from 12.2 to 13.1.
Thus, the anomic feelings of people relate to their work:
First, with the presence of work or the presence of high risk of its loss (positive relationship);
Second, with employment in those civil/state sectors, where the double institutionalization suggests a greater chance of additional earnings and material benefits (negative relationship);
Third, with the degree of contacting sphere of the person's employment with the state institutions (positive relationship).
Conclusions
According to the theory of anomy the condition of social disorganization is only momentary. But the presence of specific phenomena of the post-Soviet anomy, many of which have arisen before independence, led to stableness and the totality of anomy in the Ukrainian society. Solution to such problems as the criminalization of the judicial system, «state capture», double institutionalization, etc. is a key in the process of «curing» society from an illness that is incompatible with its liberal-democratic and civilian organizations.
According to the value of Index of AD the population is still disoriented and situated in more than an elevated condition of anomic demoralization, which is directly related to the stability and consistency of the political system. Among the main causes / indicators of anomy are as follows – uncertainty of the social space, misunderstanding of an action of the laws, disorder and lack of understanding, general disbelief. Although satisfaction with their position in society, the current situation, the estimation of perspectives of development look as 50/50, the increase of pessimistic expectations, the availability of catastrophic predictions are not observed.
The image of values of Cynicism Index is slightly different: the indicator is not dependent directly on the political changes in the country, and percents of those who agreed with the cynical judgments about other people are constantly rising. Thus, there is a risk of acquiring of Ukrainian society by a high level of social cynicism.
Invariably high indicators of anomic demoralization and social cynicism were seen by Ye. Golovakha as a direct threat to the destruction of social capital, as a decisive factor in social welfare and prospects for sustainable development of society, so far as a cynical social position makes each person an isolated individual, who loses the ability to make no collective resistance to someone who grossly violates their own rights and interests. «The main consequence of the spread of social cynicism – is the destruction of the foundations of social trust, respect and responsibility for their actions before other people» (Golovakha, 2002, р. 20).
The author agrees with the opinion of the famous Ukrainian sociologist, and also considers that high values of anomic demoralization and cynicism testify not only about the problem of people who see Ukrainian realities in such a way, but also about a problem of these realities. Thus, the population of the country adequately describes the order of things, social-public ill-being, and indicators of social well-being obviously demonstrate it. And the reality is that the most important spheres of social life such as – the social safety, professional and labour, recreation and cultural – are the most disadvantaged. Accordingly, among the most deficient social benefits of the Ukrainian society there appear such benefits as: savings supporting one's own well-being during the year in case of serious illness, unemployment, loss of property (80.6%), the order in society (73.5%), confidence in one's own future (72.5%), observance of acting laws in Ukraine (72.1%), the possibility of having a quality vacation (60.9%), necessary medical care (57.7%), the possibility of providing children with complete education (55.3%), legal protection for defending their rights and interests (54.8%), the opportunity to be fed according to their tastes (52.1 %), possibilities of having subsidiary earnings (51.3%), etc.
Ukrainian society is not homogeneous on the indicators of anomic demoralization and cynicism: degree of their sensation is amplified from the West to the East of the country, while inhabitants of Southwest and Kyiv feel the smallest demoralization, the inhabitants of the South-eastern part of Ukraine – the biggest. The situation is reversed with the indicator of social well-being. This is due to the fact that the rural population, which lives in the western part of the country, experiences more uncertainty, instability, lack of understanding of reality and less sufficiency of social benefits in comparison with the inhabitants of large cities.
Thus, regional differences exist, but according to the hypotheses they do not exceed the socio-demographic ones. The youth with higher education is less affected by anomy; if in addition young people have a high social status, they have a large amount of social benefits, and hence they feel much better in the society of other age groups. And nevertheless even in this group the values of all three indexes are above average.
Considering the professional and labour Ukrainians' differences in terms of anomic demoralization and cynicism, the author concludes that the anomic feelings of people are related to their work, namely: (1) with the presence of job or the presence of high risk of its loss (positive relationship); (2) with employment in those civil/state sectors, where the double institutionalization suggests a greater chance of additional earnings and material benefits (negative relationship); (3) with the degree of contacting the sphere of the person's employment with the state institutions (positive relationship). According to the results of this study it is clearly visible the need to reform state institutions; both in this process, and in the development of society as a whole, it is necessary to rely on a group of professionals. A diploma of higher education – this is just an opportunity, a chance to belong to this group. Many criteria for the identification of professionalism, quality of services, etc. existing today, in reality are often used only in theory, but should be applicable in practice in any field and at any level.
References
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ORIGINAL ARTICLE
A Resource Planning Analysis of District Hospital Surgical Services in the Democratic Republic of the Congo
Melanie Sion, a Dheepa Rajan, b Hyppolite Kalambay, c Jean-Pierre Lokonga, d Joseph Bulakali, e Mathias Mossoko, f Dieudonne Kwete, g Gerard Schmets, b Edward Kelley, h Tarcisse Elongo, i Luis Sambo, i Meena Cherian h
District hospitals in the DRC, on average, could not provide 21% of lifesaving surgical interventions due to deficiencies in basic infrastructure and essential surgical equipment and supplies. Surgery's important health impact and proportionally low service delivery budget argue for greater emphasis on surgical interventions, including for obstetric care.
ABSTRACT
Background: The impact of surgical conditions on global health, particularly on vulnerable populations, is gaining recognition. However, only 3.5% of the 234.2 million cases per year of major surgery are performed in countries where the world's poorest third reside, such as the Democratic Republic of the Congo (DRC).
Methods: Data on the availability of anesthesia and surgical services were gathered from 12 DRC district hospitals using the World Health Organization's (WHO's) Emergency and Essential Surgical Care Situation Analysis Tool. We complemented these data with an analysis of the costs of surgical services in a Congolese norms-based district hospital as well as in 2 of the 12 hospitals in which we conducted the situational analysis (Demba and Kabare District Hospitals). For the cost analysis, we used WHO's integrated Healthcare Technology Package tool.
Results: Of the 32 surgical interventions surveyed, only 2 of the 12 hospitals provided all essential services. The deficits in procedures varied from no deficits to 17 services that could not be provided, with an average of 7 essential procedures unavailable. Many of the hospitals did not have basic infrastructure such as running water and electricity; 9 of 12 had no or interrupted water and 7 of 12 had no or interrupted electricity. On average, 21% of lifesaving surgical interventions were absent from the facilities, compared with the model normative hospital. According to the normative hospital, all surgical services would cost US$2.17 per inhabitant per year, representing 33.3% of the total patient caseload but only 18.3% of the total district hospital operating budget. At Demba Hospital, the operating budget required for surgical interventions was US$0.08 per inhabitant per year, and at Kabare Hospital, US$0.69 per inhabitant per year.
Conclusion: A significant portion of the health problems addressed at Congolese district hospitals is surgical in nature, but there is a current inability to meet this surgical need. The deficient services and substandard capacity in the surveyed district hospitals are systemic in nature, representing infrastructure, supply, equipment, and human resource constraints. Yet surgical services are affordable and represent a minor portion of the total operating budget. Greater emphasis should be made to appropriately fund district hospitals to meet the need for lifesaving surgical services.
a Thomas Jefferson University, Department of Surgery, Philadelphia, PA, USA.
b
World Health Organization (WHO), Department of Health Systems
Governance and Financing, Geneva, Switzerland.
d WHO Country Office, Kinshasa, DRC.
c Ministry of Health, Directorate of Planning, Kinshasa, Democratic Republic of the Congo (DRC).
e Ministry of Health, Global Fund Country Coordination Mechanism Secretariat, Kinshasa, DRC.
g Prime Minister's Office, Kinshasa, DRC.
f Ministry of Health, Directorate of Primary Health Care Development, Kinshasa, DRC.
h WHO, Service Delivery and Safety Department, Geneva, Switzerland.
i
WHO AFRO Regional Office, Brazzaville, Republic of Congo.
Correspondence to Dheepa Rajan (firstname.lastname@example.org).
BACKGROUND
T he impact of surgical conditions on global health, and particularly on vulnerable populations such as women and children, the poor, and rural communities, is gaining recognition. In fact, Debas and colleagues found that 11% of the worldwide global burden of disease is due to surgical conditions, including injuries, malignancies, congenital anomalies, and obstetrical complications. 1 However, of the estimated 234.2 million major surgical cases per year
performed, 2 only 3.5% of them are performed in countries where the world's poorest third reside, such as the Democratic Republic of the Congo (DRC).
Is surgery only for the rich? Emerging evidence sheds light on misconceptions regarding surgical care delivery, such as its high service resource needs with tertiary-level technical requirements. 3 Furthermore, studies have shown the critical need for access to quality surgical obstetric care to reduce maternal mortality. Based on data from a number of studies, Ronsmans et al. concluded that estimates falling below 1,000 surgical interventions per 100,000 live births in urban areas reflect a real deficit in access to lifesaving essential obstetric surgery. 4 Surgical care is needed not only for obstetrics and violence-related trauma but also for general morbidities in conflict zones, as demonstrated by a Me´decins Sans Frontie`res study in the DRC province of North Kivu. 5 Of the 3,000 operations performed over a 2-year period in that study, only one-quarter were directly related to violence, suggesting that the need for general surgical interventions in the country is so acute that when surgical services are offered in the context of emergency humanitarian aid, the uptake for general surgery is actually greater than for trauma surgery.
DRC has a population of over 60 million, with health indicators trailing behind most other countries in the region, 6,7 mainly because of the deteriorated state of the health system and the continuous presence of armed conflict since the late 1990s. DRC's war was officially over in 2002, yet the devastating effects linger, reinforced by sporadic violence. 8 The need for general surgical and other medical services is widespread throughout the country.
In 2006, in an attempt to address these prevalent public health problems, the DRC Ministry of Health (MOH) expressed its commitment to the principles of primary health care with the creation of its Strate´gie du Renforcement du Syste`me de Sante´ (Health Systems Strengthening Strategy, or HSSS), which introduced a framework within which to provide primary health care services, including basic surgical and obstetric care, at the district level (called zone de sante´). 9
In this article, we assess the capacity of 12 district hospitals in the DRC to provide surgical services, using the World Health Organization's (WHO's) Emergency and Essential Surgical Care (EESC) Situation Analysis Tool.
We also used another WHO tool, the integrated Healthcare Technology Package (iHTP) resource planning and costing tool, to perform a theoretical costing exercise for surgical and other health services using a Congolese norms-based district hospital (i.e., a district hospital that would provide all services according to national norms). Our hypothesis is that surgical services are affordable and represent a minor portion of a hospital's total operating budget.
METHODS
To operationalize the HSSS objectives, the Ministry of Health developed a comprehensive resource planning database in 2007–2008. This database detailed all resources and associated budget implications necessary to provide the minimum acceptable number and range of interventions to be included in a locally appropriate district health care package. The spectrum of health care provisions at the district level is referred to as the Paquet Comple´mentaire d'Activite´s (Complementary Package of Activities, or CPA, i.e., complementary to the Minimum Package of Activities that is offered at health center level). The CPA is a list of services that a district hospital should provide for a normative district population of 100,000. The CPA, in turn, created the foundation to generate a hypothetical hospital, referred to as the Model Normative Hospital, for DRC's MOH and for the purposes of this study. (The MOH also details the resources necessary for the minimum package of activities, but that is beyond the scope of this paper.)
The development of the Model Normative Hospital allows a dynamic understanding of what is a reasonable, appropriate, and attainable standard of health care in the DRC. In light of this standard, we conducted a situation analysis of the availability of emergency and essential surgical care in a sample of 12 existing district hospitals (Table 1). In addition, we modeled resource and budget data for 2 of the 12 hospitals in order to complement and validate the information from the situation analysis on resource needs and budget gaps in the DRC.
WHO EESC Situational Analysis Tool
The WHO ''Tool for Situational Analysis to Assess Emergency and Essential Surgical Care'' is a questionnaire that includes 108 data points, created to analyze the availability of emergency anesthesia and surgical services in health care
Only 3.5% of major surgical cases are performed in countries where the world's poorest third reside.
TABLE 1. Hospitals Included in the Situational Analysis and Their Locations, Democratic Republic of the Congo
facilities. 10 It was developed by the Global Initiative for EESC research group, with input from various MOHs, WHO country and regional offices, and health care providers representing all WHO regions. The tool has already been used in several developing countries to confirm enormous deficiencies in their capacity to deliver essential surgery and anesthesia care. 3
The WHO Tool for Situational Analysis to Assess Emergency and Essential Surgical Care analyzes facility capacity in infrastructure, human resources, equipment, and surgical interventions.
The situational analysis tool is comprised of 4 sections assessing:
1. Infrastructure: availability of basic needs such as water, electricity, oxygen, operating rooms, and functioning anesthesia machines, among others
2. Human resources: numbers of health care providers at the facility, focusing on those who perform surgery, anesthesia, and obstetrics
3. Equipment: availability of items on the WHO generic list of ''Essential Emergency Equipment''
4. Interventions: surgical procedures provided versus referred and, if referred, whether due to lack of skills, supplies, or functional equipment
We collected the situation analysis data at
12 district hospitals through onsite visits and interviews, in collaboration with the WHO Country Office, the DRC MOH, and local health managers and providers.
Integrated Healthcare Technology Package Tool
The iHTP tool is an intervention-based tool for resource planning analysis, created with detailed input data reflecting specific local health care needs. 11 The tool links health care resources to disease profiles, patient demographics, clinical practice pathways, and technology requirements, providing resource needs and budget assessment for a given country.
Following the iHTP tool methodology, we divided and subdivided each health care intervention detailed in the CPA into specific building blocks that take into account all the essential components needed to perform the intervention (i.e., human resources, medical devices, consumable items, pharmaceuticals, and health facilities infrastructure, with corresponding resource prices and time use). All these components are connected in an algorithm format within the iHTP software tool. The algorithms are dynamic pathways of the various interventions. These can be used for simulation and analysis and tailored to
represent specific disease treatments, such as those created by the WHO Surgical Care at the District Hospital manual, 12 as well as preventive services and management. More information on the iHTP tool and the specific data entry process in the DRC has been described in a previous paper. 13
Salaries and prices for each essential component were entered into the iHTP software tool in 2008 USD, and an operating budget was calculated, assuming that the basic capital equipment and the building exist and are functioning. Thus, only operating costs were calculated; capital investment costs were not included in this study (Table 2).
Large medical equipment depreciation was calculated according to the actual duration of time it was used per procedure across a defined equipment-specific life cycle (usually 5–20 years). Health facility depreciation was also calculated according to usage per procedure across a defined facility building cost. Building maintenance and utilities were added to the total health facility operating budget. Consumable items and drug quantities were calculated according to the total amount necessary for each procedure. Human resource salaries were taken from the Mbudi agreement between the Congolese government and labor unions on civil servant salaries. 14
Establishing the DRC Benchmark: The Model Normative District Hospital
The Model Normative Hospital was designed to understand the specific needs of the Congolese population while keeping the limitations of health care delivery in the DRC at the forefront in its design. Based on the HSSS to represent a standard from the MOH, the Model Normative Hospital aims to provide essential primary health care services for all inhabitants. The hospital serves as a theoretical model for fully functioning DRC district hospitals to strive for in terms of functionality, resource usage, utilization, and interventions provided.
The main assumptions are that the hospital covers the CPA as described above for a normative district population of 100,000. The CPA includes medical, surgical, anesthetic, pediatric, and obstetrical interventions, as well as preventive and management services. Model Normative Hospital staff salaries were based on a national directive, 14 and medical devices, equipment, drugs, and infrastructure data were based on national clinical guidelines, textbooks used in local medical schools, and expert consensus opinion.
The Model Normative Hospital utilization rate of 0.15 cases per inhabitant per year was agreed upon within the MOH after surveying utilization rates across several well-run district hospitals in the DRC. Very few hospitals were able to demonstrate utilization rates above 0.2; hence, it was decided that a realistic utilization rate, even if not high, was necessary for planning purposes in order to stay within the Congolese context, even within the realm of the Model Normative Hospital.
Facilities in the DRC were assessed for 32 EESC situation analysis interventions, ranging from simple suturing to higher skilled laparotomy. These corresponded with the CPA interventions in the Model Normative Hospital, permitting correlation to surgical budget estimates in the iHTP tool.
Selection of Hospital Sites for Costing Data
Direct observation of patient care in 2 hospitals, Demba and Kabare Hospitals, was performed over a period of 1 month in 2008–2009. Demba Hospital is situated in Kasal ¨ Occidentale province and Kabare Hospital in the Eastern Sud-Kivu province. These 2 hospitals were a convenience sample, selected as part of the MOH's efforts to harmonize health services across districts. Demba and Kabare districts were both supported by an NGO that expressed a need to study the costs of providing CPA services. The data and study led to the development of Demba and Kabare Hospitalspecific algorithms using the iHTP software tool. The algorithms selected were based on the CPA. Hospital registries, price lists, procurement bills, and all other relevant materials were studied and discussed with the local District Management Team. Salaries were calculated by adding the government base salary and the local salary supplement paid by the NGO supporting the hospital. All data were entered into the iHTP software for resource and budget calculations. An overview of price data sources is given in Table 3.
RESULTS
We first present an analysis of the operating budget and utilization of surgical services for the Model Normative Hospital, Demba Hospital, and Kabare Hospital. Then we provide data from the situation analysis of surgical (including anesthesia and obstetrics) care in 12 district hospitals, including Demba and Kabare Hospitals.
Abbreviations: DRC, Democratic Republic of the Congo; IDA, International Development Assistance; MOH, Ministry of Health; NGO, nongovernmental organization.
l ¨
a Association Re´gionale D'Approvisionnement en Me´dicaments Essentiels (ASRAMES), Centrale de Distribution de Me´dicaments Essentiels du Kasa Occidental (CADIMEK), and La Centrale d'Achat et de Distribution de Me´dicaments Essentiels de Kinshasa (CAMESKIN).
iHTP Results
The total operating budget necessary for all hospital services at the Model Normative Hospital was calculated at US$11.86 per inhabitant per year at a utilization rate of 0.15 cases per inhabitant per year (Table 4). This total comprises all necessary health care resources, including human resources, consumable supplies, equipment, drugs, and infrastructure (including utilities), for a CPA that includes curative medical, obstetric, pediatric, surgical, and anesthesia services as well as preventive services and management activities. We calculated the operating budget for surgical services specifically (interventions ranging from simple wound suturing to obstetric and anesthesia interventions) at US$2.17 per inhabitant per year, representing 18% of the total operating budget for all hospital services and 33.3% of the total patient caseload.
At Demba Hospital, the operating budget required for surgical interventions, at US$0.08 per inhabitant per year, comprised 24% of the total operating budget necessary for all hospital services. The proportion of the patient caseload requiring surgery was found to be 9% of the total caseload.
The operating budget for surgical services at the Model Normative Hospital was US$2.17/ inhabitant/year, or 18% of the hospital's total operating budget.
At Kabare Hospital, the operating budget necessary for surgical interventions, at US$0.69 per inhabitant per year, comprised 20%
of the total operating budget necessary for all hospital services. Only 3.33% of the total patient caseload represented surgical interventions.
For a detailed analysis of the cost of surgical services at Demba and Kabare Hospitals, see the supplementary material.
Situational Analysis Results
We completed the situational analysis tool for 12 district hospitals, each serving as the first referral level for a collection of health centers in a specific health district. The populations served at the district level ranged from 70,000 to 252,000, with notable differences in the capacities of individual facilities as detailed below.
The basic infrastructure varied between facilities (Table 5). The average number of beds was 150, with a range of 65 to 350. Hospital admissions ranged from 600 yearly to 5,000. Five hospitals had only 1 operating room, while 3 other hospitals had 4 or more operating rooms. Only 3 hospitals had uninterrupted running water and electricity. Four hospitals were without running water and 5 had interrupted running water. Five facilities had uninterrupted electricity, 5 others had interrupted electricity, and the remaining 2 did not have electricity at all.
Of the 12 hospitals, only 2 (Bwamanda and Panzi) were fully equipped with basic essential
TABLE 4. Calculated Operating Budget and Utilization Rate a for Selected DRC Hospitals by Type of Hospital Service
Abbreviation: DRC, Democratic Republic of the Congo.
a Costs are per inhabitant per year in US$. Utilization rate is the number of cases per inhabitant per year.
equipment and supplies (Table 6). In addition, only 4 facilities had a functioning anesthesia machine and could provide general anesthesia (data not shown). Six facilities were without an oxygen supply. Similarly, 8 hospitals lacked consistent access to mask and tubing to connect to an oxygen source. Three facilities did not have a resuscitator bag valve and mask, 5 facilities did not have an oropharyngeal airway, and 6 facilities did not have chest tube insertion equipment.
From the 32 interventions surveyed on the situational analysis tool, only 2 hospitals, Panzi and Lubumbashi, were found to provide all the essential services (Table 7). The deficits in essential procedures varied from no deficits to 17, with an average of 7 essential procedures unavailable across this sample. For general and pediatric surgery, 7 of 12 facilities had deficiencies.
Six procedures in the general and pediatric surgery category were more commonly performed and were available at all facilities, consisting of abscess incision and drainage, hydrocele repair, hernia repair, appendectomy, laparotomy, and male circumcision (Table 7). For orthopedics and trauma, suturing and wound debridement were the only 2 services provided at all 12 facilities. However, treatment for dislocated joints was provided at only 5 of 12 facilities and open fracture repair at 6 of 12 facilities. Of the 10 orthopedic and trauma procedures, Yakoma was capable of offering only 2 of the procedures, Abuzi and Wapinda offered 3, and only 5 facilities offered all procedures. For obstetrics and gynecology, all facilities were able to offer cesarean deliveries and dilation and curettage. Obstetric fistula repair was available at 6 facilities. Anesthesia care was deficient at most facilities, with only 4 of 12 facilities offering general inhalation anesthesia.
The 12 facilities together lacked an average of 21% of interventions, ranging from 0% in Lubumbashi and Panzi to 56% at Yakoma (Table 8).
Patients traveled between 35 km and 150 km to seek surgical care in the district hospitals observed in this study. If the surgical need was not met in the district hospitals observed, the farthest distance to the next facility to access surgical care ranged from 8 km to 300 km, and in one extreme case, patients from Equateur province traveled as far as 2,000 km to the capital Kinshasa to be treated (Table 8). The median distance to the next closest facility was 65 km.
DISCUSSION
This article presents a comprehensive resource and operating budget analysis of anesthesia and surgical (including obstetrics) services within a cohort of Congolese district hospitals. As the first of its kind using a normative model, the in-depth analysis is based not on international standards but on what is considered locally appropriate. This method makes it possible to estimate the minimum operating budget for surgical services at the Model Normative Hospital, which demonstrated that the cost for surgery is proportionally low as a percentage of the total operating cost at the district hospital level in the DRC. This finding is important when comparing deficiencies between existing district hospitals and the normative model because of the resulting resource allocation implications.
Only 2 of 12 hospitals provided all essential surgical services.
Analysis of the operating budget necessary for surgical (including obstetrics and anesthesia) services at the Model Normative Hospital demonstrated that 18.3% of the total operating
On average, 21% of lifesaving interventions were absent from the surveyed facilities.
budget, or US$2.17 per inhabitant per year, is necessary to deliver surgical services. Hence, providing surgical services in the DRC is not out of reach, as this 18.3% of the budget implies covering one-third of the total Model Normative Hospital patient caseload. At Demba Hospital, the operating budget required for surgical interventions, at US$0.08 per inhabitant per year, comprised 24% of the total operating budget necessary for all Demba hospital services. The proportion of the patient caseload requiring surgery was found to be 9% of the total caseload. At Kabare Hospital, the operating budget necessary for surgical interventions, at US$0.69 per inhabitant per year, comprised 20% of the total operating budget necessary for all Kabare hospital services. Only 3.33% of the total patient caseload represented surgical interventions. The explanation for this inverse finding is that the proportional budget allocated to surgery is higher if the overall and surgical caseload (utilization rate) of a given hospital is low.
As anticipated, there are remarkable shortcomings at the district hospitals within all categories of the situational analysis. From basic infrastructure such as running water and electrical power to the specific needs of surgical services, there is a glaring lack of basic supplies, personnel, and equipment. These deficiencies contribute to the limitations in availability and capacity to provide lifesaving surgical services across our sample of DRC district hospitals. An average of 21% of lifesaving interventions were absent from the facilities compared with the Model Normative Hospital.
While the deficiencies in these hospitals are broad and pervasive, the situational analysis permits a degree of understanding of these facilities' capabilities and areas in which capacity is the weakest. Notably absent from many facilities is the capacity to provide general anesthesia with functioning anesthesia machines. Most hospitals rely on local, spinal, or IV sedation for anesthesia services without regard to complexity or length of operation. Furthermore, the provision of supplementary oxygen is essential in any first-referral facility yet only reliably available in 6 of 12 facilities we studied; it is entirely absent from 6 facilities. The need for supplementary oxygen is still largely unmet, despite the inclusion of oxygen concentrators in this study. On the other hand, all facilities provide certain general and pediatric procedures, including abscess incision and drainage, hydrocele repair, hernia repair, appendectomy, laparotomy, and male circumcision. These capabilities denote a baseline level of proficiency in surgical and anesthetic services, implying that building upon this framework to include all essential services is within reach.
In light of these challenges, deficiencies, and far-reaching effects of inadequate surgical and anesthetic care, our costing exercise with the Model Normative Hospital shows that bridging the existing surgical and anesthetic framework to meet HSSS standards is a rational and thoughtful expenditure. The surgical needs of the population can be inferred from the utilization rate of the Model Normative Hospital, which was calculated based on a survey of facility registries from well-run Congolese hospitals. At 33% of the total patient load at the Model Normative Hospital, surgical need is high. Yet looking more closely at Demba and Kabare Hospital surgical caseloads, these needs are not met. Only 9% and 3.33%, respectively, of the 2 hospitals' caseloads are surgical patients.
Reasons for the comparatively low caseloads (utilization rate) at Demba and Kabare Hospitals can be hypothesized by assessing these hospitals' infrastructure and resource base in general— patients are likely to bypass facilities within their health district due to health facility deficiencies. Both Demba and Kabare Hospitals are faced with unreliable electricity and water infrastructure as well as a total lack of an oxygen source. Both hospitals are fully or partially lacking equipment and supplies necessary for adequate surgical and anesthetic care. The situational analysis shows that Demba Hospital staff refer patients to facilities 90 km away for most orthopedic/trauma care. Similarly, Kabare Hospital refers patients with open and closed fractures and joint dislocations to facilities 65 km away. Thus, there is suboptimal use of the existing framework at these hospitals, and in the 12 facilities examined, patients traveled between 35 km and 150 km in an effort to seek surgical care within their health district, and up to 300 km (or in one extreme case, 2,000 km) to find care elsewhere. When the district hospital is insufficient, the result is unnecessary or difficult referrals to distant facilities. 15 As in many low-income countries, transfer to another facility is often the responsibility of the patient. The issues of safety, time, income, and lost work can be very difficult for a family to bear if a hospital transfer is needed.
Furthermore, the long distances are frequently prohibitive, particularly with severe medical conditions, leading to disability or death.
Because the Model Normative Hospital was developed by DRC's HSSS standards, deficiencies indicate a need for greater investment in the health sector and, more specifically, in surgical services. It can be inferred that bringing these hospitals to the level of the Model Normative Hospital will improve the health care system as a whole. At the population level, the detriment to a community when even 1 of the 32 essential procedures is absent is far-reaching beyond the implications for the individual patient. Striving to provide a full complement of services is essential because of the interconnectedness of clinical care.
Study Limitations
Limitations of this study are the general lack of available and reliable data, especially concerning utilization rates, caseloads, and other facilitybased data. Another limitation is the nature of the convenience sample of district hospitals representing the North, South, East, West, and Central regions of the DRC. Findings cannot be generalized to the entire country. The situational analysis is only a ''snapshot'' needs assessment of district hospitals. Also, our resource planning study assessed only the resources and associated operating budget necessary at the district hospital level; large capital investments in roads as well as basic public infrastructure such as electricity and water will require much larger sums to be provided at the national level in order for the district level to function appropriately.
CONCLUSION
Surgery has been neglected from global health aid, but the accumulating proof of its large health impact and its proportionally low required service delivery budget are cause for a larger focus on making surgical (including obstetric) interventions available to the world's poorest communities. District (first-level referral) hospitals must be better funded to provide such services. More often than not, the level of service delivery used for surgical care (tertiary) is not appropriate in the DRC; given the low cost (i.e., ,30% of overall functioning of the hospital) of providing surgical care at first-level referral hospitals, this should not be the case.
It is clear from the Demba and Kabare Hospital costing data that current spending on surgery, at least in these hospitals, is well below what is needed to achieve the DRC norm. We also know that households in the DRC contribute significantly (US$4.50/inhabitant/year 16 ) to health care costs and thus directly or indirectly co-fund health services, including surgical services. Health care resource budgets must be restructured considerably in order to provide for lifesaving emergency and essential surgical care, including necessary infrastructure, human resources, equipment, pharmaceuticals, and supplies, within the primary health care package. We acknowledge the difficulty of putting in place structures and a system that would provide the necessary resources even with an adequate budget. However, these efforts to holistically strengthen the system are imperative in order to provide essential services that are not excessively expensive but will go a long way to improve population health.
Acknowledgments: Some of the authors of this paper are WHO staff. The views expressed in this publication reflect their views and not necessarily that of WHO.
Competing Interests: None declared.
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Peer Reviewed
Received: 2014 Oct 4; Accepted: 2014 Dec 16
Cite this article as: Sion M, Rajan D, Kalambay H, Lokonga J, Bulakali J, Mossoko M, et al. A resource planning analysis of district hospital surgical services in the Democratic Republic of the Congo. Glob Health Sci Pract. 2015;3(1):56-70. http://dx.doi.org/10.9745/GHSP-D-14-00165.
Sion et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are properly cited. To view a copy of the license, visit http://creativecommons.org/licenses/by/3.0/. When linking to this article, please use the following permanent link: http://dx.doi.org/10.9745/ GHSP-D-14-00165.
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Homocystinuria in Adult Siblings
Kannan R., Natarajan S., Surapaneni K.M., Murali A., Senthil Kumar Aiyappan, Lal D.V.
ABSTRACT
Homocystinuria, an inborn error of amino acid metabolism, is a rare disorder. Here, we are reporting homocystinuria in two adult siblings. The elder brother had seizures, mental retardation, marfanoid habitus and osteoporosis with multiple pathological fractures of the bones and he was operated for a dislocated lens; the younger sister had mental retardation, osteoporosis and untreated dislocated lens in both the eyes. Homocystinuria was diagnosed in both the siblings and they were started on treatment with vitamin B 6 , vitamin B 12 and folic acid. A decrease in the urine and plasma homocysteine levels with a good response was noted after treatment.
Key Words: Homocystinuria, Dislocation of the lens, Mental retardation, Marfanoid features, Osteoporosis, Homocysteine, Vascular thrombosis
INTRODUCTION
Homocystinuria, an autosomal recessive metabolic disorder of aminoacids, which is characterized by elevated levels of plasma and urine homocysteine, was first described in mentally retarded children by Carson et al [1]. The elevated levels of homocysteine are associated with increased risk of dementia, fractures, chronic heart failure, and eclampsia. An increased level of homocysteine is an emerging, independent risk factor for atherosclerosis, because it is both thrombogenic and atherogenic [2]. We are presenting the two cases to interpret the delayed diagnosis of the homocystinuria in adult siblings. Due permissions were obtained from the institutional ethical committee of our hospital before the start of the study. Informed consent was obtained from the study subjects after explaining the objectives of the study to them. Also, due permissions were obtained from the study subjects for the reproduction of the photographs for the publication of this case report.
Case 1
A young 22-year-old male presented with generalized tonic clonic seizures (GTCS) without headache, vomiting or fever. Born to non-consanguineous parents by an uneventful birth and with a developmental history, he was operated at the age of five years for bilateral dislocation of the lens. He sustained trivial trauma which induced multiple fractures at the upper and lower limbs at different ages, starting at the age of 5 years. He weighed 49kg with a height of 162 cm, an upper segment: lower segment ratio of 0.8:1 (74cm: 88cm) and arm span which was 7 cm more than the height. He had aphakic eyes, a high arched palate, long thin extremities, arachnodactyly, a positive thumb sign and a wrist sign [Table/ Fig-1]. His cardiovascular system examination and his peripheral pulses were unremarkable.
His urine examination, complete haemogram, peripheral smear study, blood sugar levels, thyroid, liver and kidney function tests, vitamin B 12 and folate levels were normal. His abdominal ultra sound and his echocardiogram were normal. The Doppler study of the vessels showed no abnormality or evidence of occlusion or
Journal of Clinical and Diagnostic Research. 2012 May (Suppl-1), Vol-6(3):485-487
thrombosis. Computed Tomography (CT) scan of his brain showed evidence of mild cerebral atrophy, while an electroencephalogram (EEG) revealed right fronto temporal epileptiform discharges. X rays of the lumbosacral spine revealed fish mouth vertebrae, marked osteoporosis and fracture of the L2 vertebra [Table/Fig-2]. The T score in bone mass densitometry studies was -2.6, which was suggestive of severe osteoporosis.
He was started on tablets of vitamins B 6 , B 12 , folic acid, Cal citriol, calcium carbonate and Carbamazepine, while he was still under regular follow up. Before the treatment, his plasma and urine homocysteine levels were 250 micromoles/L (normal 4- 12 micromoles/L) and 7163 micromoles/L respectively. After one year of treatment with improvement in his bone density (T score -1.5), the plasma and urine homocysteine levels decreased to 50 micromoles/L (normal 4- 12 micromoles/L), and 500 micromoles/L respectively.
Case 2
This 20-year-old patient who was the younger sister of case one, presented with blurring of vision. Though she was mentally retarded since childhood, she was not investigated earlier. She had bilateral inferolateral dislocation of the lens without any marfanoid features or signs of hyperelasticity, a height of 150 cm and a weight
of 45 kg. Her urine examination, complete haemogram, peripheral smear study, blood sugar levels, thyroid, liver and kidney function tests, vitamin B 12 and folate levels, were normal. The Doppler study of her peripheral and neck vessels , echocardiography, ultrasound of the abdomen and CT scan of the brain were normal. CT scan of both the orbits showed bilateral inferior lens dislocation [Table/ Fig-3 & 4]. X rays of the lumbosacral spine showed osteoporosis (T-score in BMD of -2.3). She was started on tablets of vitamins B 6 , B 12 , folic acid and calcium. Her plasma and urine homocysteine levels were 340 micromoles/L (normal 4-12 micromoles/L) and 8250 micromoles/L respectively. After one year of treatment, her plasma homocysteine level was 110 micromoles/L and her urine homocysteine was 1100 micromoles/L.
Discussion
Homocystinuria due to the deficiency of cystathionine beta syn thetase (CBS) is the commonest of the seven biochemical types which have been reported so far [3]. CBS deficiency results in the excessive accumulation of homocysteine in the plasma and other tissues, leading on to increased excretion of urinary homocysteine. This results in changes in the eyes, the skeletal system, the central nervous system, and the vascular system [3]. Homocystinuria in siblings had been reported worldwide [4-6]. As it is an autosomal recessive disorder, each parent carries one copy of the mutated gene, but do not manifest the disease. But when children are born to two carrier parents, they manifest the signs and symptoms. In this study, our siblings who were born by a non consanguineous marriage, had many similarities. Both had mental retardation, lens dislocation, and osteoporosis, but only the elder one had seizures. The parents were screened and they tested negative for homocystinuria. High levels of methionine
486
and homocysteine penetrate and damage the brain; the excito toxic effect of homocysteic acid causes mental retardation and seizures [7].
Though it is slowly progressive, homocystinaemia is second only to phenylketonuria as a cause of mental retardation [4]. Without treatment, the children with homocystinuria may develop permanent mental retardation and behavioural problems. An early diagnosis, before the occurrence of the mental retardation may prevent it in 50% of the cases [4]. Of late, newborns are being screened for homocystinuria by heel prick tests before they leave the hospital.
Interference with collagen cross linking by the sulfhydryl groups of homocysteine causes subluxation of the lens and multiple skeletal deformities like genu valgum, pes cavus and long extremities [7]. The close differential diagnosis for homocystinuria is Marfan's syndrome. The dislocation of the lens is upwards in Marfan's syndrome and downwards in homocystinuria. Both will have lens
Journal of Clinical and Diagnostic Research. 2012 May (Suppl-1), Vol-6(3):485-487
dislocation, but osteoporosis, mental retardation and the thrombotic tendency are rare in Marfan's syndrome [4]. Cardiac lesions which are usual in Marfan's syndrome, are rare in homocystinuria. Though both siblings had dislocated lenses, the elder one got operated, while the younger one refused treatment.
Osteoporosis in these patients develops before the age of 30-years and hence they are prone for fractures [8]. Bisphosphonates are a group of drugs which are used in the treatment of osteoporosis, which act by inhibiting the osteoclasts, thereby decreasing bone resorption. In a study which was done by Tomasz Szafranski et al, Zoledronic acid was tried to increase the BMD in a homocystinuric patient [9]. The osteoporosis of both the siblings improved after their diagnosis and treatment, with a better BMD score. The elder sibling who had multiple fractures and severe osteoporosis never had fractures after the treatment. Since the early treatment of osteoporosis can prevent the complications of osteoporosis, the diagnosis of premature osteoporosis should prompt the con sideration of homocystinuria in such patients.
The natural history of homocystinuria predicts a high risk of an thromboembolism event at an earlier age. Due to sulfation factor like effects, vascular endothelial rupture occurs, followed by platelet thrombosis, causing vascular occlusion [7] resulting in myocardial occlusion, peripheral vascular disease, cerebral and renal artery occlusion, venous sinus occlusion, etc. Both the patients did not have any evidence of vascular thrombosis.
The diagnosis of homocystinuria is often missed or delayed. In a study which was done by Cruysberg et al [10], there was a mean delay of 11 years between the first major signs of the disease and the final diagnosis of homocystinuria. Lens dislocation is observed in 85% of patients with homocystinuria. Even though the first sibling got operated for dislocated lens at the age of 5-years, followed by treatment for multiple fractures at varying intervals, there was still a 15 years delay in the diagnosis.
Homocysteine metabolism is intimately linked with the metabolism of folate, vitamin B 12 , and pyridoxine and some patients respond to the above therapy [2]. The symptoms of homocystinuria can be
AUTHOR(S):
1. Dr. Kannan R.
2. Dr. Natarajan S.
3. Dr. Surapaneni K.M.
4. Dr. Murali A.
5. Dr. Senthil Kumar Aiyappan
6. Dr. Lal D.V.
PARTICULARS OF CONTRIBUTORS:
1. Department of Medicine, Saveetha Medical College & Hospital, Saveetha University, Saveetha Nagar, Thandalam, Chennai – 602 105, Tamilnadu, India.
2. Department of Orthopaedics, Saveetha Medical College & Hospital, Saveetha University, Saveetha Nagar, Thandalam, Chennai – 602 105, Tamilnadu, India.
3. Department of Biochemistry, Saveetha Medical College & Hospital, Saveetha University, Saveetha Nagar, Thandalam, Chennai – 602 105, Tamilnadu, India.
4. Department of Medicine, PSG Institute of Medical Sciences & Research, Coimbatore, Tamilnadu, India.
Journal of Clinical and Diagnostic Research. 2012 May (Suppl-1), Vol-6(3):485-487
prevented by a diet which is low in methionine and rich in cystine, betaine, choline and arginine. Vitamin supplementation decreases or even normalizes the plasma homocysteine levels in many patients. Even carrier parents who never manifested homocystinuria, were found to have deficiencies of vitamin B 12 and folate. Both our patients were started on treatment with vitamins B 12 , and B 6 , and folic acid and they responded well to the treatment.
Conclusion
A high index of suspicion of homocystinuria is warranted in any patient who presents with a combination of mental retardation and Marfanoid features. Homocystinuria usually presents with multisystem involvement – skeletal, neurological, vascular, and eye involvement. An early diagnosis of homocystinuria will reduce the incidence of vascular thromboembolism and mental retardation.
REFERENCES
[1] Turner G ,Dey J, Turner B. Homocystinuria : a report of two Australian families: Aust .Paediatric Journal, 1967; 3 :48-53.
[2] Welch GN, Loscalzo J. Homocysteine and atherothrombosis. New Engl J Med, 1998; 338 (15):1042-50.
[3] Li SC, Stewart PM. Homocystinuria and psychiatric disorder: a case report. Pathology. 1999 Aug; 31 (3): 221-24.
[4] Shulman D. Homocystinuria in two south African negro siblings. S Afr Med J. 1977; 52 (3):127-30.
[5]
Verma IC. Sinclair S. Homocystinuria. Report of two cases in siblings. Indian J Paediatr. 1970;37 (269): 263-67.
[6] Kennedy C, Shih VE, Rowland LP. Homocystinuria: a report in two siblings. Paediatrics. 1965; 36 (5): 736-41.
[7] Grieco AJ. Homocystinuria: pathogenetic mechanisms. Am J Med Sci. 1977; 273 (2): 120-32.
[8] Parrot F, Vernhet R L, Lacombe D, et al. Osteoporosis in the late diagnosed adult homocystinuric patients. J Inherited. Metab. Dis. 2000; 23: 338-40.
[9] Szafranski T, Pawlak-Bus K, Leszczynski P. Case report: Zoledronic acid in the treatment of secondary osteoporosis due to homocystinuria. Rheumatologia, 2010; 48, 2: 133-38.
[10] Cruysberg JR, Boers GH, Trijbels JM, Deutman AF. Delay in the diagnosis of homocystinuria: a retrospective study of consecutive patients. BMJ. 1996; 26; 313(7064):1037-40.
5. Department of Radiodiagnosis and Imaging, Saveetha Medical College & Hospital, Saveetha University, Saveetha Nagar, Thandalam, Chennai – 602 105, Tamilnadu, India.
6. Department of Paediatrics, Saveetha Medical College & Hospital, Saveetha University, Saveetha Nagar, Thandalam, Chennai – 602 105, Tamilnadu, India.
NAME, ADDRESS, E-MAIL ID OF THE CORRESPONDING AUTHOR:
Dr. Kannan R., Assistant Professor,
Department of Medicine,
Saveetha Medical College & Hospital,
Saveetha University, Saveetha Nagar,
Thandalam, Chennai – 602 105, Tamilnadu, India.
E-mail: firstname.lastname@example.org
Financial OR OTHER COMPETING INTERESTS: None.
Date of Submission: Sep 20, 2011
Date of Peer Review: Oct 01, 2011
Date of Acceptance: Jan 20, 2012
Date of Publishing: May 01, 2012
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Mill - Thread Inserts and Kits
Mill-Thread tools for threading on CNC milling machines by using helical interpolation programs
Advantages of Mill-Thread Tools
Same toolholder and insert can produce both right-hand and left-hand threads.
Improved productivity thanks to increased cutting speeds and multitooth type carbide inserts.
A combination of ground profile and sintered chip - breaker A single insert & toolholder can produce a given thread on many diameters (External & Internal). Threading to one pitch of a shoulder in a blind hole.
Prismatic shape of insert,s tail ensures exact and reliable clamping in the toolholder.
Most inserts are double sided, having two cutting edges.
Longer tool life thanks to a special multilayer coating process.
Lower tooling costs, considerably less expensive than using taps and dies.
Thread is produced in one tool pass.
MT tools can produce tapered threads.
Since lower machine power is required, a smaller machine can produce larger threads in a single operation with less idle time and tool changes.
®
Product Identification
Mill-Thread Inserts Ordering Codes
Mill - Thread Inserts
ISO
* One cutting edge
Order example: 14 I 1.5 ISO MT7
UN UNC, UNF, UNEF, UNS
* One cutting edge
Order example: 21 I 18 UN MT7
** Cannot be used with carbide shank Toolholders.
Mill - Thread Inserts
WHIT BSW, BSF, BSP
Same Insert for External and Internal thread.
* One cutting edge
Order example: 21-11 W MT7
BSPT
Conical pipe thread inserts are onesided and may be used for both External and Internal threading.
Order example: 14-19 BSPT MT7
For conical preparation end mills see page 125
NPT
Conical pipe thread inserts are onesided and may be used for both External and Internal threading.
Order example: 30-11.5 NPT MT7
NPTF
Conical pipe thread inserts are onesided and may be used for both External and Internal threading.
Order example: 21-14 NPTF MT7
For conical preparation end mills see page 125
Mill - Thread Inserts
NPS
Same Insert for External and Internal thread
Order example: 30-11.5 NPS MT7
* One cutting edge
NPSF
Same Insert for External and Internal thread
* One cutting edge
Order example: 21-14 NPSF MT7
PG - DIN 40430
Same Insert for External and Internal thread
Order example: 21-18 PG MT7
UNJ
Inserts for External thread
Order example: 21E 16 UNJ MT7
For internal UNJ threads it is common to use UN inserts as partial profile.
American Buttress
ABUT thread inserts are one-sided and may be used for both External and Internal threading
Order example: 30 - 6 ABUT MT7
* Inserts to be used only on Multi-Insert toolholders see page 83
ACME
Inserts for Internal threads
Order example: 21 I 8 ACME MT7
* Inserts to be used only on Multi-Insert toolholders see page 83
** One cutting edge
®
Internal UN Kits
76
Order example : MTK 14 I UN
Mill-Thread Toolholders
5 79
®
Product Identification
Mill-Thread Toolholders Ordering Codes
Single Insert Toolholders
With internal coolant bore
| Ordering Code | A mm | D | D1 | D2 | L | L1 | Insert Screw |
|---|---|---|---|---|---|---|---|
| SR0 3 7 5 H1 2 | 12 | 0.37 | 0.75 | 0.3 | 3.35 | 0.51 | S12 |
| *SR0 3 9 0 H1 2 | 12 | 0.39 | 0.75 | 0.3 | 3.35 | 0.51 | S12 |
| SR0 5 0 0 F1 4 | 14 | 0.5 | 0.75 | 0.37 | 2.95 | 0.7 | S14 |
| SR0 5 4 0 F1 4 | 14 | 0.54 | 0.75 | 0.38 | 2.98 | 0.77 | S14 |
| SR0 5 7 0 H1 4 | 14 | 0.57 | 0.75 | 0.41 | 3.2 | 1 | S14 |
| SR0 6 7 0 H1 4 | 14 | 0.67 | 0.75 | 0.53 | 3.35 | 1.18 | S14 |
| SR0 7 9 0 H2 1 | 21 | 0.79 | 0.75 | 0.61 | 3.7 | 1.57 | S21 |
| SR0 7 9 0 K2 1 | 21 | 0.79 | 0.75 | 0.61 | 5 | 2.25 | S21 |
| SR11 4 0 J 3 0 | 30 | 1.14 | 1 | 0.88 | 4.27 | 1.85 | S30 |
| SR1 5 0 0 P4 0 | 40 | 1.5 | 1.25 | 1.13 | 7 | 4.25 | S40 |
| SR1 5 0 0 R4 0 | 40 | 1.5 | 1.25 | 1.13 | 8 | 5.25 | S40 |
| SR1 7 3 0 M4 0 | 40 | 1.73 | 1.5 | 1.38 | 6.02 | 3.19 | S40 |
Order example: SR0790H21
* For conical inserts: 12-18 NPT, 12-18 NPTF, 12-19 BSPT
Long Shank Toolholders
With internal coolant bore
| Ordering Code | A mm | D | D1 | L | Insert Screw |
|---|---|---|---|---|---|
| SR0 9 4 0 K2 1 | 21 | 0.94 | 0.75 | 5 | S21 |
| SR1 2 4 0 M3 0 | 30 | 1.24 | 1 | 6 | S30 |
Order example: SR1240M30
For holders with long overhang reduce the cutting speed and feed rate between 20% to 40% (depends on workpiece material, pitch and overhang)
Twin Insert Toolholders
With internal
| Ordering Code | A mm | D | D1 | D2 | L | L1 | No. of Inserts | Insert Screw |
|---|---|---|---|---|---|---|---|---|
| SR0790H14-2 | 14 | 0.79 | 0.75 | 0.63 | 3.66 | 1.54 | 2 | S14 |
| SR1180J21-2 | 21 | 1.18 | 1 | 0.95 | 4.25 | 1.97 | 2 | S21 |
| SR1580L30-2 | 30 | 1.57 | 1.25 | 1.18 | 5.12 | 2.8 | 2 | S30 |
| SR1970M40-2 | 40 | 1.97 | 1.5 | 1.49 | 6.02 | 3.35 | 2 | S40 |
Order example: SR1580L30-2
Multi Insert Toolholders
| Ordering Code | A mm | D | D1 | L | No. of Inserts | Insert Screw |
|---|---|---|---|---|---|---|
| SR2480C21-5 | 21 | 2.48 | 0.75 | 1.97 | 5 | S21 |
| SR2480C30-4 | 30 | 2.48 | 0.75 | 1.97 | 4 | S30 |
| SR3150D30-4 | 30 | 3.15 | 1 | 2.16 | 4 | S30 |
| SR3940D30-4 | 30 | 3.94 | 1.25 | 2.36 | 4 | S30 |
| SR3940D30-8 | 30 | 3.94 | 1.25 | 2.36 | 8 | S30 |
| SR3150D40-4 | 40 | 3.15 | 1 | 2.56 | 4 | S40 |
| SR3940E40-4 | 40 | 3.94 | 1.25 | 2.76 | 4 | S40 |
| SR3940E40-6 | 40 | 3.94 | 1.25 | 2.76 | 6 | S40 |
External Multi Insert Toolholder
Order example: SR3940D30-4
Reduced machining time
Optimal coolant supply
With internal coolant bore
| Ordering Code | A mm | D | D1 | D2 | L | L1 | No. of Inserts | Insert Screw |
|---|---|---|---|---|---|---|---|---|
| SLE0790D21-3 | 21 | 0.79 | 0.75 | 2.28 | 2.56 | 0.95 | 3 | S21 |
| SLE1180D21-3 | 21 | 1.18 | 0.75 | 2.68 | 2.56 | 0.95 | 3 | S21 |
| SLE1770E21-4 | 21 | 1.77 | 1 | 3.27 | 2.76 | 0.95 | 4 | S21 |
Order example: SLE1180D21-3
Long Carbide Shank Toolholders
With internal
Order example: SR0620 K14C
For holders with long overhang reduce the cutting speed and feed rate between 20% to 40% (depends on workpiece material, pitch and overhang)
Carbide Shank Toolholders for Single Point Threading
With internal coolant bore
For Inserts see the Thread Turning Tools section of this Catalogue For an internal application use an internal R.H. insert.
* Without coolant bore
** For an external application use an external L.H. insert.
Special Tools
In addition to standard products, Carmex manufactures special tools and inserts according to customers’ requests. Special tools are supplied in short delivery times.
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Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited ("HKSCC Nominees") and deposited directly into the Central Clearing and Settlement System ("CCASS") for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲 以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央 結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口持有人股份戶口或 閣下指定 的中央結算系統參與者股份戶口，請使用本表格
Staple your payment here 請將股款 緊釘在此
This Application Form uses the same terms as defined in the prospectus of eBroker Group Limited (the "Company") dated 30 January 2019 (the "Prospectus"). 本申請表格使用電子交易集團有限公司（「本公司」）於二零一九年一月三十日刊發的招 股章程（「招股章程」）所界定的相同詞語。
Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or sold in the United States without registration or an exemption from registration under the U.S. Securities Act. 本申請表格及招股章程概不構成在 香港以外任何司法權區要約出售或游說要約購買任何香港發售股份。若無根據美國《證券法》登記或豁免登記，香港 發售股份不得在美國提呈發售或出售。
This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) in any manner whatsoever in any jurisdiction where such forwarding, distribution or reproduction is not permitted under the law of that jurisdiction. 在任何根據當地法例不得發送、派發或複製本申請表格及招股章程的司法權區內概不得發送或派發或複 製（不論方式，也不論全部或部分）本申請表格及招股章程。
: 8036
: 8036
Maximum Offer Price
Nominal value:
面值:
To: eBroker Group Limited Sole Lead Manager Joint Bookrunners Hong Kong Underwriter(s)
Sample 樣版 Copies of the Prospectus, all related Application Forms and the other documents specified in the section headed "Documents delivered to the Registrar of Companies and available for inspection" in Appendix V to the Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by section 342C of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Chapter 32 of the Laws of Hong Kong). Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the " Stock Exchange "), Hong Kong Securities Clearing Company Limited (" HKSCC "), the Securities and Futures Commission of Hong Kong (the " SFC ") and the Registrar of Companies in Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相關申請表格及招股章程附錄五「送呈公司註冊處處長及備查文件」一節所 述其他文件已按香港法例第 32 章公司（清盤及雜項條文）條例第 342C 條規定送呈香港公司註冊處處長登記。香港交易 及結算所有限公司、 香港聯合交易所有限公司（「 聯交所 」）、香港中央結算有限公司（「 香港結算 」）、香港證券及期貨 事務監察委員會（「 證監會 」）及香港公司註冊處處長對此等文件的內容概不負責。 eBROKER GROUP LIMITED 電子交易集團有限公司 (Incorporated in the Cayman Islands with limited liability) （於開曼群島註冊成立的有限公司） Stock code 股份代號 : HK$0.44 per Hong Kong Offer Share, plus brokerage of 1%, SFC transaction levy of 0.0027% and Stock Exchange trading fee of 0.005% (payable in full on application in Hong Kong dollars, subject to refund on fi nal pricing) 最高發售價 : 每股香港發售股份 0.44 港元，另加 1% 經紀佣金、 0.0027% 證監會交易徵費及 0.005% 聯交所交易費（須 於申請時以港元繳足，視乎最後定價而可予退還） HK$0.001 per Share 每股股份 0.001 港元 You should read this Application Form in conjunction with the Prospectus, which contains further information on the application procedures. 招股章程尚有其他關於申請程序的其他資料，本申請表格應與招股章程一併閱讀。 Application Form 申請表格
致：電子交易集團有限公司 獨家牽頭經辦人 聯席賬簿管理人 香港包銷商
Applicants' declaration
I/We agree to the terms and conditions and application procedures in this Application Form and the Prospectus. Please refer to the "Effect of completing and submitting this Application Form" section of this Application Form.
申請人聲明
Warning: Only one application may be made for the benefit of any person. Please refer to the last four bullets of "Effect of completing and submitting this Application Form" section.
本人╱吾等同意本申請表格及招股章程的條款 及條件以及申請程序。請參閱本申請表格「填 交本申請表格的效用」一節。
警告：任何人士只限作出一次為其利益而進行 的認購申請。請參閱「填交本申請表格的效用」 一節最後四點。
Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited ("HKSCC Nominees") and deposited directly into the Central Clearing and Settlement System ("CCASS") for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲 以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央 結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口持有人股份戶口或 閣下指定 的中央結算系統參與者股份戶口，請使用本表格
Sa Sa Sa Sa Sam Sam am am Sam Sa For Nominees: You will be treated as applying for your own benefit if you do not complete this section. Please provide an account number or identification code for each (joint) beneficial owner. 由代名人遞交：代名人若不填寫本節，是項 認購申請將視作為 閣下利益提出。請填寫每名（聯名）實益 擁有人的賬戶號碼或識別編碼。 1) 2) 3)
ample
Forename(s) 名字 Forename(s) 名字 Name of bank on which cheque/Banker's cashier order is drawn (see "How to make your application" section) 兌現支票╱銀行本票的銀行名稱（見「申請手續」一節） Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No.* (Please delete as appropriate) 香港身份證號碼╱護照 號碼╱香港商業登記號碼* （請刪除不適用者） Registration No. of all other joint applicants*
1) 2)
職業（以英文填寫） 1) 2) 3)
Signed by (all) applicant(s) (all joint applicants must sign): 由（所有）申請人簽署（所有聯名申請人必須簽署）：
Date 日期：
╱
╱
D 日
M月
Y年
Number of Hong Kong Offer Shares applied for (not more than 11,500,000 shares) 申請香港公開發售股份數目（不超過 11,500,000股股份）
Total amount 總額
Name in English 英文姓名╱名稱
Name in Chinese 中文姓名╱名稱
Occupation in English 職業（以英文填寫）
Names of all other joint applicants in English (if any) 所有其他聯名申請人的英文姓名╱名稱（如有）
For Internal use 此欄供內部使用
ADDRESS LABEL 地址標貼（Your name(s) and address in Hong Kong in BLOCK letters 請用英文正楷填寫姓名╱名稱及香港 地址）
Hong Kong address in English and telephone no. (joint applicants should give the address and the telephone number of first-named applicant only) 香港地址（以英文填寫）及電話號碼（聯名申請人只須填寫排名首位申請人的地址及電話號碼）
HK$
港元
Family name or company name 姓氏或公司名稱
Family name or company name 姓氏或公司名稱
Telephone No. 電話號碼
THIS BOX MUST BE DULY COMPLETED 必須填妥此欄
Participant I.D. of the CCASS Investor Participant or designated CCASS Participant 中央結算系統投資者戶口持有人或指定的 中央結算系統參與者的參與者編號
For designated CCASS Participant or Corporate CCASS Investor Participant, please also affix the company chop bearing its company name 指定的中央結算系統參與者或中央結算系 統公司投資者戶口持有人，請加蓋顯示公司名稱的公司印章
(See paragraph 2 in the section "How to make your application")
（見「申請手續」一節第2段）
For Broker use 此欄供經紀填寫 Lodged by 遞交申請的經紀
Broker No. 經紀號碼
Broker’s Chop 經紀印章
Cheque/banker’s cashier order number 支票╱銀行本票號碼
兌現支票╱銀行本票的銀行名稱（見「申請手續」一節）
Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No. of all other joint applicants* (Please delete as appropriate) 所有其他聯名申請人的香港身份證號碼╱護照號 碼╱香港商業登記號碼* （請刪除不適用者）
1)
2)
3)
Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited ("HKSCC Nominees") and deposited directly into the Central Clearing and Settlement System ("CCASS") for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲 以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央 結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口持有人股份戶口或 閣下指定 的中央結算系統參與者股份戶口，請使用本表格
*
(1) If you are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are an individual) or a Hong Kong Business Registration number (if you are a body corporate) will be accepted for this application, please see paragraph 2 under the section "How to make your application". 如 閣下為中央結算系統投資者戶口持有人，是項申請僅接納香港身份證號碼（如 屬個別人士）或香港商業登記號碼（如屬法人團體）；請參閱「申請手續」一節第 2 段。
(2) If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For an individual, you must provide your Hong Kong Identity Card number or passport number. If you hold a Hong Kong Identity Card, please provide that number. If you do not hold a Hong Kong Identity Card, please provide your passport number. For a body corporate, please provide your Hong Kong Business Registration number. 如 閣下透過中央結算系統投資 者戶口持有人以外的指定中央結算系統參與者提出申請：如屬個別人士，必須填寫 閣下的香 港身份證號碼或護照號碼（持有香港身份證者請填寫香港身份證號碼，否則請填寫護照號碼）； 如屬法人團體，請填寫香港商業登記號碼。
樣版 (3) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the first-named applicant may be printed on your refund cheque (if any). Such data will be used for checking the validity of Application Form and such data would also be transferred to a third party for such purpose and refund purpose. Your banker may require verification of your Hong Kong Identity Card number/passport number before you can cash your refund cheque. 日後如需退回申 請股款，退款支票上（如有）或會印有 閣下或（如屬聯名申請人）排名首位申請人的香港身份證 號碼╱護照號碼的一部分。有關資料將用於核實申請表格是否有效，亦會轉交第三方作資料核 實和退款。銀行兌現退款支票前或會要求查證 閣下的香港身份證號碼╱護照號碼。
倘若申請人是一家非上市公司，而：
是項申請將視作為 閣下的利益提出。
(5) All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or, where applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business Registration numbers. 所有聯名申請人必須提供（如屬個別人士）其香港身份證號碼或（如適用） 護照號碼，或（如屬法人團體）其香港商業登記號碼。
Sample (4) If an application is made by an unlisted company and: · the principal business of that company is dealing in securities; and · you exercise statutory control over that company, then the application will be treated as being made for your benefit. · 該公司主要從事證券買賣業務；及 · 閣下對該公司行使法定控制權，
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樣版
How to make your application
1.
Use the table below to calculate how much you must pay. Your application must be for a minimum of 10,000 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected.
| Number of Hong Kong Offer Shares Amount payable applied for on application | Number of Hong Kong Offer Shares Amount payable applied for on application |
|---|---|
| HK$ 90,000 39,999.05 100,000 44,443.39 200,000 88,886.78 300,000 133,330.16 400,000 177,773.55 500,000 222,216.94 600,000 266,660.33 700,000 311,103.72 | HK$ 800,000 355,547.10 900,000 399,990.49 1,000,000 444,433.88 樣 2,000,000 888,867.76 3,000,000 1,333,301.64 4,000,000 1,777,735.52 5,000,000 2,222,169.40 6,000,000 2,666,603.28 |
樣版
70,000 31,110.37 600,000 266,660.33 5,000,000 2,222,169.40 80,000 35,554.71 700,000 311,103.72 6,000,000 2,666,603.28 * Maximum number of Hong Kong Offer Shares you may apply for. 2. Application Form. Only written signatures will be accepted (and not by way of personal chop). • and insert its participant I.D. in the appropriate box. If you are applying as an individual CCASS Investor Participant: • the form must contain your NAME and Hong Kong Identity Card number; • your participant I.D. must be inserted in the appropriate box. If you are applying as a joint individual CCASS Investor Participant: • joint investor participants; • your participant I.D. must be inserted in the appropriate box. If you are applying as a corporate CCASS Investor Participant: • the form must contain your company NAME and Hong Kong Business Registration number; • box. its company name or other similar matters may render your application invalid.
3. Staple your cheque or banker's cashier order to the form. Each application for the Hong Kong Offer Shares must be accompanied by either one separate cheque or one separate banker's cashier order. Your application will be rejected if your cheque or banker's cashier order does not meet all the following requirements:
The cheque must:
Banker's cashier order must:
* be in Hong Kong dollars;
* not be post-dated;
* be crossed "Account Payee Only";
* be made payable to "Ting Hong Nominees Limited – eBroker Public Offer";
* be drawn on your Hong Kong dollar bank account in Hong Kong; and
* show your account name, which must either be pre-printed on the cheque, or be endorsed on the back by a person authorised by the bank. This account name must correspond with your name. If it is a joint application, the account name must be the same as the first-named applicant's name.
4. Tear off the Application Form, fold it once and lodge your completed Application Form (with cheque or banker's cashier order attached) to one of the collection boxes at any of the following branches of:
DBS Bank (Hong Kong) Limited
District
Branch name
```
Sample Hong Kong Island Queen's Road East – DBS Treasures Centre Kowloon Amoy Plaza Branch New Territories Ma On Shan Branch 5. Your Application Form can be lodged at these times: Wednesday, 30 January 2019 – 9:00 a.m. to 5:00 p.m. Thursday, 31 January 2019 – 9:00 a.m. to 5:00 p.m. Friday, 1 February 2019 – 9:00 a.m. to 5:00 p.m. Saturday, 2 February 2019 – 9:00 a.m. to 1:00 p.m. Monday, 4 February 2019 – 9:00 a.m. to 5:00 p.m. Friday, 8 February 2019 – 9:00 a.m. to 12:00 noon
```
* be issued by a licensed bank in Hong Kong, and have your name certified on the back by a person authorised by the bank. The name on the banker's cashier order must correspond with your name. If it is a joint application, the name on the back of the banker's cashier order must be the same as the firstnamed applicant's name. Address Shop A, G/F, Jonsim Place, 228 Queen's Road East, Wanchai Shops G193-195, Amoy Plaza, 77 Ngau Tau Kok Road, Ngau Tau Kok
Shop 205-206, Level 2, Ma On Shan Plaza,
Ma On Shan
6. The latest time for lodging your application is 12:00 noon on Friday, 8 February 2019. The application lists will be open between 11:45 a.m. and 12:00 noon on that day, subject only to the weather conditions, as described in the section headed "How to apply for Hong Kong Offer Shares – Effect of bad weather on the opening of the application lists" in the Prospectus.
如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港 發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統 投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格
申請手續
1. 使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為10,000 股香港發售股份， 並為下表所列的其中一個數目，否則恕不受理。
| 申請認購的 香港發售 申請時 股份數目 應繳款項 | 申請認購的 香港發售 申請時 股份數目 應繳款項 |
|---|---|
| 港元 90,000 39,999.05 100,000 44,443.39 200,000 88,886.78 300,000 133,330.16 400,000 177,773.55 500,000 222,216.94 600,000 266,660.33 700,000 311,103.72 | 港元 800,000 355,547.10 900,000 399,990.49 1,000,000 444,433.88 2,000,000 888,867.76 3,000,000 1,333,301.64 4,000,000 1,777,735.52 5,000,000 2,222,169.40 6,000,000 2,666,603.28 |
Sample * 閣下可申請認購的香港發售股份最高數目。 2. 閣下作為申請人，必須按照下列指示以英文填妥表格，並於申請表格次頁簽署，只接納親筆 簽名（不得以個人印章代替）。 如 閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請： ‧ 該指定中央結算系統參與者必須於表格蓋上公司印章（附有公司名稱），並在適當方格內 填寫參與者編號。 如 閣下以個人中央結算系統投資者戶口持有人名義提出申請： ‧ 表格須載有 閣下的姓名和香港身份證號碼； ‧ 須在適當方格內填寫 閣下的參與者編號。 如 閣下以聯名個人中央結算系統投資者戶口持有人名義提出申請： ‧ 表格須載有所有聯名投資者戶口持有人的姓名和香港身份證號碼； ‧ 須在適當方格內填寫 閣下的參與者編號。 如 閣下以公司中央結算系統投資者戶口持有人名義提出申請： ‧ 表格須載有 閣下的公司名稱和香港商業登記號碼； ‧ 須在適當方格內填寫 閣下的參與者編號並蓋上公司印章（附有公司名稱）。 中央結算系統參與者的資料（包括參與者編號及╱或附有公司名稱的公司印章）或其他類似 事項如有不確或遺漏，均可能導致申請無效。
樣版
如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港 發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統 投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格
3. 閣下須將支票或銀行本票釘於表格上。每份香港發售股份申請須附一張獨立開出支票或一張 獨立開出銀行本票。支票或銀行本票必須符合以下所有規定，否則有關的認購申請不獲接納:
支票必須：
銀行本票必須：
‧ 為港元；
‧ 註明抬頭人為「鼎康代理人有限公司—電子交易公開發售」；
‧ 不得為期票；
‧ 劃線註明「只准入抬頭人賬戶」；
‧ 從 閣下在香港的港元銀行賬戶中開出； 及
‧ 顯示 閣下的賬戶名稱，而該賬戶名稱必 須已預印在支票上，或由有關銀行授權的 人士在支票背書。賬戶名稱必須與 閣下 姓名╱名稱相同。如屬聯名申請，該賬戶 名稱必須與排名首位申請人的姓名╱名稱 相同。
‧ 須由香港持牌銀行開出，並由有關銀行授 權的人士在銀行本票背面簽署核證 閣 下姓名╱名稱。銀行本票所示姓名╱名稱 須與 閣下姓名╱名稱相同。如屬聯名申 請，銀行本票背面所示姓名╱名稱必須與 排名首位申請人的姓名╱名稱相同。
4. 撕下申請表格，對摺一次，然後將填妥的申請表格（連同支票或銀行本票）投入下列任何一家 分行特設的收集箱：
星展銀行（香港）有限公司
皇后大道東－
樣版 灣仔皇后大道東 228 號中華大廈地下 A 舖 牛頭角牛頭角道 77 號淘大商場 G193-195 號舖 馬鞍山馬鞍山廣場 2 樓 205-206 號舖
二零一九年一月三十日（星期三）— 上午九時正至下午五時正 二零一九年一月三十一日（星期四）— 上午九時正至下午五時正 二零一九年二月一日（星期五）— 上午九時正至下午五時正 二零一九年二月二日（星期六）— 上午九時正至下午一時正 二零一九年二月四日（星期一）— 上午九時正至下午五時正 二零一九年二月八日（星期五）— 上午九時正至中午十二時正
6. 截止遞交申請的時間為二零一九年二月八日（星期五）中午十二時正。本公司將於當日上午 十一時四十五分至中午十二時正期間登記認購申請，唯一會影響此時間的變化因素為當日的 天氣情況（詳見招股章程「如何申請香港發售股份─惡劣天氣對辦理申請登記的影響」一節）。
Sample 地區 分行名稱 地址 香港 星展豐盛理財中心 九龍 淘大商場分行 新界 馬鞍山分行 5. 閣下可於下列時間遞交申請表格：
eBROKER GROUP LIMITED
(Incorporated in the Cayman Islands with limited liability)
HONG KONG PUBLIC OFFERING
* confirm that you are aware of the restrictions on the Hong Kong Public Offering in the prospectus;
Conditions of your application
A. Who can apply
1. You and any person(s) for whose benefit you are applying must be 18 years of age or older and must have a Hong Kong address.
2. If you are a firm, the application must be in the individual members' names.
3. The number of joint applicants may not exceed 4.
4. If you are a body corporate, the application must be signed by a duly authorised officer, who must state his representative capacity, and stamped with your corporation's chop.
5. You must be outside the United States, not be a United States Person (as defined in Regulation S under the U.S. Securities Act) and not be a legal or natural person of the PRC.
6. Unless permitted by the GEM Listing Rules, you cannot apply for any Hong Kong Offer Shares if you are:
* an existing beneficial owner of shares in the Company and/ or any of its subsidiaries;
* undertake to execute all relevant documents and instruct and authorise the Company and/or the Sole Lead Manager (or their agents or nominees), as agents of the Company, to execute any documents for you and to do on your behalf all things necessary to register any Hong Kong Offer Shares allocated to you in the name of HKSCC Nominees as required by the Articles of Association;
Sample · a Director or chief executive officer of the Company and/or any of its subsidiaries; · a connected person (as defined in the GEM Listing Rules) of the Company or will become a connected person of the Company immediately upon completion of the Hong Kong Public Offering; · an associate (as defined in the GEM Listing Rules) of any of the above; · have been allocated or have applied for any Placing Shares or otherwise participate in the Placing. B. If you are a nominee You, as a nominee, may make more than one application for the Hong Kong Offer Shares by: (i) giving electronic instructions to HKSCC or HK eIPO White Form Service Provider via Central Clearing and Settlement System (" CCASS ") (if you are a CCASS Participant); or (ii) using a WHITE or YELLOW Application Form, and lodge more than one application in your own name on behalf of different beneficial owners. C. Effect of completing and submitting this Application Form By completing and submitting this Application Form, you (and if you are joint applicants, each of you jointly and severally) for yourself or as an agent or a nominee on behalf of each person for whom you act:
樣版 · agree to disclose to the Company, the Hong Kong Branch Share Registrar, the receiving bank, the Sole Sponsor, the Sole Lead Manager, the Hong Kong Underwriter(s) and/or their respective advisers and agents any personal data which they may require about you and the person(s) for whose benefit you have made the application; · if the laws of any place outside Hong Kong apply to your application, agree and warrant that you have complied with all such laws and none of the Company, the Sole Sponsor, the Sole Lead Manager and the Hong Kong Underwriter(s) nor any of their respective officers or advisers will breach any law outside Hong Kong as a result of the acceptance of your offer to purchase, or any action arising from your rights and obligations under the terms and conditions contained in the Prospectus and this Application Form; · agree that once your application has been accepted, you may not rescind it because of an innocent misrepresentation;
* agree that your application will be governed by the laws of Hong Kong;
* represent, warrant and undertake that (i) you understand that the Hong Kong Offer Shares have not been and will not be registered under the U.S. Securities Act; and (ii) you and any person for whose benefit you are applying for the Hong Kong Offer Shares are outside the United States (as defined in Regulation S) or are a person described in paragraph (h)(3) of Rule 902 of Regulation S;
* warrant that the information you have provided is true and accurate;
* agree to accept the Hong Kong Offer Shares applied for, or any lesser number allocated to you under the application;
* authorise the Company to place the name of the HKSCC Nominees on the Company's register of members as the holder(s) of any Hong Kong Offer Shares allocated to you, and the Company and/or its agents to deposit any Share certificate(s) into CCASS and/or to send any refund cheque(s) to you or the firstnamed applicant for joint application by ordinary post at your own risk to the address stated on the application, unless you have fulfilled the criteria mentioned in "Personal Collection" section in the Prospectus to collect refund cheque(s) in person;
* agree to comply with the Companies (WUMP) Ordinance and the Articles of Association;
* confirm that you have read the terms and conditions and application procedures set out in the Prospectus and in this Application Form and agree to be bound by them;
* agree that the shares to be allotted shall be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your investor participant stock account or the stock account of your designated CCASS participant;
* confirm that you have received and read the Prospectus and have only relied on the information and representations contained in the Prospectus in making your application and will not rely on any other information or representations except those in any supplement to the Prospectus;
* agree that each of HKSCC and HKSCC Nominees reserves the right (1) not to accept any or part of such allotted shares issued in the name of HKSCC Nominees or not to accept such allotted shares for deposit into CCASS; (2) to cause such allotted shares to be withdrawn from CCASS and issued in your name at your own risk and costs; and (3) to cause such allotted shares to be
* agree that none of the Company, the Sole Sponsor, the Sole Lead Manager, the Hong Kong Underwriter(s), their respective directors, officers, employees, partners, agents, advisers and any other parties involved in the Hong Kong Public Offering is or will be liable for any information and representations not in the Prospectus (and any supplement to it);
issued in your name (or, if you are a joint applicant, to the firstnamed applicant) and in such a case, to post the certificates for such allotted shares at your own risk to the address on your application form by ordinary post or to make available the same for your collection;
* agree that each of HKSCC and HKSCC Nominees may adjust the number of allotted shares issued in the name of HKSCC Nominees;
0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee. If the Offer Price is not agreed between the Company and the Sole Lead Manager (for itself and on behalf of the Underwriters) by 12:00 noon (Hong Kong time) on Wednesday, 13 February 2019, the Hong Kong Public Offering will not proceed. Applications for Hong Kong Offer Shares will not be processed and no allotment of any Hong Kong Offer Shares will be made until the application lists close.
* agree that neither HKSCC nor HKSCC Nominees shall have any liability for the information and representations not so contained in the Prospectus and this Application Form;
* agree that neither HKSCC nor HKSCC Nominees shall be liable to you in any way;
* understand that, where (i) the Placing Shares are fully subscribed or oversubscribed and the Hong Kong Offer Shares are fully subscribed or oversubscribed by less than 15 times or (ii) the Placing Shares are undersubscribed and the Hong Kong Offer Shares are oversubscribed irrespective of the number of times, up to 23,000,000 Offer Shares may be reallocated to the Hong Kong Public Offering from the Placing, so that the total number of the Offer Shares available under the Hong Kong Public Offering will be increased to 46,000,000 Offer Shares, representing 20% of the number of the Offer Shares initially available under the Share Offer (before exercise of any of the Adjustment Options). Further details of the reallocation are stated in the section headed "Structure and conditions of the Share Offer – Basis of Allocation of the Offer Shares" in the Prospectus;
The Company expects to announce the final Offer Price, the level of indication of interest in the Placing, the level of applications under the Hong Kong Public Offering and the basis of allocation of the Hong Kong Public Offering on Monday, 18 February 2019, on the Company's website at www.ebrokersystems.com and the website of the Stock Exchange at www.hkexnews.hk. Results of allocations in the Hong Kong Public Offering, and the Hong Kong identity card/passport/Hong Kong business registration numbers of successful applicants (where applicable) under the Hong Kong Public Offering will be available on the above websites.
* If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For Hong Kong Offer Shares credited to the stock account of your designated CCASS Participant (other than a CCASS Investor Participant), you can check the number of Hong Kong Offer Shares allotted to you with that CCASS Participant.
樣版 If your application for Hong Kong Offer Shares is successful (in whole or in part) If your application is wholly or partially successful, your share certificate(s) (subject to their becoming valid certificates of title provided that the Hong Kong Public Offering has become unconditional and not having been terminated at 8:00 a.m. on Tuesday, 19 February 2019) will be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant as instructed by you in your Application Form on Monday, 18 February 2019 or, in the event of a contingency, on any other date as shall be determined by HKSCC or HKSCC Nominees.
* If you are applying as a CCASS Investor Participant: The Company expects to publish the results of CCASS Investor Participants' applications together with the results of the Hong Kong Public Offering on Monday, 18 February 2019. You should check the announcement published by the Company and report any discrepancies to HKSCC before 5:00 p.m. on Monday, 18 February 2019 or such other date as determined by HKSCC or HKSCC Nominees. Immediately after the credit of the Hong Kong Offer Shares to your stock account, you can check your new account balance via the CCASS Phone System and CCASS Internet System (under the procedures contained in HKSCC's "An Operating Guide for Investor Participants" in effect from time to time). HKSCC will also make available to you an activity statement showing the number of Hong Kong Offer Shares credited to your stock account.
Sample · declare and represent that this is the only application made and the only application intended by you to be made to benefit you or the person for whose benefit you are applying; · understand that the Company and the Sole Lead Manager will rely on your declarations and representations in deciding whether or not to make any allotment of any of the Hong Kong Offer Shares to you and that you may be prosecuted for making a false declaration; · (if the application is made for your own benefit) warrant that no other application has been or will be made for your benefit on a WHITE or YELLOW Application Form or by giving electronic application instructions to HKSCC or to HK eIPO White Form Service Provider by you or by any one as your agent or by any other person; and · (if you are making the application as an agent for the benefit of another person) warrant that (i) no other application has been or will be made by you as agent for or for the benefit of that person or by that person or by any other person as agent for that person on a WHITE or YELLOW Application Form or by giving electronic application instructions to HKSCC or to HKe IPO White Form Service Provider; and (ii) you have due authority to sign the Application Form or give electronic application instructions on behalf of that other person as their agent.
D. Power of attorney
If your application is made by a person under a power of attorney, the Sole Lead Manager may accept or reject your application at their discretion, and on any conditions they think fit, including evidence of the attorney's authority.
No receipt will be issued for application money paid. The Company will not issue temporary documents of title.
Refund of your money
Determination of Offer Price and Allocation of Hong Kong Offer Shares
The Offer Price is expected to be fixed on or around Monday, 11 February 2019, but in any event, not later than Wednesday, 13 February 2019. Applicants are required to pay the maximum Offer Price of HK$0.44 for each Hong Kong Offer Share together with 1% brokerage,
If you do not receive any Hong Kong Offer Shares or if your application is accepted only in part, the Company will refund to you your application monies (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee) without interest. If the Offer Price is less than the maximum Offer Price, the Company will refund to you the surplus application monies (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee) without interest.
The refund procedures are stated in the section headed "How to apply for Hong Kong Offer Shares – Despatch/Collection of share certificates and refund monies" in the Prospectus.
如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份， 並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口持有人股 份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本申請表格
電子交易集團有限公司
（於開曼群島註冊成立的有限公司）
香港公開發售
* 確認 閣下知悉招股章程內有關香港公開發 售的限制；
申請條件
甲. 可提出申請的人士
1. 閣下及 閣下為其利益提出申請的人士必須 年滿18歲並有香港地址。
2. 如 閣下為商號，申請須以個別成員名義提 出。
3. 聯名申請人不得超過四名。
4. 如 閣下為法人團體，申請須經獲正式授權 人員簽署，並註明其所屬代表身份及蓋上公 司印章。
5. 閣下必須身處美國境外，並非美籍人士（定義 見美國《證券法》 S規例），亦非中國法人或自 然人。
6. 除《GEM上市規則》批准外，下列人士概不得 申請認購任何香港發售股份：
* 本公司及╱或其任何附屬公司股份的現 有實益擁有人；
* 承諾簽立所有相關文件並指示及授權本公司 及╱或作為本公司代理的獨家牽頭經辦人（或 其代理或代名人），為按照組織章程細則的規 定將 閣下獲分配的任何香港發售股份以香 港結算代理人的名義登記而代表 閣下簽立 任何文件及代 閣下辦理一切必需事宜；
Sample · 本公司及╱或其任何附屬公司的董事或 行政總裁； · 本公司關連人士（定義見《 GEM 上市規 則》）或緊隨香港公開發售完成後成為本 公司關連人士的人士； · 上述任何人士的聯繫人（定義見《 GEM 上 市規則》）； · 已獲分配或已申請任何配售股份或以其 他方式參與配售。 乙 . 如 閣下為代名人 閣下作為代名人可提交超過一份香港發售股份申 請，方法是： (i) 透過中央結算及交收系統（「 中央 結算系統 」）向香港結算或網上白表服務供應商發 出電子認購指示（如 閣下為中央結算系統參與 者）；或 (ii) 使用 白色 或 黃色 申請表格，以自身名義 代表不同的實益擁有人提交超過一份申請。 丙 . 填交本申請表格的效用 閣下填妥並遞交本申請表格，即表示 閣下（如屬 聯名申請人，即各人共同及個別）代表 閣下本 身，或作為 閣下代其行事的每位人士的代理或 代名人：
樣版 · 同意在本公司、香港股份過戶登記分處、收 款銀行、獨家保薦人、獨家牽頭經辦人、香 港包銷商及╱或彼等各自的顧問及代理提出 要求時，向彼等披露其所提供有關 閣下 及 閣下為其利益提出申請的人士的個人資 料； · 若香港境外任何地方的法例適用於 閣下的 申請，則同意及保證 閣下已遵守所有有關 法例，且本公司、獨家保薦人、獨家牽頭 經辦人及香港包銷商和彼等各自的高級職 員或顧問概不會因接納 閣下的購買要約， 或 閣下在招股章程及本申請表格所載的條 款及條件項下的權利及責任所引致的任何行 動，而違反香港境外的任何法例； · 同意 閣下的申請一經接納，即不得因無意 的失實陳述而撤銷；
* 同意 閣下的申請受香港法例規管；
* 聲明、保證及承諾：(i)閣下明白香港發售股 份不曾亦不會根據美國《證券法》登記；及(ii) 閣下及 閣下為其利益申請香港發售股份的 任何人士均身處美國境外（定義見S規例），或 屬S規例第902條第(h)(3)段所述的人士；
* 保證 閣下提供的資料真實及準確；
* 同意接納所申請數目或分配予 閣下但數目 較申請為少的香港發售股份；
* 授權本公司將香港結算代理人的名稱列入本 公司股東名冊，作為 閣下獲分配的任何香 港發售股份的持有人，並授權本公司及╱或 其代理將任何股票存入中央結算系統及╱或 以普通郵遞方式按申請所示地址向 閣下或 聯名申請的首名申請人發送任何退款支票， 郵誤風險由 閣下承擔，除非 閣下已符合 招股章程內「親身領取」章節的條件領取退款 支票；
* 同意遵守公司（清盤及雜項條文）條例及組織 章程細則；
* 確認 閣下已閱讀招股章程及本申請表格所 載的條款及條件以及申請程序，並同意受其 約束；
* 同意獲配發的股份是以香港結算代理人的名 義發行，並直接存入中央結算系統，以便記 存於 閣下的中央結算系統投資者戶口持有 人股份戶口或 閣下的指定中央結算系統參 與者股份戶口；
* 確認 閣下已接獲及閱讀招股章程，且提出 申請時也僅依據招股章程載列的資料及陳 述，閣下不會依賴任何其他資料或陳述（招股 章程任何補充文件所載者除外）；
* 同意香港結算及香港結算代理人各自保留權 利(1)不接納以香港結算代理人名義發行的 該等獲配發的任何或部分股份，或不接納該 等獲配發的股份存入中央結算系統；(2)促使 該等獲配發的股份從中央結算系統提取，並 轉入 閣下名下，有關風險及費用概由 閣
* 同意本公司、獨家保薦人、獨家牽頭經辦 人、香港包銷商、其各自的董事、高級職 員、員工、合夥人、代理、顧問及參與香港 公開發售的任何其他人士現時及日後均毋須 對並非載於招股章程（及其任何補充文件）的 任何資料及陳述負責；
如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份， 並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口持有人股 份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本申請表格
下自行承擔；及(3)促使該等獲配發的股份 以 閣下名義發行（或如屬聯名申請人，則 以排名首位申請人的名義發行），而在此情況 下，會以普通郵遞方式將該等獲配發股份的 股票寄往 閣下在申請表格上所示地址（郵誤 風險概由 閣下自行承擔）或提供該等股票 予 閣下領取；
（星期三）。 申請人須繳付每股香港發售股份0.44港元的最 高發售價，另加1%經紀佣金、0.0027%證監會交易徵費及 0.005%聯交所交易費。倘若本公司與獨家牽頭經辦人（為 其本身及代表包銷商）並無於二零一九年二月十三日（星期 三）中午十二時正（香港時間）或之前協定發售價，香港公 開發售將不會進行。截止登記認購申請前，概不處理香港 發售股份的申請或配發任何香港發售股份。
* 同意香港結算及香港結算代理人均可調整獲 配發以香港結算代理人名義發行的股份數目；
* 同意香港結算及香港結算代理人對招股章程 及本申請表格未有載列的資料及陳述概不負 責；
* 同意香港結算及香港結算代理人概不以任何 方式對 閣下負責；
本公司預期於二零一九年二月十八日（星期一）在本 公司網站www.ebrokersystems.com及聯交所網站 www.hkexnews.hk公佈最終發售價、配售踴躍程度、香 港公開發售認購水平及香港公開發售分配基準。香港公開 發售分配結果以及成功申請人的香港身份證╱護照╱香港 商業登記號碼（如適用）亦同於上述網站公佈。
* 明白，倘(i)配售股份獲悉數認購或超額認 購且香港發售股份獲悉數認購或超額認購少 於15倍或(ii)配售股份未獲悉數認購而香港 發售股份獲超額認購（不論多少倍），則最多 23,000,000股發售股份可由配售重新分配至香 港公開發售，致使根據香港公開發售可供認 購的發售股份總數將增加至46,000,000股發 售股份，相當於股份發售項下初步可供認購 的發售股份數目的20% （於任何調整權獲行使 前）。有關重新分配的進一步詳情，請參閱招 股章程「股份發售的架構及條件—發售股份分 配基準」一節；
* （如 閣下作為代理為另一人士的利益提出申 請）保證(i)閣下（作為代理或為該人士利益）或 該人士或任何其他作為該人士代理的人士不 曾亦不會以白色或黃色申請表格、或向香港 結算或網上白表服務供應商發出電子認購指 示而提出其他申請；及(ii)閣下獲正式授權作 為該人士的代理代為簽署申請表格或發出電 子認購指示。
Sample · 聲明及表示此乃 閣下為本身或為其利益提 出申請的人士提出及擬提出的唯一申請； · 明白本公司及獨家牽頭經辦人將依據 閣下 的聲明及陳述而決定是否向 閣下配發任何 香港發售股份， 閣下如作出虛假聲明，可能 會被檢控； · （如本申請為 閣下本身利益提出）保證 閣 下或作為 閣下代理的任何人士或任何其他 人士不曾亦不會為 閣下利益而以 白色 或 黃 色 申請表格又或向香港結算或網上白表服務 供應商發出電子認購指示提出其他申請；及
樣版 如 閣下成功申請認購香港發售股份（全部或部分） 如 閣下的申請全部或部分獲接納， 閣下的股票（前提是 到二零一九年二月十九日（星期二）上午八時正香港公開發 售成為無條件而並無終止，股票成為有效的所有權證明） 將以香港結算代理人名義發出，並按 閣下在申請表格的 指示於二零一九年二月十八日（星期一）或在特別情況下由 香港結算或香港結算代理人指定的任何其他日期直接存入 中央結算系統，以記存於 閣下的中央結算系統投資者戶 口持有人股份戶口或 閣下指定的中央結算系統參與者股 份戶口。
‧ 如 閣下透過中央結算系統投資者戶口持有人以 外的指定中央結算系統參與者提出申請：香港公 開發售股份將存入 閣下的指定中央結算系統參 與者（非中央結算系統投資者戶口持有人）股份戶 口，閣下可向該中央結算系統參與者查詢 閣下 獲配發的香港發售股份數目。
‧ 如 閣下以中央結算系統投資者戶口持有人身份 提出申請：本公司預期於二零一九年二月十八日 （星期一） 刊登中央結算系統投資者戶口持有人的 申請結果及香港公開發售的結果。 閣下應查閱本公 司刊發的公告，如有任何資料不符，請於二零一九 年二月十八日（星期一）或香港結算或香港結算代理 人釐定的任何其他日期的下午五時正前知會香港結 算。在香港發售股份存入 閣下的股份戶口後，閣 下即可透過「結算通」電話系統及中央結算系統互聯 網系統（根據香港結算不時有效的《投資者戶口操作 簡介》所載程序）查詢 閣下的新戶口結餘。香港結 算亦將向 閣下提供一份活動結單，列出存入 閣 下股份戶口的香港發售股份數目。
本公司不會就申請時繳付的款項發出收據，亦不會發出臨 時所有權文件。
退回款項
丁. 授權書
如 閣下透過授權人士提出申請，則獨家牽頭經 辦人可在申請符合其認為合適的條件下（包括出示 獲授權證明）酌情接納或拒絕 閣下的申請。
釐定發售價及香港發售股份的分配
預期發售價於二零一九年二月十一日（星期一）或前後 釐定，且於任何情況下均不遲於二零一九年二月十三日
若 閣下未獲分配任何香港發售股份或申請僅部分獲接 納，本公司將不計利息退回 閣下的申請股款（包括相關 的1%經紀佣金、0.0027%證監會交易徵費及0.005%聯交所 交易費）。如發售價低於最高發售價，本公司將不計利息 退回多收申請股款（包括相關的1%經紀佣金、0.0027%證 監會交易徵費及0.005%聯交所交易費）。
有關退款程序載於招股章程「如何申請香港發售股份－發 送╱領取股票及退款」一節。
Personal Data
Personal Information Collection Statement
3. Transfer of personal data
This Personal Information Collection Statement informs the applicant for, and holder of, Hong Kong Offer Shares, of the policies and practices of the Company and its Hong Kong Branch Share Registrar in relation to personal data and the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong) (the "Ordinance").
1. Reasons for the collection of your personal data
Personal data held by the Company and its Hong Kong Branch Share Registrar relating to the securities holders will be kept confidential but the Company and its Hong Kong Branch Share Registrar may, to the extent necessary for achieving any of the above purposes, disclose, obtain or transfer (whether within or outside Hong Kong) the personal data to, from or with any of the following:
* the Company's appointed agents such as financial advisers, receiving bank(s) and overseas principal share registrar;
* where applicants for securities request a deposit into CCASS, HKSCC or HKSCC Nominees, who will use the personal data for the purposes of operating CCASS; • any agents, contractors or third-party service providers who offer administrative, telecommunications, computer, payment or other services to the Company or the Hong Kong Branch Share Registrar in connection with their respective business operation; • the Stock Exchange, the SFC and any other statutory regulatory or governmental bodies or otherwise as required by laws, rules or regulations; and • any persons or institutions with which the securities' holders have or propose to have dealings, such as their bankers, solicitors, accountants or stockbrokers etc.
The Company and its Hong Kong Branch Share Registrar will keep the personal data of the applicants and holders of securities for as long as necessary to fulfil the purposes for which the personal data were collected. Personal data which is no longer required will be destroyed or dealt with in accordance with the Ordinance.
Retention of personal data
5. Access to and correction of personal data
* establishing benefit entitlements of securities' holders of the Company, such as dividends, rights issues, bonus issues, etc.;
Sample 2. Purposes The personal data of the securities holders may be used, held, processed, and/or stored (by whatever means) for the following purposes: · processing your application and refund cheque and e-Auto Refund payment instruction(s), where applicable, verification of compliance with the terms and application procedures set out in this Application Form and the Prospectus and announcing results of allocation of the Hong Kong Offer Shares; · compliance with applicable laws and regulations in Hong Kong and elsewhere; · registering new issues or transfers into or out of the names of securities' holders including, where applicable, HKSCC Nominees; · maintaining or updating the register of securities' holders of the Company; · verifying securities holders' identities;
* distributing communications from the Company and its subsidiaries;
* disclosing relevant information to facilitate claims on entitlements; and
* compiling statistical information and securities' holder profiles;
* any other incidental or associated purposes relating to the above and/or to enable the Company and the Hong Kong Branch Share Registrar to discharge their obligations to securities' holders and/or regulators and/or any other purposes to which the securities' holders may from time to time agree.
Securities holders have the right to ascertain whether the Company or the Hong Kong Branch Share Registrar hold their personal data, to obtain a copy of that data, and to correct any data that is inaccurate. The Company and the Hong Kong Branch Share Registrar have the right to charge a reasonable fee for the processing of such requests. All requests for access to data or correction of data should be addressed to us, at our registered address disclosed in the "Corporate Information" section of the Prospectus or as notified from time to time, for the attention of the company secretary, or the Hong Kong Branch Share Registrar for the attention of the privacy compliance officer.
By signing an Application Form or by giving electronic application instructions to HKSCC, you agree to all of the above.
It is necessary for applicants and registered holders of securities to supply correct personal data to the Company or its agents and the Hong Kong Branch Share Registrar when applying for securities or transferring securities into or out of their names or in procuring the services of the Hong Kong Branch Share Registrar. Failure to supply the requested data may result in your application for securities being rejected, or in delay or the inability of the Company or its Hong Kong Branch Share Registrar to effect transfers or otherwise render their services. It may also prevent or delay registration or transfers of the Hong Kong Offer Shares which you have successfully applied for and/or the dispatch of share certificate(s) and/or refund cheque(s) and/or e-Auto Refund payment instruction(s) to which you are entitled. It is important that securities holders inform the Company and the Hong Kong Branch Share Registrar immediately of any inaccuracies in the personal data supplied.
如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份， 並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口持有人股 份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本申請表格
個人資料
3. 轉交個人資料
個人資料收集聲明
此項個人資料收集聲明是向香港發售股份的申 請人和持有人說明有關本公司及其香港股份過 戶登記分處有關個人資料和香港法例第486 章 《個人資料（私隱）條例》 （「《條例》」）方面的政策 和慣例。
1. 收集 閣下個人資料的原因
證券申請人及登記持有人以本身名義申請 證券或轉讓或受讓證券時或尋求香港股份 過戶登記分處的服務時，必須向本公司或 其代理及香港股份過戶登記分處提供準確 個人資料。未能提供所要求的資料可能導 致 閣下申請證券被拒或延遲，或本公司 或其香港股份過戶登記分處無法進行落實 轉讓或提供服務。此舉也可能妨礙或延遲 登記或轉讓 閣下成功申請的香港發售股 份及╱或寄發 閣下應得的股票及╱或退 款支票及╱或電子自動退款指示。證券持 有人所提供的個人資料如有任何錯誤，須 立即通知本公司及香港股份過戶登記分處。
本公司及其香港股份過戶登記分處所持有 關證券持有人的個人資料將會保密，但本 公司及其香港股份過戶登記分處可以在為 作上述任何用途之必要情況下，向下列任 何人士披露、獲取或轉交（無論在香港境內 或境外）有關個人資料：
* 本公司委任的代理，例如財務顧問、收 款銀行和主要海外股份過戶登記處；
* 如證券申請人要求將證券存於中央結算 系統，則為香港結算或香港結算代理 人，彼等將會就中央結算系統的運作使 用有關個人資料；
證券持有人的個人資料可以任何方式被採 用、持有、處理及╱或保存，以作下列用
途：
* 編製統計數據和證券持有人資料；
Sample 2. 用途 · 處理 閣下的申請及退款支票及電子自 動退款指示（如適用）、核實是否符合 本申請表格及招股章程載列的條款和申 請程序以及公佈香港發售股份的分配結 果； · 遵守香港及其他地區的適用法律及法 規； · 以證券持有人（包括香港結算代理人（如 適用））的名義登記新發行證券或轉讓或 受讓證券； · 存置或更新本公司證券持有人的名冊； · 核實證券持有人的身份； · 確定本公司證券持有人的受益權利，例 如股息、供股和紅股等； · 分發本公司及其附屬公司的通訊；
* 披露有關資料以便就權益索償；及
* 與上述有關的任何其他附帶或相關用途 及╱或使本公司及香港股份過戶登記分 處能履行對證券持有人及╱或監管機構 承擔的責任及╱或證券持有人不時同意 的任何其他用途。
閣下簽署申請表格或向香港結算發出電子認購 指示，即表示同意上述各項。
樣版 · 向本公司或香港股份過戶登記分處提供 與其各自業務營運有關的行政、電訊、 電腦、付款或其他服務的任何代理人、 承包商或第三方服務供應商； · 聯交所、證監會及任何其他法定監管機 關或政府部門或遵照法例、規則或規例 的規定； 及 · 證券持有人與其進行或擬進行交易的任 何人或機構，例如彼等的銀行、律師、 會計師或股票經紀等。 4. 個人資料的保留
本公司及其香港股份過戶登記分處將按收 集個人資料所需的用途保留證券申請人及 持有人的個人資料。毋須保留的個人資料 將會根據條例銷毀或處理。
5. 查閱和更正個人資料
證券持有人有權確定本公司或香港股份過 戶登記分處是否持有其個人資料，並有權 索取有關該資料的副本並更正任何不準確 資料。本公司和香港股份過戶登記分處有 權就處理任何查閱資料的要求收取合理費 用。
所有查閱資料或更正資料的要求應按招股 章程「公司資料」一節所披露或不時通知的 本公司註冊地址送交公司秘書，或向本公 司的香港股份過戶登記分處的個人資料私 隱事務主任提出。
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Jill Singer
SUNY Buffalo State College
Daniel Weiler
Daniel Weiler Associates
A Longitudinal Student Outcomes Evaluation of the Buffalo State College Summer Undergraduate Research Program
The Program
Buffalo State College (Buffalo State) is the largest of the 13 colleges of arts and sciences in the SUNY (State University of New York) system. Its total enrollment is nearly 11,000, with an undergraduate enrollment of 9,139. Experiential pedagogies, including undergraduate research, are reflected across the undergraduate programs and Buffalo State College has placed increasing emphasis and resources on expanding undergraduate research opportunities for students in all academic disciplines. Our use of the term 'research' is broadly defined by the standard practices established within each academic discipline and includes scholarship and creative activities. It is assumed that the activity will produce original results and contribute to the body of knowledge and creative works within a discipline.
Coordinated campus-wide undergraduate research opportunities were introduced at Buffalo State more than ten years ago. In 2003, as part of the College's efforts to institutionalize undergraduate research, an Office of Undergraduate Research was established and a half-time director was appointed in order to better promote and expand opportunities for students to participate in undergraduate research. This office administers programs to support academic year and summer research, including travel support for students to present at conferences and juried art shows; supply and travel support for small projects; faculty development to support efforts to integrate research into a new or revised course; and an annual campus-wide celebration of research and creativity activities. The summer research program supports eight weeks of fulltime research, scholarly, and creative activities. Each award provides a student stipend of $2,500, a faculty stipend of $1,000, and $500 for travel and supplies to support the project. Since the inception of the summer research program, a total of 112 awards have been made. Program guidelines and a link to the online application for the summer research program can be found at http://www.buffalostate.edu/undergraduateresearch/x504.xml. All of the programs administered by the Office of Undergraduate Research are supported by Buffalo State funds, including a portion of overhead derived from external grants. Table 1 provides an overview of the Buffalo State undergraduate research programs.
Amelia Alessi, summer research student, assessed population diversity in Bald Eagle populations in the Northeastern United States. She traveled to Maine in order to help collect feathers from young eagles.
Buffalo State undertakes regular evaluation of all academic programs, including those programs administered by the Office of Undergraduate Research. The design of the evaluation effort is determined by the program and evaluation results are included as part of the program's annual report. Because the summer research program was one of the longest running programs (now entering its eleventh year) and accounts for nearly half of the annual operational budget of the Office of Undergraduate Research, it became the focus of our most recent evaluation efforts.
Background of the Evaluation
We were interested in developing a program evaluation that could provide a reliable assessment of the impact of our summer research program on the student participants. There have been many valuable studies of the effects of undergraduate research on participating students. These studies have identified many possible impacts of undergraduate research and have raised a number of important issues associated with this teaching pedagogy. Most of this work has relied on interviews
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Table 1: Buffalo State Undergraduate Research Programs
| Program | Description | Size of Award |
|---|---|---|
| Small Grants | Program assists students in carrying out research and creative activities during the academic year. The award is designed to help defray the cost of travel, supplies, and other materials necessary to conduct the project. | $400 |
| Undergraduate Travel | Program provides partial support for students to attend conferences. Eligibility requirements require that the student be the first author on the abstract or artist statement. As funds are available, faculty mentors may also receive travel support to accompany the student. | $400 Higher amounts for international travel |
| Integration of Undergraduate Research into the Curriculum | Program supports the development of new courses and/or the revision of existing courses to include a substantial undergraduate research component. Course can be at introductory or advanced level and designed for non-majors or majors. | $750-1000 |
| Summer Research | Program supports eight weeks of full-time research, scholarly and creative activities. | $4000 |
| Student Research and Creativity Celebration | Annual event provides students an opportunity to present their preliminary and completed research and creative activities. A variety of presentation formats are possible: theatrical and musical performances, gallery exhibits, posters, talks, and demonstrations. Individual, small group and class projects are eligible. | Not applicable |
with or surveys of student participants and/or faculty advisors who were asked to identify the benefits of the undergraduate research experience (see e.g., Merkel, 2001; Seymour, et al, 2004; Lopatto, 2004; Hunter, et al, 2007). Singer sought an evaluation that, while it might include survey and interview methods, also would go beyond such measures to develop a wider array of evidence bearing on program impact. Many undergraduate research programs, moreover, have focused largely on students in science, technology, engineering and mathematics (STEM) disciplines, whereas the Buffalo State program makes a point of also recruiting students from the arts and humanities, and Singer felt it important to develop measures that would capture the program's impact on these students as well as outcomes for STEM students.
Singer therefore contacted a consulting firm that specializes in the independent evaluation of educational programs (Weiler) whose work she was familiar with from other projects in which they had both been engaged, to discuss ideas for how such an evaluation might be designed and implemented. This article describes the objectives, design approach, protocols and procedures of the evaluation that emerged from that initiative.
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Evaluation Objectives
We agreed that an evaluation of the summer research program should have four purposes. The evaluation should: (1) obtain reliable assessments of the program's impact on participating students, based on a variety of measures; (2) provide information to participating students that clarifies what we hope they will learn and provides a mechanism to help them assess their academic strengths and weaknesses; (3) begin the creation of a longitudinal database that can provide data on the impact of undergraduate research on a range of outcomes for students from a variety of academic disciplines; and (4) serve as a model that could be adapted by other institutions to evaluate their own UR programs.
Design Approach
We decided to begin by creating a list of broad outcomes that faculty from a variety of disciplines wished to measure, together with language that would spell out in more concrete detail the specific elements of each outcome that should be w w w . c u r . o r g
measured. This initial product would serve as the basis for the drafting of an assessment instrument to be used by faculty mentors of students in the program. Accordingly, Singer organized and we both led a two-day meeting at Buffalo State in June 2006 of a faculty working group consisting of nine faculty members from eight different disciplines. The working group identified a wide range of student outcome categories of interest and drafted language that defined the specific outcome components of interest for each category. With this initial guidance from Buffalo State faculty, Weiler drafted a comprehensive evaluation design and we collaborated to refine and flesh out the draft outcome categories and components identified by the working group.
Evaluation Pilot Study
Our preliminary evaluation design included:
* a student survey designed to provide faculty mentors with information about participating students as they embarked on their summer research projects;
* preliminary student assessments made by faculty (using the outcome components described above), based on information from the student survey and initial student interviews;
* preliminary student self-assessments, using the same instrument employed by faculty;
* journals to be kept by both students and mentors, for faculty to record observations pertinent to their assessments, and for students to keep track of their progress and as a resource for discussions with their faculty mentors;
* mentor and student mid-point and final progress reports, including assessments and self-assessments, respectively;
* mentor and student group discussions, to probe in depth their perceptions of summer program strengths and weaknesses, benefits, recommendations for changes, etc.; and
* an alumni survey, to obtain retrospective student views on program strengths and weaknesses and perceived benefits.
We arranged to pilot test these evaluation components and instruments (except for the alumni survey) during the 2007 summer research program, using five pairs of students and faculty mentors from four different disciplines. The pilot included both experienced and new mentors, to ascertain whether academic discipline or degree of mentor experience made any difference to student and mentor views on the relevance and usefulness of each evaluation component and the ease of use of evaluation instruments. Following the pilot test, we held separate group discussions with the participating faculty and students. The discussions confirmed that both faculty and students found the evaluation instruments easy to use, while at the same time there was some concern that the multiplicity of required evaluation components was more burdensome than necessary and that some simplification of the instruments would be useful.
Revised Evaluation Components
With the input from the fall 2007 group discussions and important contributions from Carol Beckley, a faculty member in the Theater Department, we refined the evaluation for use across the entire 2008 summer research program. In our pilot effort, we had asked mentors and students to make broad outcome assessments on a four-point scale after reviewing language that specified the components of each outcome. For example, we asked for an assessment of student "creativity," and provided language that described four distinct characteristics of that outcome, (discussed below). Feedback from the faculty mentors pointed out the problems from assigning a single score to represent several components within a single outcome category. This often caused the mentor to either ignore a component or average the range; in either case, information was being lost. A second request from the focus group participants was for a greater range for the outcome scores (changing from a four-point to a five-point scale) and the addition of a 'not applicable' option. These changes were incorporated into the revised instruments used in the full-scale study conducted in the summer of 2008.
The evaluation, which we intend to use again during the summer programs of 2009 and beyond, has the following components. All of the instruments and guidelines described below can be found (as static versions) on a link from the Buffalo State Office of Undergraduate Research website http://www. buffalostate.edu/undergraduateresearch/x561.xml
1. Student survey. Students who are accepted to the program complete a survey designed to provide information about their motivation, knowledge and expectations, and their understanding of their academic strengths and weaknesses. The survey has two main purposes: (1) to provide faculty mentors with insights
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Table 2: Student Outcome Categories Assessed as Part of the Evaluation
into student knowledge and thought processes, as an aid to the mentors in completing preliminary student assessments; and (2) to provide students with a structured opportunity to explore their own goals, knowledge, and readiness for the program. (The mentor's copy of the survey instrument shows the relationship between each survey question and relevant student outcomes.)
2. Student intake interview. Faculty mentors conduct "intake interviews" (intended more as conversations than formal interviews) with the students they will be working with, in order to help the mentors learn enough about the students to formulate preliminary assessments. Mentors are encouraged to probe the students about their answers to the student survey and to ask additional questions if necessary. The mentors are provided by the evaluation with a list of candidate questions for this purpose, showing the relationship between each candidate question and relevant student outcomes.
3. Mentor's preliminary student assessment. Faculty mentors are provided with an assessment instrument that lists 11 outcome categories, including the specific components of interest for each category. For each outcome component, the mentors are asked to give their students a preliminary score on a five-point scale (the student always, usually, often, seldom or never displays the outcome of interest, unless the component is not applicable). In addition, given that mentors may not have equally rich or compelling information about their students across every outcome component listed, the mentors
Council on Undergraduate Research •
uarterly
Q
are asked to indicate, for each score, their level of confidence in the score (very, fairly, somewhat, not terribly, or not at all confident). Table 2 shows the student outcome categories employed for these assessments.
On the assessment instrument provided to the faculty mentors, each of these outcome categories includes a list of the specific outcome components that faculty are asked to assess using the five-point scale described above. For example, for the outcome category called "creativity," the components to be assessed are:
* brings new insight to the problem at hand;
* shows ability to approach problems from different perspectives;
* combines information in new ways and/or demonstrates intellectual resourcefulness; and
* effectively connects multiple ideas/approaches.
For the outcome category called "ability to deal with obstacles," the components to be assessed are:
* learns from and is not discouraged by set-backs and unforeseen events; and
* shows flexibility and a willingness to take risks and try again.
This pattern is followed on the assessment instrument for all 11 outcome categories. The instrument provides space for the faculty member to indicate his or her assessment score and confidence level, as well as space for indicating why an assessment score has changed between preliminary and later assessments (discussed below).
4. Mentor journals. Mentors are strongly encouraged, but not required, to maintain written records in the form of informal journals in which they record observations, analyses, comments, questions and conclusions that are relevant to the student outcomes they are being asked to assess.
5. Student preliminary self-assessment. Students in the program complete the same assessment instrument described above in Step 3.
6. Mentor-student meeting to compare assessments. Mentors and students meet in order to compare assessments and discuss the reasons for any differences. These discussions are intended to provide the mentors with information about the extent of their students' self-knowledge, provide the students
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with opportunities to obtain more realistic assessments of their strengths and weaknesses, and make program expectations explicit and transparent so that students can strive to excel on each outcome where they are being assessed. The discussions also give the students opportunities to bring new information to bear on their mentor's preliminary assessments.
7. Student journals. Students are strongly urged, but not required, to maintain a journal in which they can record their questions, concerns, ideas and observations at they conduct their summer research projects. They are provided by the evaluation with journal guidelines that include a list of candidate topic areas (ideas, hypotheses, observations, evidence, obstacles, etc.) to bear in mind as they proceed.
8. Mentor and student mid-project assessments. Approximately mid-way through the summer research projects, mentors and students repeat Steps 3 and 5 as part of their mid-project progress reports. The mentors and students both indicate, where appropriate, the main reasons for any change in their assessment/self-assessment scores since their preliminary assessments conducted at the outset of the program.
9. Mentor and student final assessments. At the completion of the summer research program, mentors and students repeat Steps 3 and 5 as part of their final reports. The mentors and students both indicate, where appropriate, the main reasons for any change in their assessment/self-assessment scores since the mid-project assessments that they conducted approximately half-way through the program.
10. Alumni survey. Students who have completed the summer research program in 2008 will be asked a year later (i.e., in the fall of 2009), to complete a brief survey soliciting assessments of their undergraduate research experience along various dimensions. An alumni survey will likewise be sent to the 2009 participants in the fall of 2010, and so on.
assessments. Mentors and students who maintain journals are also encouraged to do so in computer format. The evaluation instruments discussed above cover a wide range of potential student outcomes and should be readily adaptable to a variety of undergraduate research programs, both summer and academic year. Other institutions may wish to adapt these evaluation instruments to reflect the emphases of their own undergraduate research programs and the particular interests of their own faculty.
An analysis of the first round of data from the evaluation (from the 2008 summer research program at Buffalo State) is currently being conducted and will be reported in a future article and on the Buffalo State Office of Undergraduate Research web site. The analysis report will include a comparison group study that was not part of the evaluation design but is being conducted independently by another member of the Buffalo State faculty.
Concluding Remarks
Our efforts to determine the impact of the summer research program are ongoing. Initial feedback from the faculty and students who participated in the summer 2008 program included a suggestion to reduce the number of assessment surveys (perhaps by replacing the mid-summer survey with a shorter version). Both mentors and students found the initial interview helpful, particularly when the student and mentor had limited prior interactions. They also reported that mentorstudent conversations after completion of the assessment surveys facilitated the sharing of ideas and a review of student progress. The students especially liked learning more about how they were doing.
The instruments described above – mentor and student outcomes assessments, student survey, alumni survey – are all designed to be completed on a website accessed by authorized users, with the resulting data flowing automatically to a database maintained by a Buffalo State-based evaluator responsible for the data analysis. The web-based format permits "unlimited" comments to be entered by mentors and students in providing explanations for differences in assessment scores between the preliminary, mid-project and final
The evaluation also may provide an opportunity to shed some light on a long-standing methodological debate. In all student self-reports, whether they are part of local or national surveys or end-of-course evaluations at a school, the chronic criticism is that students cannot be trusted to make good selfassessments. Our evaluation at Buffalo State could provide an opportunity to test the validity of student self-assessments by studying the concordance or discordance between student and mentor assessments. If student self-reports become more credible with each round of evaluation, we might hypothesize that our evaluation has cultivated "metacognition" in students. 1
1 The authors are indebted for this point to David Lopatto, Samuel R. and Marie-Louise Rosenthal Professor of Natural Science and Mathematics, Psychology Department, Grinnell College
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Acknowledgements
The authors thank Connie and Gabe Della-Piana (evaluation consultants) for their suggestions and feedback, especially during the early stages of this project. Professor Carol Beckley provided valuable feedback following the pilot evaluation effort. We thank the faculty who participated in the summer 2006 workshop and the students and faculty mentors from the summer 2008 summer research program. Special thanks go to the students and faculty mentors who participated in the summer 2007 pilot effort; their feedback and participation in the focus groups helped us revise and improve the instruments. Jill Singer acknowledges the ongoing support for this program from Buffalo State, and in particular, Ted Turkle, Director of the Research Foundation and Dennis Ponton, Provost and Vice President for Academic Affairs.
References
Hunter AB, Laursen S, and Seymour E. Becoming a scientist: The role of undergraduate research in students' cognitive, personal, and professional development. Sci Educ. 2007;91:3674.
Lopatto D. Survey of Undergraduate Research Experiences (SURE): First findings. Cell Biol Educ. 2004;3:270-277.
Merkel CA. Undergraduate Research at Six Research Universities: A Pilot Study for the Association of American Universities. Pasadena, CA: California Institute of Technology; 2001.
Seymour E, Hunter AB, Laursen S and DeAntoni T. Establishing the benefits of research experiences for undergraduates: First findings from a three-year study. Sci Educ. 2004;88:495-594.
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Jill Singer
SUNY Buffalo State College 1300 Elmwood Avenue Buffalo, NY 14222 email@example.com
Jill Singer is a professor of geology in the Earth Sciences Department at SUNY Buffalo State. She also is the director of the Buffalo State Office of Undergraduate Research. She is a Principal Investigator on CUR's NSF-CCLI award that supported eight regional workshops and related follow-up activities designed to help institutions implement or advance undergraduate research programs on their campuses. Jill's research interests focus on sediment transport and the interactions between the river flow and Lake Erie seiches and how these processes inform decisions about restoring the environmental integrity of the Buffalo River.
Daniel Weiler 1149 Amador Avenue Berkeley, CA 94707 firstname.lastname@example.org
Daniel Weiler has broad experience in the evaluation of education programs and projects at all levels. Daniel Weiler Associates (DWA) is his private consulting firm located in Berkeley, California. DWA has conducted independent evaluations of two National Centers supported by the NSF's Advanced Technological Education (ATE) Program: The Marine Advanced Technology Education Center (MATE) in Monterey and the Advanced Technological Education Center for Biotechnology (Bio-Link) in San Francisco. DWA is also the independent evaluator for three NSF-funded three-year Projects, including CUR's NSF-CCLI project.
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प्रभातम्
॥श्रीमङ्गलाम्बिकास ॥
प्रभातम्
ॐ
मेलक्कावेरि अथवाकुम्भघोण क्षेत्रे परमहंस-परिव्राजकाचा श्रीश्रीश्री-पञ्चापगेश-ब्रह्मेन्द्र-सरस्वती-श्रीपादैःविरचि श्रीमङ्गलाम्बिकास ु
Shri Mangalambika Suprabhatam by Melakkaveri Kumbakonam Sri Sri Sri Panchapagesa Brahmendra Saraswathi Sripada
Translation by P.R.Kannan, Navi Mumbai
ना
श्रीमेना-सुप्रजा देवि पूर्वा सन्ध्या प्रवर्तते । उत्तिष्ठ शिवकान्ते त् व कर्तव्यं दैवमाह्नि क म् ॥१॥
Devi, born as the daughter of Sri Mena (wife of Himavan)! it is dawn in the east. Please get up, o consort of Shiva, the daily duties await you. 1
ोतिष्ठ
उत्तिष्ठोतिष्ठ मातङ् उत्तिष्ठ वृषभध्वजे । उत्तिष्ठ कमलापूज् त्रैलोक्यंमङ्गलं कुरु ॥२॥
O Matangi! get up, get up. O Devi with banner of bull! Devi worshipped by Lakshmi! Get up. Render the three worlds auspicious. 2
गतां
मातस्समस्तजगतां मदनान्तकार अङ्गे विहारिणिमनोहर-दिव्यमूर्ते । श्रीस्वामिनि श्रितजन-प्रियदानशी श्रीकुम्भनाथदयिते तवसुप्रभा त म् ॥३॥
ु प्रभातम्
Mother! Devi who sports with Shiva, the destroyer of Manmatha! Glorious mistress, whose nature is granting desires of those surrendering to you, consort of Sri Kumbhanatha, may the dawn be auspicious to you. 3
म्
तवसुप्रभा अरविन्दलोच भवतुप्रसन्नमुख-चन्द्रमण्डले । विधिमाधवेन्द्र-वनिताभिरर्चित श्रीकुम्भनाथदयिते दयानिधे॥४॥
Devi with lotus-like eyes and pleasing moon-like face, worshipped by the consorts of Brahma, Vishnu and Indra, O consort of Sri Kumbhanatha, may the dawn be auspicious to you. 4
्जभव
ति
श्रीमाधवाब्जभव-षण्मुख-वासवाद् दुर्गाम्बिकादि-चरितंविबुधाःपठन्ति । भाषापतिःपठतिवासरशुद्ध ि म् आरात श्रीमङ्गलाम्ब महितेतवसुप्रभा त म् ॥५॥
Mangalamba, the glorious Devi! Devas like Vishnu, Brahma, Subrahmanya and Indra are reading the stories of Durgambika and other manifestations of yours. Brihaspati, the Lord of speech, is also nearby, reading the planetary position of the day from the Panchangam. May the dawn be auspicious to you. 5
मे
या
तन्त्रीप्रकर्ष-मधुरस्वनया विपञ् गायत्युमे सुचरितंतवनारदोपि। भाषा-समग् र म् असकृत ् करचार-रम् श्रीमङ्गलाम्ब महितेतवसुप्रभा त म् ॥६॥
Mangalamba, the glorious Devi! Uma! Narada is also here, singing in the melodious tones of his Vina the stories of yours and
sanskritdocuments.org
प्रभातम्
waving his hand nicely and enjoying and expressing himself in beautiful language. May the dawn be auspicious to you. 6
श्रीमत्यभीष्ट-वरदेनतलोकबन् श्रीमङ्गलाम्ब जगदेक-दयैकसिन्धो । श्रीकुम्भनाथ-भसिताङ्कित-दिव्यमू श्रीमन्त्रपीठनिलये तवसुप्रभा त म् ॥७॥
Mangalambike, who gives boons granting all desires! Well-wisher of those who worship you! You are the unique ocean of compassion for the world. O Devi of divine form with Vibhuti from Sri Kumbhanatha smeared all over, and residing in Sri Mantrapitha, may the dawn be auspicious to you. 7
म त्
श्री-कवेरतनुजाप्लव-निर्मलाङ् श्रेयोर्थिनो हरि-विरिञ्चि-सनन्दनाद्याः । द्वारे वसन्ति शुभदर्शन-काङ्क्षया ते श्रीमङ्गलाम्ब महितेतवसुप्रभा त म् ॥८॥
Mangalamba, the glorious Devi! Vishnu, Brahma, Sanandana and others, having bathed in the sacred Kaveri river and purifie themselves, and aspiring for the Supreme good, are waiting at the entrance eagerly for your darshan. May the dawn be auspicious to you. 8
र्प
दर
कन्दर्प -दर्पहर-सुन्दर-दिव्यमू श्रीकुम्भनाथ-सुमुखाम्बुज-लोलदृष्टे । कल्याण-निर्मल-गुणाकर-दिव्यमू श्रीमङ्गलाम्ब महितेतवसुप्रभा त म् ॥९॥
Mangalamba, the glorious Devi! Your divine form robs Manmatha's conceit of beauty; your rolling eyes happily look at the lotus face of Sri Kumbhanatha. You are the repository of all pure and auspicious qualities. May the dawn be auspicious mangalAmbikAsuprabhAtam.pdf
to you. 9
ति
भास्वानुदेति विकचानिसरोरुहाण सम्पूरयन्ति निनदैःककुभोविहङ्गाः । श्रीमङ्गलाम्ब-चरणार्चनयाऽतिहृष तामाश्रयन्ति गिरिजेतवसुप्रभा त म् ॥१०॥
The Sun is rising; the lotuses have blossomed; the birds' twittering sounds fil the atmosphere. Devotees delighted at the prospect of worshipping at the feet of Sri Mangalamba have arrived at your abode. Girija! May the dawn be auspicious to you. 10
ठनिलये
श्रीमन्त्रपीठनिलये ललितेदयार् श्रीकुम्भघोण-नगरीकृत-सन्निधाने । श्रीकुम्भनाथमहिषि श्रितभक्ति श्रीमङ्गलाम्ब तवमङ्गल-सुप्रभा त म् ॥११॥
Mangalamba! You reside in Sri Mantrapitha; you are soft, gentle and full of ('wet with') compassion. You have made the city of Kumbhakonam as your residence. O consort of Sri Kumbhanatha!
Devotees take refuge in you. May the dawn be auspicious to you. 11
षि
षि
कामाक्षि रक्तशतपत्र-दलायताक् मीनाक्षि बालहरिणाक्षि दयापराक्षि । नीलोत्पलाक्षि निटिलाक्षि सुविस्तृता श्रीमङ्गलाम्ब तवमङ्गल सुप्रभा त म् ॥१२॥
O Kamakshi! Your eyes are like red lotus, beautiful like fish like a young deer's eyes; your eyes are full of compassion; they appear sometimes like blue lotus; you have an eye in the forehead; your eyes are beautifully wide. Sri Mangalamba, may the dawn be auspicious to you. 12
sanskritdocuments.org
प्रभातम्
प्रभातम्
(Sloka 13 is not available in correct form.)
ार
नानाप्रकार-नवरत्न-किरीट-शोभा भास् व त् -शिरोशशिकलाञ्च समीक्ष्य मन्ये । नक्षत्र-मण्डलमुमे सहशीतरश्म पात्युत्तमाङ् ग मभितस् तवसुप्रभा त म् ॥१४॥
Devi, looking at the brilliance of your diadem studded with many types of valuable gems and the radiant crescent moon on your head, I consider, O Uma, that the entire zone of stars with the cool-rayed moon is spread on all sides of over your head. May the dawn be auspicious to you. 14
ित
्ध
ति
उद्यान-पाल-कर-सञ्चित-दिव्य-गन्धपुष्पाणि सन्ति पदपङ्कज-पूजनाय। शाक्ताश्च सह्यगिरिजात-जलावगाहाः सिद्धाः महेशदयितेतवसुप्रभा त म् ॥१५॥
O consort of Maheswara! Shakti worshippers and Siddhas and others who have bathed in Kaveri, originating in Sahyagiri, have collected flower of divine fragrance from the gardens for worshipping at your lotus feet. May the dawn be auspicious to you. 15
षु
टे
सर्वेषु जन्तुषु महाप्रलये विनष्टे- -ष्वन्तर्हितेषु विधिविष्णुमुखामरेषु । कुम्भ-श्रित-त्रिजगती-करणाङ्कुर शम्भुर्यद्अस्ति महिमातवसुप्रभा त म् ॥१६॥
Devi! When during the Great Dissolution all beings are dissolved and Devas including Brahma and Vishnu vanish, if Shiva is present holding the pot with sprouts for creating the three worlds again, it is indeed your greatness. May the dawn be auspicious to you. 16
आच्छादिते सुमनोहर -गन्धपुष
षु
तं
ु प्रभातम्
अङ्गेषु सत्सु निखिलेष्वतिरोहितं ते। पश्यामि शिष्टमधुना करुणाकटाक श्रीमङ्गलाम्ब तवमङ्गल-सुप्रभा त म् ॥१७॥
Mangalamba! When your limbs are all covered with flower of captivating beauty and fragrance, one part remains visible; and that is your sidelong glance. May the dawn be auspicious to you. 17
नु
वयाब्दम्
आयान्ति भारत-तलान्ननु कोण-कोणात सिंहंगतेसुरगुरौप्रतिषड्द ् वयाब्दम् । स्नातुं महामखमितिप्रतिथे सुतीर् यत्र स्थिता सकलपुण्यसरि त ् प्रभा त म् ॥१८॥
Mangalamba! When Guru enters Simha Rasi once in every twelve years, devotees come from various nooks and corners of Bharatadesa for taking holy bath in the celebrated and sacred Mahamagha tirtha, where all sacred rivers join. May the dawn be auspicious to you. 18
श्रीशार्ङ्गपाणिरिहपादपु कोदण्डपाणिर् -उभयोर् -अथचक्रपाणिः । तेपार्श्वयोः निवसतस्तव पृष्ठभा श्रीस्वामिनाथगुरुराट्तवसुप्रभा त म् ॥१९॥
Mangalamba! Sri Sarngapani has his abode in front of you. Sri Kodandapani and Sri Chakrapani reside on both sides of yours. On your back is Swaminatha (Subrahmanya), the king among Gurus. May
the dawn be auspicious to you. 19
तौ
मम्ब
आकुञ्चि करतलावभयंवरंच भक्त दातुमपिवाञ्छित मातः। पाशाङ्कुशाङ्कयुतपाणि विरोधि - sanskritdocuments.org
प्रभातम्
शिक्षार उद्धृतमि तवसुप्रभा ॥२०॥
थम्
त म्
Mangalamba! Mother! You show Abhayamudra (freedom from fear)
and Varamudra (boon) in your two bent hands for granting the desires of devotees. You hold in your top two hands the rope and goad for punishing and correcting the deviant people. May the dawn be auspicious to you. 20
के
कल्याणि कल्पलति के कलमन्दभा कर्पूरविद्ध-कनकाभरणेकवीशे। कष्टे भवेपरिसरन ् कलयेहृदि त्व मामुद्धराम्ब तवमङ्गल सुप्रभा त म् ॥२१॥
Mangalamba! Mother! Auspicious Devi! Wish-fulfillin Kalpaka creeper! Your speech is sweet and gentle. The golden ornaments decorate your form fragrant with camphor. You are the omniscient mistress. As miseries surround me in this Samsara, I meditate on you in my heart. Please emancipate me. May the dawn be auspicious to you. 21
वर्ग
णि
सृष्टिस्थितिप्रलय-साक्षिणि विश्वमा स्वर्गापवर्ग-फलदायिनिशम्भुकान्ते । श्रुत्यन्त-केलिनिविपक्ष-कठोरवज् भद्रे प्रसन्नहृदये तवसुप्रभा त म् ॥२२॥
Mangalamba! Mother of Universe! You are the witness of creation, preservation and destruction of the universe. O consort of Shiva! You grant the fruits of Swarga and Moksha. You sport in the metaphysics of Vedanta. You are the hard Vajrayudha (weapon) for your enemies. O Auspicious Devi of blissful heart! May the dawn be auspicious to you. 22
ू पम्
ं
िर
री
प्रभातम्
मातःस्वर अनिशंहृदि पश्यतां ते कोवानसिध्यति मनश्चिर-काङ्क्षितार्थः । सिध्यन्ति हन्त धरणी-धन-धान्य-धामश्री-धेनु -धैर्य-धृतयःसकलाःपुमर्थाः ॥२३॥
Mangalamba! Mother! Who among those, who have the vision of your form in their hearts always, does not attain his long-cherished desire? All Purusharthas (aims of life) including land, wealth, food, residence, glory, cattle, courage, steadiness etc. are attained by them. 23
श्री मङ्गलाम्बिका प्रपत्ति Shri Mangalambika Prapatti
्भ
ईशानांजगतोस्य कुम्भ-सुपतेःशम्भोः परांप्रेय तद्वामस्थल-नित्यवासरसिकां तत्क्षान्ति-संवर्धिनी म ् । कीरालङ्कृत-पाणिपल्लवयुतां सिंहासनस्थां सती वात्सल्यादि-गुणोज्ज्वलां भगवतीं वन्दे जगन्मात र म् ॥१॥
I bow to the Mother of the Universe, the Iswari of the Universe, the Supreme beloved of Sri Shiva, Kumbheswara; who enjoys her eternal presence on the left side of Shiva; who augments his forgiveness; whose hand, gentle like a sprout, is decorated by a parrot; who is seated on a throne; who is Bhagavati, radiant with qualities like love for we children etc. 1
्
सप्रेमभीति पुरभित-करपल्लवाभ संवाहनेपिसपदिक्ल म म् आददानौ। कान्तौ अवाङ्मनस-गोचरसौकुमार् श्रीमङ्गलाम्बचरणौ शरणंप्रपद्ये ॥२॥
I take refuge in the feet of Sri Mangalamba, which, though held with love and apprehension by Shiva, the destroyer of three cities, cause fatigue at once to him; the feet, charming and sanskritdocuments.org
प्रभातम्
tender beyond the ken of speech and mind. 2
नगरे
म्
मन्मूर्ध्नि साधु-निवहेविकटाटवीषु श्रीकुम्भघोणनगरे शिरसिश्रुतीन ा म् । चित्तेऽप्यनन्य-मनसांसमम ् आहितौते श्रीमङ्गलाम्ब चरणौशरणंप्रपद्ये ॥३॥
I take refuge in the feet of Sri Mangalamba, which are placed equally on: my head, the group of virtuous people, terrible forests, the city of Kumbhakonam, the Upanishads (the pinnacle of Vedas) and the minds of those with concentrated meditation. 3
तु
रत्नानि नामननुभान्तु किरीटमध् वक्षःस्थले चवसताद्बृहद्इन्द्र न ीलम् । काञ्ची तवाङ् ग म् अभितःसहकिङ्किणीभ तैःकिंसुवर्णचरणौ शरणंप्रपद्ये ॥४॥
Let gems shine in the diadem; let the large sapphire radiate in the chest zone; let the girdle with jingling bells glow in your waist. What about them; I take refuge in the golden feet of Sri Mangalamba. 4
पि
अङ्गादपि स्तनतटादपि सस्मितास संवर्धितार्भक-कुतूहल-हास-लौल्य ा त् । श्रेष्ठौ शिवेभवभयस्य विमोचकत्व ा श्रेष्ठात्मवन्द्य-चरणौशरणंप्रपद्ये ॥५॥
O Consort of Shiva! Your feet are superior to your limbs, the bosom, face with charming smile and the passion to make the devotee increasingly ecstatic and smiling like a child. The feet are superior because they relieve me of the fear of samsara (repeated births and deaths). I take refuge in those superior feet, worthy of worship. 5
्य
्यम्
ग म्
ोऽपि
प्रभातम्
माहात् अम्ब निखिलाङ् अवेक्ष्य लोके पादस्य तेभवतिनूनमहोविचित् र म् । पादस्तवाल्पपरिमाणयुतोऽपि तस
पादत्वमेव हिमिषं, शरणंप्रपद्ये ॥६॥
Compared to all the other parts of the body, in the world the greatness is known to be with the feet! Isn't this surprising! The feet which are so small! Nevertheless, the very speciality of the feet is such! So I take refuge in the feet. 6
(Sloka 7 is not available in correct form.)
ति
दूरिकृतार्ति-दुरितौ क्षपिताधिपी मोक्षप्रदौ सकलमङ्गल-हेतुभूतौ। रम्यौ अलक्तकरसेन विनैवरक् मातस्त्वदीयचरणौ शरणंप्रपद्ये ॥८॥
Mother! Your feet drive away miseries and enfeebling affliction they grant Moksha and all auspiciousness. They are enchantingly red-coloured (with love) even without the red lac coating. I take refuge in your feet, Sri Mangalamba. 8
मिनी
यत्पद्मिनी तवपदेतपनप्रका सौगन्ध्य-मन्दगति-शीतलताम ् अवेक्ष्य । निःश्वास-गर्व म ् अपहायनिमीलिताक् जातातद्अम्ब चरणौशरणंप्रपद्ये ॥९॥
Mother! Lakshmi, on seeing the sweet fragrance, the gentle gait and coolness of your feet even in bright Sun, drove away her sigh of conceit and closed her eyes. I take refuge in those feet of yours, Sri Mangalamba. 9
क
म त्
म्
्
तः
गन्धैर् -अलर्क-विविधाभरणैश्च पुष्प आच्छाद्य तोषम ् उपयान्तु तनुंमहान्तः । अस् म त् -प्रयोज न म् उमेकरुणाब्धि-पद्भ तावेवमातृचरणौशरणंप्रपद्ये ॥१०॥
sanskritdocuments.org
॥श्रीमङ्गलामबिकास ॥
ु प्रभातम्
Let great men feel satisfied by covering their bodies with fragrances, various ornaments, flowers etc. O Uma, our interest lies in your feet, the ocean of compassion. O Mother! I take refuge in your feet. 10
ति
ित
द्यौ
नानाविध-श्रुति-विबोधित-यज्ञकर्तृगोविन्द-दीक्षित-महामति-मन्त्रि-वन्द्यौ । हेमङ्गलाम्ब शुभमङ्गल-दायकौते साष्टा ङ ्गम् अद्य चरणौशरणंप्रपद्ये ॥११॥
Mangalamba, your feet were worshipped by the great master and minister, Sri Govinda Dikshitar, who performed many yagnas taught in Vedas. Your feet ever grant supreme auspiciousness. I prostrate and take refuge in your feet. 11
्वरस्य
ुम
मे
कुम्भेश्वरस्य गृहिणिश्रित-कुम्भघो हारिद्र-कुङ्कुम-समर्चित-पादपद्मे । श्रीमन्त्रपीठनिलये सदयेश्रिते श्रीमङ्गलाम्ब चरणौशरणंप्रपद्ये ॥१२॥
Mangalamba, you are the consort of Sri Kumbheswara and reside in Kumbakonam. Your lotus feet are worshipped devotedly with turmeric and Kumkum. O Devi residing in Sri Mantrapitha, you are compassionate to those who surrender to you. I take refuge in your feet. 12
पि
ईशोऽपिविस्मित-हत-त्रिपुरासुरोऽ चक्रायुधोऽपि मधुकैटभनाशकोऽपि। शक्तौ नयस्य हननेमहिषासुरस नाशेनयद्भवति मङ्गलमस्तु मातः॥१३॥
Shiva, the vanquisher of Tripurasura by mere smile, as well as Vishnu, the destroyer of Madhu and Kaitabha with Chakra, were incapable of killing Mahishasura, whose destruction at your hands brought about auspiciousness. May that auspiciousness mangalAmbikAsuprabhAtam.pdf
ever be with us, o Mother. 13
भघोण
श्रीकुम्भघोण-नगराम्बुधि-चन्द्र श्रीकुम्भनाथ-हृदयाम्बुज-भानुकान्तौ । श्रीचक्रराज-महितौमहनीयभूषौ श्रीमङ्गलाम्ब चरणौशरणंप्रपद्ये ॥१४॥
Mangalamba, your feet are the moon-stones for the ocean of the city of Kumbakonam. They are the sun-stones for the heart lotus of Sri Kumbhanatha. They are glorifie by Sri Chakraraja, and are the ornament of great personalities. I take refuge in your feet, Sri Mangalamba. 14
् भवत्
ौ
प्रादुर-तरणिबिम्ब-शतारुणौ ते पर्याप्त-शीतकिरणायुत-कोमलौच। शृङ्गारसार-परिवाहमयौचमातः श्रीमङ्गलाम्ब चरणौशरणंप्रपद्ये ॥१५॥
Mangalamba, your feet, red like the rising Sun, are gentle with thousands of very cool rays. They carry the essence of beauty and love. Mother, I take refuge in your feet. 15
ामङ्गलम्
मणिद्वीप-विरक्तायै सह्यकन्या-सरित्तटे । शिवेनरममाणायैमङ्गलायै सुमङ्ग ल म् ॥१॥
श्रीमङ्गलाम्बि Shri Mangalambika Mangalam
ल म्
May all auspiciousness be with Sri Mangalambika, who left Manidvipa and took residence on the banks of river Kaveri (daughter of Sahyadri), where she sports with Shiva. 1
शङ्करार्द्धाङ्ग-सौन्दर्य-शरीरायैसदात्मने । शिवाकार-महामञ्च-निलयायैसुमङ्ग ल म् ॥२॥
May all auspiciousness be with Sri Mangalambika, who occupies the left half of Shiva's form, who is beautiful and eternal, sanskritdocuments.org
ु प्रभातम्
प्रभातम्
and who has her abode on the glorious couch enshrining Shiva's form. 2
महिषासुर -दोर्वी -निग्रहा महात्म । महनीय -गुणाढ्या मङ्गला सुमङ्ग ॥३॥
यै
यै
ल म्
May all auspiciousness be with Sri Mangalambika, who vanquished the mighty arms of Mahishasura, who is the all-pervasive Power, rich with all great qualities. 3
सत्त्व
चिदग्निकु -सम्भ -सुदेहायैचिदात्म । शुद्ध -स्वरूप मङ्गला सुमङ्ग ॥४॥
ण्ड
ने
यै
म्
May all auspiciousness be with Sri Mangalambika, who took a
form from the altar of fir of Consciousness, who is of the very form of Consciousness, and Pure Nature. 4
सर्वाधिष् -रूपाय सच्चिदानन्दमू । -
ठान
र्तये
सर्ववे प्रकाश्य मङ्गला सुमङ्ग ॥५॥
ायै
ल म्
May all auspiciousness be with Sri Mangalambika, who is the substratum of everything, who is of the form of Existence (eternal), Consciousness and Bliss, who is brought to focus by all Vedas. 5
महेश् -महाकल -महाताण्ड -साक्षि ।
वर
व
महाकुम्भेशमहि मङ्गलाम् मङ्ग ॥६॥
षि
ल म्
May Sri Mangalambika Herself be of the form of Auspiciouisness, who is the witness of the great Tandava dance of Sri Maheswara at the time of the Great Dissolution, and who is the consort of Sri Kumbheswara. 6
कामकोटि-सुपीठस्थैः कामजेतृ-स्वरूपिभिः । चन्द्रशेखर-योगीन्द्रैः सत्कृतायै सुमङ्ग ल म् ॥७॥
॥श्रीमङ्गलामबिकास ॥
ु प्रभातम्
May all auspiciousness be with Sri Mangalambika, who was worshipped by Shankaracharya of Kamakoti Peetham, Sri Chandrasekharendra Saraswathi, who has conquered Desire (and other Acharyas of the Peetham). 7
मङ्गलाशासनपर महामहिमशालिभिः। सुब्रह्मण -शाक्त सम्पूज् सुमङ्ग ॥८॥
ैः
यायै
म्
May all auspiciousness be with Sri Mangalambika, who has been worshipped by Sri Subrahmanya and other followers of Shakti Cult, whose glory is lofty, and who have prayed for auspiciousness of the Devi. 8
OM tat sat
As mentioned above, the missing two verses 13 and 7 could not be retrieved correctly from the Tamil transcript even by Sri Kumbakonam Swamigal and another great Samskrit scholar.
Encoded, proofread, and translated by P. R. Kannan prkannanvashi at yahoo.com
.. shrI mangalAmbikAsuprabhAtam ..
Searchable pdf was typeset using XeTeXgenerateactualtext feature of XƎL A TEX 0.99996
on August 20, 2017
Please send corrections to firstname.lastname@example.org
sanskritdocuments.org
|
Widening the Horizons of Surveillance
Lateral Surveillance Mechanisms: Issues & Challenges
8 January 2021*
By : Mira Swaminathan & Shubhika Saluja
Edited by : Arindrajit Basu, Aayush Rathi, Shweta Mohandas.
The Centre for Internet and Society, India
* The research was submitted for review in May 2020 and accepted for publication in June 2020.
Acknowledgements
We thank Amber Sinha for his advice and insights into the research and the final paper. We thank Shweta Reddy and Torsha Sarkar for the endless discussions and believing that this paper will be published one day.
Table of Contents
Background
Neighbourhood watch arrangements are peer to peer surveillance practices aimed at countering criminal activities in the local area. These arrangements have been used to tackle 1 changes in the urban environment, and can be seen as a shift from traditional policing to community policing. Though these neighbourhood watch schemes originated in the United 2 States due to increased crime rates, in India, these arrangements grew in light of the heavily understaffed and under-resourced police force. According to the Bureau of Police Research 3 and Development, India's police to population ratio is 198 per lakh of population. Further, 4 larger cities have increased incidents of crime which may be attributed to urban anonymity. National Crime Record Bureau statistics for the year 2018 showed an increase of 10% over 2017 in the cognizable crimes registered in 19 metropolitan cities. 5
Since the outbreak of the pandemic, several authorities in India have launched neighbourhood watch arrangements to shore up security while reducing alienation of individuals from society. While these new initiatives are a positive step undertaken by the 6 law enforcement agencies in good faith, they raise concerns about the normalization of a culture of surveillance, especially due to the regulatory challenges around a range of issues including privacy and security concerns about the data collected through this initiative and the possible impacts on the freedom of expression.
1 Ball, K. (2018). Peers and prejudice :Neighbourhood Watch in Europe 1. In K. Ball & W. Webster (Eds.), Surveillance and Democracy in Europe. Routledge.
3 Janaagraha Centre for Citizenship and Democracy. Safe Neighbourhoods, Safe Cities: A Handbook on Neighbourhood Safety through Community Policing. h ttp://www.janaagraha.org/files/publications/Handbook-on-Community-Policing-2019.pdf .
2 Chan, J. (1997). Changing Police Culture: Policing in a Multicultural Society, 59-60. Cambridge, England: Cambridge University Press.
4 Bureau of Police Research & Development, Ministry of Home Affairs, Government of India. (2019) Data on Police Organisations in India ( As on January 1, 2019) . https://bprd.nic.in/WriteReadData/userfiles/file/202001301028101694907BPRDData2019-19forweb-2.p df . See also, Devulapalli,S. & Padmanabhan, V. (2019, June 19). India's police force among the world's weakest. Livemint.
https://www.livemint.com/news/india/india-s-police-force-among-the-world-s-weakest-15609253553 83.html ; Jha, R. (2019, October 31). An analysis of crime in India's largest urban agglomerations . Observer Research Foundation.
https://www.orfonline.org/expert-speak/an-analysis-of-crime-in-indias-largest-urban-agglomeration s-57166/
.
5 National Crime Records Bureau. (2018). Crime in India 2018. Ministry of Home Affairs, Government of India.
http://ncrb.gov.in/StatPublications/CII/CII2018/pdfs/Crime%20in%20India%202018%20-%20Volume% 201.pdf .
6 Swaminathan, M. & Saluja S. (2020, May 21). Essay: Watching Corona or Neighbours? - Introducing 'Lateral Surveillance' during COVID-19. Centre for Internet & Society. https://cis-india.org/internet-governance/blog/essay-watching-corona-or-neighbours-introducing-20 18lateral-surveillance2019-during-covid201919 .
Research Overview
Objective
Neighbourhood watch integrated with community engagement is emerging worldwide to target anti-social behavior and crime. Initially, started by law enforcement agencies on the 7 ground, it has been enabled by the use of surveillance technology, and facilitated often by private entities. Technology has further enabled easy access into the private lives of citizens, 8 either by their own volition or by the laws of the state or the practices of the society.
In India, the use of high powered technology by law enforcement agencies to surveil has raised concerns over privacy and data protection, especially due to the lack of a full-fledged privacy law. Privatization of the functions of law enforcement agencies, also warrants 9 invasion of privacy, especially in the times when surveillance technology is affordable and easily accessible by ordinary citizens as well, giving rise to a new form of surveillance, peer to peer or lateral.
The objective of this study is to analyse the working of the several lateral surveillance mechanisms backed by the state or private entities and their potential social and constitutional impacts. This paper provides doctrinal research on the legal issues involved in the working of different portals and applications dealing with neighbourhood watch and community policing. Be that as it may, the analysis has been made to understand the practical implications of the emerging technology and not in any way suggests that these issues will actually arise. The paper then recommends certain basic safeguards required to be adhered to by data collecting entities to ensure privacy and security of the data.
7 Yarwoord, R. (2012). Neighbourhood Watch. In Susan J. Smith, Marja Elsinga, Lorna Fox O' Mahony, Ong Seow Eng, Susan Wachter, Montserrat Pareja Eastaway (Eds.), International Encyclopedia of Housing and Home (Vol. 5, pp. 90–95), 90. Oxford: Elsevier. https://www.researchgate.net/publication/286654633_Neighbourhood_Watch . 8 Kelly, H. (2014, May 16). Hyperlocal apps help residents fight crime . CNN Business. https://edition.cnn.com/2014/05/14/tech/social-media/neighborhood-watch-apps-nextdoor/index.ht ml . 9 Centre for Internet and Society. Internet Privacy in India . https://cis-india.org/telecom/knowledge-repository-on-internet-access/internet-privacy-in-india .
Neighbourhood Watch: A form of Lateral Surveillance
1.1 Introduction to Lateral Surveillance
The concept of lateral surveillance is based on a novel application of the concept/technique of surveillance, i.e., the act of 'watching over'. The conventional understanding of the term, 10 surveillance, is its use in hierarchical sense, i.e. vertical relationship between the person watching and the person being watched, which is usually the State and its citizenry. Lateral 11 or social or peer to peer surveillance differs from typical surveillance. The power dynamic between the one watching and the one being watched is not structural or hierarchical but more decentralized and balanced; and the surveillance takes place between individuals themselves, without the involvement of any organizational entity. Lateral surveillance, as 12 described by Mark Andrejevic, is characterised by surveillance relationships that are mutual, with horizontal relationships between persons. He further describes it as "the use of 13 surveillance tools by individuals, rather than by agents of institutions public or private, to keep track of one another, covers (but is not limited to) three main categories: romantic interests, family, and friends or acquaintances." 14
Surveillance of any kind shows an imbalance of power between the person who surveils and the person being surveilled. Lateral surveillance, however, depicts a shift from the 15 hierarchical form of surveillance, i.e., state over citizen, to citizen over citizen wherein the
10 Surveillance . Online Etymology Dictionary. https://www.etymonline.com/word/surveillance .
11 Albrechtslund, A. (2008) Online Social Networking as Participatory Surveillance. First Monday PeerReviewed Journal on the Internet , 13(3), 1-10, 6. https://www.researchgate.net/publication/220166794_Online_Social_Networking_as_Participatory_Su rveillance .
12 Marwick, A. The Public Domain: Surveillance in Everyday Life. Surveillance & Society, 9(4) 378-393, 379, 382.
https://www.researchgate.net/publication/279673507_The_Public_Domain_Surveillance_in_Everyday_ Life .
13 Albrechtslund, A. Online Social Networking as Participatory Surveillance. Peer-Reviewed Journal on the Internet, 13(3), 1-10, 6.
https://www.researchgate.net/publication/220166794_Online_Social_Networking_as_Participatory_Su rveillance
citing
Andrejevic, M. (2005). The work of watching one another: Lateral surveillance, risk, and
governance.
Surveillance and
Society,
2 (4),
479–497, 494.
https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/3359/3322.
14
Andrejevic, M. (2005). The work of watching one another: Lateral surveillance, risk, and governance.
Surveillance and
Society
2
(4),
479–497,
488.
https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/3359/3322.
15 Wood, D. M., Ball, K., Lyon, D., Norris, C., & Raab, C. D. (2006). A Report on the Surveillance Society for the Information Commissioner by the Surveillance Studies Network , 2. https://ico.org.uk/media/about-the-ico/documents/1042390/surveillance-society-full-report-2006.pd f .
imbalance of power no longer exists. Informal watching of communities by their members 16 has been a part of the society, however, the same have become more organized in the form of neighbourhood watch programmes and made more intrusive through "the assemblage of surveillance mechanisms". 17
1.2 Forms of Lateral Surveillance: From Neighbourhood Watch Schemes to Mobile Applications
The origins of neighbourhood watch schemes may be attributed to the rise of community policing in the 1980s in the USA and UK. Neighbourhood watch initiatives encourage citizens 18 to take the responsibility of detecting and preventing crime through surveillance of their neighbourhoods. These neighbourhood watch schemes may originate in association with 19 local law enforcement agencies or independently by the citizens of the neighbourhood and 20 hence, are a kind of community policing. The assumption underlying these programs is that they reduce opportunities for crime through observation and reporting of suspicious activities to the police. Several campaigns have warned citizens to keep alert, look out for 21
16 Andrejevic, M. (2006). The Discipline of Watching: Detection, Risk, and Lateral Surveillance. Critical Studies in Media Communication, 23(5), 391-407, 405.
http://www.antoniocasella.eu/nume/Andrejevic_2006.pdf.
17 Haggerty, K. D. and Ericson, R. V. (2000). The Surveillant Assemblage. British Journal of Sociology, 51(4), 605–22.
https://www.uio.no/studier/emner/matnat/ifi/INF3700/v17/bakgrunnsnotat/the_surveillant_assembl age.pdf
.
18 Johnson, A. (2016). Neighborhood Watch: Invading the Community, Evading Constitutional Limits, University of Pennsylvania Journal of Law and Social Change , 18(5), 459-493, 462. https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?article=1194&context=jlasc . See also, Bureau of Justice Assistance. Neighbourhood Watch Manual, USAonWatch - National Neighborhood Watch Program . U.S. Department of Justice. 1-2. https://bja.ojp.gov/sites/g/files/xyckuh186/files/Publications/NSA_NW_Manual.pdf . ; Moores, C. (2017). Thatcher's troops? Neighbourhood Watch schemes and the search for 'ordinary' Thatcherism in 1980s Britain. Contemporary British History , 31(2), 230-255, 232. https://www.tandfonline.com/doi/pdf/10.1080/13619462.2017.1306203?needAccess=true .
19 Bullock, K. (2014). Neighbourhood Watch. In Citizens, Community and Crime Control. Crime Prevention and Security Management. London:Palgrave Macmillan, 125-145, 125. https://doi.org/10.1057/9781137269331_6 . See also, Finegan, S. (2013). Watching the Watchers: The Growing Privatization of Criminal Law Enforcement and the Need for Limits on Neighborhood, University of Massachusetts Law Review , 8(1), 88-134, 102. https://scholarship.law.umassd.edu/umlr/vol8/iss1/3/ .
20 Johnson, A. (2016). Neighborhood Watch: Invading the Community, Evading Constitutional Limits, University of Pennsylvania Journal of Law and Social Change , 18(5), 459-493, 462. https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?article=1194&context=jlasc .
21 Johnson, A. (2016). Neighborhood Watch: Invading the Community, Evading Constitutional Limits, University of Pennsylvania Journal of Law and Social Change , 18(5), 459-493, 462. https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?article=1194&context=jlasc . See also, Bennet, T.(1990). Evaluating Neighborhood Watch. Cambridge Studies in Criminology LXI . 31. UK: Gower.
suspicious or unusual behaviours, and appealed with slogans like 'if you see something, say 22 something' or 'be suspicious of anything unattended'. 23
Neighbourhood watch is said to have several benefits like reducing crime rates, improving the quality of life, building community pride and unity and enabling individuals to become the "extra 'eyes and ears' of law enforcement agencies". Watch programmes which were 24 implemented in the 1970s and 1980s in the USA were intended to mobilize the local residents 'to become reflexive with respect to risks for crime prevention', making them responsible for policing their own territories. Similarly, the new lateral surveillance technologies emphasize 25 on local knowledge of the citizens in association with policing authorities.
With rapidly evolving technology, monitoring of people and their behaviour has become easier and collection of information by a myriad of public and private institutions for the purposes of governance and engaging in public activities has become normal. Specifically 26 in the sphere of crime prevention, there has been a transition in the outlook from a 'punishing state' to a 'preventive state'. This trend has emerged post the terrorist attacks 27 which have led the states to focus more on prevention of major crimes in the society and
22 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 225. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
23 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 226. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
24 Bureau of Justice Assistance. Neighbourhood Watch Manual, USAonWatch - National Neighborhood Watch Program . U.S. Department of Justice. 3. https://bja.ojp.gov/sites/g/files/xyckuh186/files/Publications/NSA_NW_Manual.pdf .
25 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 227. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
26 Haggerty, K.D., & Gazso, A. (2005). Seeing beyond the Ruins: Surveillance as a Response to Terrorist Threats. Canadian Journal of Sociology , 30(2), 169-187, 172. https://www.researchgate.net/publication/236703045_Seeing_Beyond_the_Ruins_Surveillance_as_a_ Response_to_Terrorist_Threats .
27 Webster, W. ., Leleux, C., Sterbik-Lamina, J., Fischer, D., Cas, J., Peissl, W., Bonss, W., Hert, P.D., Clavell, G. G., Galetta, A., Fonio, C., Jones, R., Szekely, I., & Vissy, B. (2013). Social perspectives of surveillance and democracy. Project Report by IRISS - Increasing Resilience in Surveillance Societies, 11.
https://www.researchgate.net/publication/264217485_Social_perspectives_of_surveillance_and_demo cracy .
reduction of the harms caused, instead of simply bolstering the criminal justice system 28 that encourages deterrence. Thus, everything from introduction of CCTV cameras in public spaces to security check-ins are methods through which a 'preventive society' is being created. This pervasive, decentralised and uncoordinated regime of surveillance systems 29 has been termed as "surveillant assemblage" by Haggertty and Ericson. Further, the 30 arrangements of mutual watching where citizens' monitoring themselves and others through corporate channels of data flow, i.e., operated by private entities, fed back into state surveillance of citizens have come to be termed as "veillant panoptic assemblage." Due to 31 lack of coordination, such information collected from these sources can be used for different purposes that the ones they are collected for. 32
The contribution of the state in technologisation of lateral surveillance for the purposes of law enforcement and public engagement reaffirms the idea "that surveillance is driven by the desire to bring systems together, to combine practices and technologies and integrate them into a larger whole [...] with such combinations providing for exponential increases in the degree of surveillance capacity." Surveillance technologies have eased the participation 33 of citizens by arming them with mobile applications and other platforms which can help them watch over others to help law enforcement (public) or private entities gain knowledge 34 about individuals. Search engines like Google and social media networks such as Facebook
28 Webster, W. ., Leleux, C., Sterbik-Lamina, J., Fischer, D., Cas, J., Peissl, W., Bonss, W., Hert, P.D., Clavell, Social perspectives of surveillance and
G. G., Galetta, A., Fonio, C., Jones, R., Szekely, I., & Vissy, B. (2013). democracy . Project Report by IRISS - Increasing Resilience in Surveillance Societies, 11. https://www.researchgate.net/publication/264217485_Social_perspectives_of_surveillance_and_demo cracy .
29 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 224. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
30 Haggerty, K. D., & Ericson, R. V. (2000). The Surveillant Assemblage. British Journal of Sociology , 51(4), 605–22.
https://www.uio.no/studier/emner/matnat/ifi/INF3700/v17/bakgrunnsnotat/the_surveillant_assembl age.pdf .
31 Bakir, V. (2015). "Veillant Panoptic Assemblage": Mutual Watching and Resistance to Mass Surveillance after Snowden. Media and Communication, 3(3), 12-25, 13. https://www.researchgate.net/publication/283537059_Veillant_Panoptic_Assemblage_Mutual_Watchin g_and_Resistance_to_Mass_Surveillance_after_Snowden .
32 Haggerty, K.D., & Gazso, A. (2005). Seeing beyond the Ruins: Surveillance as a Response to Terrorist Threats. Canadian Journal of Sociology , 30(2), 169-187, 172. https://www.researchgate.net/publication/236703045_Seeing_Beyond_the_Ruins_Surveillance_as_a_ Response_to_Terrorist_Threats . 33 Haggerty, K. D. and Ericson, R. V. (2000). The Surveillant Assemblage. British Journal of
Sociology,
51(4),
605–22,
610.
https://www.uio.no/studier/emner/matnat/ifi/INF3700/v17/bakgrunnsnotat/the_surveillant_assembl age.pdf .
34 Timan, T. and Albrechtslund, A. (2018). Surveillance, Self and Smartphones: Tracking Practices in the Nightlife . Sci Eng Ethics, 24(3), 853–70, 856 . https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5972155/ .
and other advancements in technologies have made it cost-less and effortless 'to listen to, watch, record, and research' anyone. This results in the 'explosion of personal data' capable 35 of producing massive amounts of data which can further become a target of surveillance.
1.3 Examples of Technologization of Lateral Surveillance
Lateral surveillance initiatives are undertaken by both public and private entities. With the development of technology, new initiatives have come to rely heavily on such technology to mobilize citizens or to provide them with information sharing platforms to enable peer to peer or citizen communication. The table below elaborates the objectives and working of some lateral surveillance technologies across the world and we further go on to discuss the general concerns about these applications raised by privacy and free speech advocates.
| Name of the Application | Location |
|---|---|
| Citizen App | United States of America |
35 Reeves, J. (2012). If You See Something, Say Something: Lateral Surveillance and the Uses of Responsibility. Surveillance & Society , 10 (3/4), 237 . https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/see-say/see-say . See also, Schreurs, W., Franjkić, N., Kerstholt, J. H., Vries, P. W., & Giebels, E. (2020) Why do citizens become a member of an online neighbourhood watch? A case study in The Netherlands. Police Practice and Research , 21 (6), 687–701.
https://www.tandfonline.com/doi/pdf/10.1080/15614263.2020.1712202?needAccess=true . 36 Citizen. https://citizen.com/mission/ . See also, Molla, R. (2019, May 7). The rise of fear-based social media like Nextdoor, Citizen, and now Amazon's Neighbors . Vox. https://www.vox.com/recode/2019/5/7/18528014/fear-social-media-nextdoor-citizen-amazon-ring-ne ighbors .
| Neighbors App (Ring) | United States of America |
|---|---|
| C-Plan App | Uttar Pradesh, India |
37 Holder, S. (2020, February 12). Nextdoor Wants to Be a One-Stop Shop for Police. Bloomberg. https://www.citylab.com/equity/2020/02/nextdoor-social-network-neighborhood-public-agency-app /605812/ .
38 Nextdoor. https://global.nextdoor.com/ ; Bogle, A. (2019, November 14). Are neighbourhood apps like Nextdoor simply a source of trade tips, or fuelling community paranoia? ABC.
https://www.abc.net.au/news/science/2019-11-14/nextdoor-neighbourhood-technology-connection-a nd-surveillance/9808632 ; Molla, R. (2019, May 7). The rise of fear-based social media like Nextdoor, Citizen, and now Amazon's Neighbors. Vox. https://www.vox.com/recode/2019/5/7/18528014/fear-social-media-nextdoor-citizen-amazon-ring-ne ighbors .
39 Privacy Policy. Nextdoor. https://legal.nextdoor.com/us-privacy-policy-2020/ .
40 Kaysen, R. (2019, November 8) Are My Neighbours Spying on Me? The New York TImes.
https://www.nytimes.com/2019/11/08/realestate/are-my-neighbors-spying-on-me.html . 41 NDTV, Uttar Pradesh Launches "C-Plan" App To Aid Community Policing. (2019, September 3). NDTV. https://www.ndtv.com/lucknow-news/uttar-pradesh-launches-c-plan-app-to-aid-community-policing -2094754 .
Dangers arising from Lateral Surveillance
2.1 Impact on the society and other structures
In the absence of research proving the effectiveness of neighbourhood watch efforts, it may be said that lateral surveillance is promoted by governments not necessarily because of their effectiveness, but due to "more symbolic and emotional factors that contribute to the adoption of such initiatives". It is likely that such initiatives are undertaken by local 43 governments for the message they send rather than the substance. It is becoming 44 increasingly difficult to differentiate a surveillance practice dedicated to 'security' from its many other applications, as surveillance mechanisms constituted for one purpose may assume other uses. Social relations and emotional factors such as love, affection, care for 45 elderly are a major driving force for lateral surveillance mechanisms. By the effect of these factors, people may voluntarily or involuntarily take up the exercise of checking up on their neighbours to be of help or prevent loneliness, which could soon turn into vigilantism and surveillance. Therefore, we argue that the aforementioned applications actively promote lateral surveillance under the facade of community building.
43 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 230. UK:Emerald.
42 Hawkeye. Hyderabad City Police (Version 3.0.7) [Mobile application software]. https://hyderabadpolice.gov.in/HawkEye.html .
44 Maguire, E.R., & Mastrofski, S.D. (2000). Patterns of Community Policing in the United States. Police Quarterly, 3(1), 4-45, 13.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf . Citing Haggerty, K. D., & Ericson, R. V. (Eds). (2006). The new politics of surveillance and visibility. Toronto: University of Toronto Press. 12.
https://www.researchgate.net/publication/258180155_Patterns_of_Community_Policing_in_the_Unite d_States
.
Threats. Canadian Journal of Sociology , 30(2), 169-187, https://www.researchgate.net/publication/236703045_Seeing_Beyond_the_Ruins_Surveillance_as_a_ Response_to_Terrorist_Threats .
45 Haggerty, K.D., & Gazso, A. (2005). Seeing beyond the Ruins: Surveillance as a Response to Terrorist 170.
2.1.1 Increasing Social Distrust and building the Culture of Surveillance
Culture of surveillance and constant suspicion: The use of lateral surveillance tools or technologies by ordinary citizens for observing and reporting threats in the neighbourhood normalizes the 'culture of suspicion', thus creating potential social distrust. Trust among 46 citizens is based on a mutual understanding about the need to provide security protection and the need to respect rights like privacy in a democratic society. This trust and social 47 cohesion erode when people start putting aside either privacy or security in favour of the other. While citizens become more aware of the various types of criminal activities and 48 methods of prevention, they also alter their behaviour in order to feel more secure and sustain the practice of 'keeping an eye on another'. It could range from curiosity about a 49 neighbour's absence in community gatherings to reporting of a suspicious person to the police. In this process, citizens are sensitized to security threats whether or not there is an actual imminent danger. The mere possibility of discovering a threat convinces them to 50 continue looking. Thus, their suspicion over neighbours creates an air of distrust. 51
Once a specific way of what a neighbourhood should be, is normalized, any act which is not in accordance with this way is regarded as suspicious and hence a potential threat to the society. As stated by Janet Chan in her article, "The New Lateral Surveillance and a Culture of Suspicion," new lateral surveillance is not a means to develop and sustain trust and building healthy communities but 'a call for eternal vigilance and constant suspicion'. Research has 52
46 Mols, A., & Pridmore, J. (2019). When Citizens Are "Actually Doing Police Work:" The Blurring of Boundaries in WhatsApp Neighbourhood Crime Prevention Groups in The Netherlands. Surveillance & Society, 17(3/4), 272-287, 280.
https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/8664/8724 . See also, Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond , Sociology of Crime, Law and Deviance, 10, 223-239. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
47 Lyon, D. (2017, March 1). Surveillance and Trust. Comment. https://www.cardus.ca/comment/article/surveillance-and-trust/ .
48 Lyon, D. (2017, March 1). Surveillance and Trust. Comment. https://www.cardus.ca/comment/article/surveillance-and-trust/ .
49 Lyon, D. (2017, March 1). Surveillance and Trust. Comment. https://www.cardus.ca/comment/article/surveillance-and-trust/ .
50 Reeves, J. (2012). If You See Something, Say Something: Lateral Surveillance and the Uses of Responsibility. Surveillance & Society ,10 (3/4), 235–48 . https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/see-say/see-say .
51 Larsen, M, & Piché, J. (2010). Public Vigilance Campaigns and Participatory Surveillance after 11 September 2001. In Sean P. Hier and Josh Greenberg (Eds.), Surveillance: Power, Problems, and Politics, 187–202. Vancouver: University of British Columbia Press.
52 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond , Sociology of Crime, Law and Deviance, 10, 223-239, 237.
shown that such watch programmes or lateral surveillance initiatives can actually heighten the fear of crime. People believe that they are constantly under threat and are also 53 responsible for the safety and security of their neighbourhood. Further, such perceived threat has a tendency to "increase intolerance, prejudice, ethno-centrism, and xenophobia". 54 The consequence of the constant contact among neighbours may result in "ethnic profiling, vigilantism, increased anxiety, communication overload and potential tensions" among them. 55
Fear is used as a 'disciplinary power' in order to control the mindset of the society, not only 56 against crime but also non-conforming social behaviour. A study of Singapore's lateral surveillance mechanism has proved that most people feared the negative publicity and 57 hence, involved themselves in this form of surveillance to check their own behaviour as well.
Tool for social exclusion: The surveillance technologies act as tools for social control and social exclusion in shaping the socio-economic relations in the society and relation between the state and its citizens. Acceptance of these technologies and the desire for 58 more security increases the likelihood of people detecting threats in every image or situation different from the one they have of themselves or the society they live in. 59
Though the stated goal of neighbourhood watches is the unification of community, there is an inherent exclusionist intent of community crime prevention which often does not come to https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
53 Norris, F. H., & Kaniasty, K. (1992). A longitudinal study of the effects of various crime prevention strategies on criminal victimization, fear of crime, and psychological distress. American Journal of Community Psychology, 20(5), 625–648.
54 Huddy, L., Feldman, S., Taber, C., & Lahav, G. (2005). Threat, anxiety, and support of antiterrorism policies. American Journal of Political Science ,49(3), 593–608, 594. https://www.researchgate.net/publication/227658232_Threat_Anxiety_and_Support_of_Antiterrorism_ Policies ; Kozlowska, H. (2019, October 29). A re neighborhood watch apps making us safer? Quartz. https://qz.com/1719954/mobile-phone-apps-like-citizen-aim-to-curb-neighborhood-crime/ .
56 Foucault, M. (1975). Discipline and Punish: The Birth of the Prison. New York: Vintage.
55 Pridmore, J, Mols, A, Wang, Y, &, Holleman, F. (2019). Keeping an eye on the neighbours: Police, citizens, and communication within mobile neighbourhood crime prevention groups. The Police Journal , 92(2), 97-120, 98. https://journals.sagepub.com/doi/10.1177/0032258X18768397 .
58 Webster, W. ., Leleux, C., Sterbik-Lamina, J., Fischer, D., Cas, J., Peissl, W., Bonss, W., Hert, P.D., Clavell, G. G., Galetta, A., Fonio, C., Jones, R., Szekely, I., & Vissy, B. (2013). Social perspectives of surveillance and democracy. Project Report by IRISS - Increasing Resilience in Surveillance Societies, 5.
57 Jiow, H.J, & Jimenez, R. (2015). Lateral Surveillance in Singapore. Surveillance & Society, 13, 327-37. https://doi.org/10.24908/ss.v13i3/4.5320 .
https://www.researchgate.net/publication/264217485_Social_perspectives_of_surveillance_and_demo cracy
.
59 Webster, W. ., Leleux, C., Sterbik-Lamina, J., Fischer, D., Cas, J., Peissl, W., Bonss, W., Hert, P.D., Clavell, G. G., Galetta, A., Fonio, C., Jones, R., Szekely, I., & Vissy, B. (2013). Social perspectives of surveillance and democracy. Project Report by IRISS - Increasing Resilience in Surveillance Societies, 11.
https://www.researchgate.net/publication/264217485_Social_perspectives_of_surveillance_and_demo cracy .
the fore. The neighbourhood members who decide what qualifies as crime or suspicious 60 activity are the so called 'like minded individuals' whose inherent biases may creep in while deciding who the crime-creating undesirables are. Then, the neighbourhood becomes a 61 gated community with restricted access to anyone considered an outsider and tends to privatize normally public spaces. Hence, leading to the exclusion of those considered not 62 fit for protection of the community. Hence, neighbourhood watches have the potential to re-characterize a community, neighbourhood or place, and establish new norms about criminality, suspicion and surveillance in that place, leading to the stigmatization or re-stigmatization of target groups who are already disadvantaged. Furthermore, wrong suspicions can trigger police investigations and preliminary searches and more surveillance. 63
2.1.2 Issues with Privatization of Law Enforcement
Initiatives which encourage lateral surveillance make the citizens responsible for 'policing their own territories.' In order to prevent crimes, citizens are becoming increasingly eager 64 to join hands with the law enforcement agencies to create safer neighbourhoods by engaging in policing efforts and facilitating the investigation processes. Though the involvement of 65 citizens has shown to strengthen the local security networks, if citizens lack trust in the police, an air of mistrust and frustration between the police and citizens might be created. 66
60 Johnson, A. (2016). Neighborhood Watch: Invading the Community, Evading Constitutional Limits, University of Pennsylvania Journal of Law and Social Change , 18(5), 459-493, 465. https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?article=1194&context=jlasc .
61 Johnson, A. (2016). Neighborhood Watch: Invading the Community, Evading Constitutional Limits, University of Pennsylvania Journal of Law and Social Change , 18(5), 459-493, 465. https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?article=1194&context=jlasc .
62 Drew, E.J., & McGuigan, J. M. Prevention of Crime: An Overview of Gated Communities and Neighborhood Watch . International Foundation for Protection of Officers. www.ifpo.org/resources/articles-and-reports/crime-preventionphysical-security-training-and-risk-ma nagement/prevention-of-crime-an-overview-of-gated-com .
63 Webster, W. ., Leleux, C., Sterbik-Lamina, J., Fischer, D., Cas, J., Peissl, W., Bonss, W., Hert, P.D., Clavell, G. G., Galetta, A., Fonio, C., Jones, R., Szekely, I., & Vissy, B. (2013). Social perspectives of surveillance and democracy. Project Report by IRISS - Increasing Resilience in Surveillance Societies, 13.
https://www.researchgate.net/publication/264217485_Social_perspectives_of_surveillance_and_demo cracy
.
64 Mols, A, &, Pridmore, J. When Citizens Are "Actually Doing Police Work": The Blurring of Boundaries in WhatsApp Neighbourhood Crime Prevention Groups in The Netherlands, Surveillance & Society 17(3/4) 272-287, 276. Citing Ericson, R. V., & Haggerty K.D. (1997). Policing the Risk Society . University of Toronto Press. 156. https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/8664/8724 .
65 Pridmore, J, Mols, A, Wang, Y, &, Holleman, F. (2019). Keeping an eye on the neighbours: Police, citizens, and communication within mobile neighbourhood crime prevention groups. The Police Journal , 92(2), 97-120, 99. https://journals.sagepub.com/doi/pdf/10.1177/0032258X18768397 .
66 Pridmore, J, Mols, A, Wang, Y, &, Holleman, F. (2019). Keeping an eye on the neighbours: Police, citizens, and communication within mobile neighbourhood crime prevention groups. The Police Journal , 92(2), 97-120, 102. https://journals.sagepub.com/doi/pdf/10.1177/0032258X18768397 .
A major problem which has surfaced with active citizen involvement in crime prevention or neighbourhood watch schemes is that citizens may overstep their boundaries and act as private law enforcers. Since active involvement, to a great extent, warrants a shift in the 67 responsibility of the law enforcement agencies onto the citizens, who are not only required to monitor their neighbourhood, but to safeguard it. This greater responsibility in managing 68 potential security threats and risks blurs the fine line between solving neighbourhood issues and acting as police themselves, especially in crimes that directly impact people such as thefts, assaults, and domestic violence or meagre cases of neighbourhood nuisances. There is thus, a misprioritization of what might come under the police priorities and citizen priorities. Therefore, in light of the exclusionist intent of community involvement in crime 69 prevention discussed above, citizens might overreach their roles as mere 'watchers' and transform from reporters to actors for countering crime. In order to prevent such blurring of the boundaries between police, citizens and suspects, it is important to clarify the role assumed by the participants of such so-called community building initiatives.
2.2 Impact on Fundamental Rights
Lateral surveillance mechanisms prima facie threaten the two most fundamental rights of citizens in any modern democractic state. These initiatives impact the right to privacy and the freedom of speech and expression. The two rights, "privacy and freedom of expression are interlinked and mutually dependent; and infringement upon one can be both the cause and consequence of an infringement upon the other''. Considering the impact lateral surveillance 70 has on the society, it may lead to intrusion of privacy, if checks and balances are not imposed and also threatens those who express dissent.
In the case of lateral surveillance, the 'fear of being watched' is constant as the 'watchers' are always in the vicinity. Briefly, the constant watching leads to people altering their behaviour
67 Pridmore, J, Mols, A, Wang, Y, &, Holleman, F. (2019). Keeping an eye on the neighbours: Police, citizens, and communication within mobile neighbourhood crime prevention groups. The Police Journal , 92(2), 97-120, 110. https://journals.sagepub.com/doi/pdf/10.1177/0032258X18768397 .
68 Pridmore, J, Mols, A, Wang, Y, &, Holleman, F. (2019). Keeping an eye on the neighbours: Police, citizens, and communication within mobile neighbourhood crime prevention groups. The Police Journal , 92(2), 97-120, 110. https://journals.sagepub.com/doi/pdf/10.1177/0032258X18768397 .
69 Pridmore, J, Mols, A, Wang, Y, &, Holleman, F. (2019). Keeping an eye on the neighbours: Police, citizens, and communication within mobile neighbourhood crime prevention groups. The Police Journal , 92(2), 97-120, 111. https://journals.sagepub.com/doi/pdf/10.1177/0032258X18768397 .
70 Rue, F.L. (2013, April 17). Report of the Special Rapporteur on the promotion and protection of the right to freedom of opinion and expression. United Nations Office of the High Commissioner of Human RIghts.
ww.ohchr.org/Documents/HRBodies/HRCouncil/RegularSession/Session23/A.HRC.23.40_EN.pdf . See also, Two sides of the same coin – the right to privacy and freedom of expression. (2018, February 2). Privacy International.
https://privacyinternational.org/blog/1111/two-sides-same-coin-right-privacy-and-freedom-expressio
n.
in order to conform to societal standards or norms. This creates a "chilling effect" on free 71 speech, i.,e, people tend to indulge in self-censorship. Further, the minority groups in 72 religion, gender, caste, and others are the ones who are disproportionately impacted by such restraints due to the higher risk of being different and non-conformist, hence, at a higher risk of being considered 'surveillance worthy' by fellow citizens. The impact on both these rights with reference to lateral surveillance mechanisms is explained below.
2.2.1 Right to Privacy
In India, the right to privacy was declared to be a part of the right to life under Part III (Chapter on Fundamental Rights) of the Constitution by a nine judge constitutional bench in Puttaswamy v Union of India (I). The Supreme Court has observed that "the contours of the 73 right to privacy include the right to be left alone; the right to respect for private and family life, home, and correspondence; protection against intrusion and surveillance; and a recognition of an individual's decisional autonomy". The right to be let alone is not an 74 absolute right. An individual's right to privacy has to be balanced against the state's 75 responsibility to ensure the safety and security of the State and maintain public order. 76
Surveillance measures of any kind would have to be assessed against the tests laid down by the court. While the elements of the test have suffered from a lack of clear majority opinion in the decision, we use the test applied by the majority in the Puttaswamy v Union of India 77 (II) (the "Aadhaar" judgement) for our analysis. Surveillance measures are said to be 78 reasonable restrictions on the right to be let alone if they achieve the right balance between the exercise of the right to privacy and the state action infringing privacy. Puttaswamy v Union of India (I) laid down a three fold test to ascertain if the restriction on the right to privacy is legitimate and this includes-(i) existence of a law; (ii) legitimate state aim; (iii) proportionality. The Supreme Court in Modern Dental College & Research Centre v State of 79
71 Schneier, B. (2018, November 26). How Surveillance Inhibits Freedom of Expression. Schneier on Security . https://www.schneier.com/blog/archives/2018/11/how_surveillanc_1.html .
72 Schauer, F. (1978). Fear, Risk and the First Amendment: Unraveling the Chilling Effect. 58 Boston University Law Review, 685-732.
https://scholarship.law.wm.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=2010&context=fac pubs .
74 Karmanya Singh Sareen & Another v Union of India and Others SLP (C) No. 804 Of 2017 & Antony Clement Rubin v. Union of India W.P. No. 20774/2018.
73 K.S. Puttaswamy v Union of India (2017) 10 SCC 1.
75 K.S. Puttaswamy v Union of India (2017) 10 SCC 1.
and reasoning, turns constitutional analysis on its head. https://www.firstpost.com/india/aadhaar-verdict-scs-majority-judgment-lacks-consistency-in-logic-a nd-reasoning-turns-constitutional-analysis-on-its-head-5284941.html.
76 State of Privacy in India. (2019, January 26). Privacy International . https://privacyinternational.org/state-privacy/1002/state-privacy-india. 77 Prasad, M. (2018, September 29). Aadhaar verdict: SC's majority judgment lacks consistency in logic Firstpost.
78 K.S. Puttaswamy v Union of India (2019) 1 SCC 1.
79 K.S. Puttaswamy v Union of India (2017) 10 SCC 1.
Madhya Pradesh, specified the requirements of proportionality standards, which are (i) a 80 measure restricting a right must have a legitimate goal; (ii) it must be a suitable means of furthering this goal; (iii) there must not be any less restrictive, but equally effective alternative; and (iv) the measure must not have any disproportionate impact on the right holder. This was later adopted by the Supreme Court in 2018 in the judgment on the validity of Aadhaar in Puttaswamy v Union of India (II). 81
State surveillance is a preventive measure to reduce crime, and ensure safety of all the citizens. However, measures that purport to improve security might actually reduce security 82 by disturbing the balance between competing interests of privacy and collective security. There are different surveillance mechanisms that inadvertently collect some data directly, however under the lateral surveillance mechanism, data is collected through the means of social control of citizens. Social control can be exercised not only by the introduction of 83 accessible and affordable surveillance technology but also through indirect means including pressurizing citizens to conform to societal norms citizens via their awareness schemes.
The introduction of lateral surveillance applications online or offline constitute infringement of one's right to privacy as individuals would be effectively surveilled on a daily basis by other citizens, and these applications when sanctioned by the state are likely to fail the test of proportionality as laid down in Puttaswamy I for the following reasons:
(i) Measure restricting a right must have a legitimate state aim and must be rationally connected with the aim
This step is known as the "legitimate goal test" wherein the measure taken by the State should be a suitable means of furthering its goal. While the objective of these applications 84 is to increase interaction between the neighbours, build a sense of community and reduce crime rates, these applications only make it easier to share personal information about neighbours on their platforms, through the use of CCTV cameras or other features. As a result of this, the connection between the aim of the state to reduce crime rate and manner in which the right to privacy is restricted is most likely to be unclear.
80 Modern Dental College & Research Centre v State of Madhya Pradesh (2016) 7 SCC 353.
81 K.S. Puttaswamy v Union of India (2019) 1 SCC 1.
82 Bernal,P. (2016). Data gathering, surveillance and human rights: recasting the debate. Journal of Cyber Policy , 1(2), 243-264, 244.
https://www.tandfonline.com/doi/full/10.1080/23738871.2016.1228990?scroll=top&needAccess=true.
83 Webster, W. ., Leleux, C., Sterbik-Lamina, J., Fischer, D., Cas, J., Peissl, W., Bonss, W., Hert, P.D., Clavell, G. G., Galetta, A., Fonio, C., Jones, R., Szekely, I., & Vissy, B. (2013). Social perspectives of surveillance and democracy . Project Report by IRISS - Increasing Resilience in Surveillance Societies, 11.
https://www.researchgate.net/publication/264217485_Social_perspectives_of_surveillance_and_demo cracy .
84 K.S. Puttaswamy v Union of India (2017) 10 SCC 1.; Anuradha Bhasin and Ors. v Union of India and Ors. (2020) 3 SCC 637.
(ii) There must not be any less restrictive but equally effective alternative
If there exist less restrictive and better alternatives, then such measures are likely to fail the test. For the purposes of countering crime rates and depression in the urban jungle, less restrictive and less intrusive mechanisms that can be equally effective such as ground measures to reduce crime with citizen participation or community policing initiatives. For instance, 'behavioural impact' programmes in schools and colleges to introduce counselling and awareness services regarding criminal behavior or other awareness initiatives at the community level. One such model is the Youth Guidance Behavioural programmes in 85 Chicago wherein weekly group sessions were introduced in public schools.
(iii) The measure must not have any disproportionate impact on the right holder.
Lateral surveillance technologies are likely to create a culture where anonymity of individuals is not respected on the pretext of preventing crimes and loneliness. On this basis, such technologies infringe upon the right to privacy of an individual either directly or indirectly. It infringes privacy directly because it encourages people to update information of their neighbours, and indirectly because it encourages a culture of surveillance which ultimately infringes on the right to anonymity in public spaces. Further, the prospects of what can result in organized surveillance with the combination of the information available on these applications raises concerns not only about privacy violations but the increased control in the hands of ordinary citizens which might embolden citizens to take actions they should not. Thus, there is a definitive disproportionate impact on the right holder, 86 especially if the right holder belongs to a vulnerable group- people belonging to religious minorities, lower caste and the LGBTQIA community, among many others.
2.2.2 Right to Freedom of Speech and Expression
The functioning of these applications is likely to impact the right to free speech and expression protected under Article 19(1)(a) of the Constitution. Though the right can be reasonably restricted, it forms the basis of a democratic society. The establishment of a 'full 87 proof and a powerful' surveillance system is a mark of a totalitarian regime wherein the requirement of privacy is looked down upon and is termed as 'anti-national', 'anti- social' and immoral in nature. 88
85 UChicago Urban Labs. Reducing Violence and Increasing Graduation. https://urbanlabs.uchicago.edu/projects/becoming-a-man.
86 Joh, E. (2019, September 24). The Rise of Networked Vigilante Surveillance. Slate. https://slate.com/technology/2019/09/flock-automatic-license-plate-readers-neighborhood-surveilla nce.html.
87 Constitution of India, Article 19(2).
88 K.N.C. (2019, December 13). Surveillance is a fact of life, so make privacy a human right. The Economist.
https://www.economist.com/open-future/2019/12/13/surveillance-is-a-fact-of-life-so-make-privacy-a -human-right.
Dissent is an essential component of democracy. It could be dissent against the state or 89 dissent of opinion between two individuals. The right to freely express one's opinion without it having to be curbed is an essential fundamental right and it needs to be respected. Justice DY Chandrachud in a speech clearly stated that "the blanket labelling of dissent as anti-national or anti-democratic strikes at the heart of our commitment to protect constitutional values and the promotion of deliberative democracy." The very famous 90 Shreya Singhal judgment struck down Section 66A of the Information Technology Act that 91 disproportionately suppressed dissent.
Implementation of lateral surveillance mechanisms has the potential to threaten dissent in society. In an environment of increasing intolerance to minority conduct and other socio-political factors, the social pressure to conform to the society along with the disincentivization of dissent results in curbing one's freedom of speech and expression. This could lead to pre-censorship. Much like how the citizens unwilling to light the candles ultimately participated in the activity, more people might 'pre-censor' and conform to the societal standards of 'normalcy' in order to belong or be accepted by the neighbourhood.
The right to anonymity is also an aspect under the right to freedom of speech and expression and is of more importance for minority groups and dissenting individuals. Further, various judicial pronouncements in the United States have ensured that recognition of a right of anonymity is based on the belief that compulsory disclosure may deter the expression of ideas and the participation in associations both of which are protected by the first and fourteenth amendments. While there is an ongoing debate on whether or not the deterrent 92 effect of disclosure may result in an infringement of freedom of speech and expression. It is 93 essential to note the importance of anonymity in public spaces. These forms of excessive surveillance being normalised are a direct blow at the right to anonymity under the right to freedom of speech and expression.
89 Gupta, D. (2020, February 24). The Right to Dissent is the Most Important Right Granted by the Constitution: Justice Gupta. The Wire.
https://thewire.in/law/right-to-dissent-constitution-justice-deepak-gupta.
90 The Hindu. (2020, February 15). Blanket labelling of dissent as anti-national hurts ethos of democracy: Justice Chandrachud. The Hindu .
https://www.thehindu.com/news/national/blanket-labelling-of-dissent-as-anti-national-hurts-ethosof-democracy-justice-chandrachud/article30829420.ece .
91 Shreya Singhal v Union of India (2013) 12 SCC 73.
93 The Constitutional Right to Anonymity: Free Speech, Disclosure and the Devil. (1961). 70 Yale L.J. 1084. https://digitalcommons.law.yale.edu/cgi/viewcontent.cgi?article=8861&context=ylj .
92 Shelton v Tucker 364 U.S. 479, 485-87 (1960); Talley v California 362 U.S. 60, 65 (1960); Bates v City of Little Rock 361 U.S. 516, 522-24 (1960); NAACP v Alabama ex rel. Patterson 357 U.S. 449 (1958).
Conclusion & Recommendations
Surveillance always begins on a justifiable commonly agreeable public goal in a systematic way. Surveillance being a focused activity involves aggregation and storage of data that can 94 be transmitted, retrieved, compared, mined, and traded. As discussed above, emerging 95 technologies have made it easier for the state as well as the citizens to constantly watch those with non-conforming behaviours as set by the society or the law. Technologies such as CCTV cameras and mobile applications have privatized and decentralized law enforcement placing greater responsibility on the citizens ultimately creating a 'culture of surveillance'.
The proliferation of lateral surveillance mechanisms, especially mobile applications which either provide a social media kind of platform or other modes of community participation for the purposes of crime prevention is increasingly becoming the new 'normal'. Moreover, the promotion and sanction of such mechanisms by governments ensure that their objective of surveillance is met through citizens themselves with little or minimal involvement sidelining the benefit to the community. What we see then is the mobilization of the citizens either by 96 'soft persuasion' or 'coercion' by the state to integrate lateral surveillance into their daily lives. 97
Especially, in the wake of a pandemic, different kinds of applications were brought for the purpose of contact tracing and enforcing quarantine. Further, these measures increase the 98 chances of users learning about who could be the source of infection by showing the timing 99 when an infected person visited a particular location on interactive maps or using identification tags seeking active involvement of neighbours. We discussed how lateral surveillance also poses a threat to the social fabric of the society as it normalises suspicion and distrust towards fellow citizens ultimately becoming a means for social exclusion of the minority. In this culture of risk aversion, fearing strangers and security obsession, it is important for these technologies to be structured in a way that restrains or at least, redirects
94 Defining the surveillance state. (2013, October 31). Privacy International https://privacyinternational.org/blog/1513/defining-surveillance-state.
.
.
96 Andrejevic, M. (2005). The work of watching one another: Lateral surveillance, risk, and governance. Surveillance and Society, 2 (4), 479, 494.
95 Defining the surveillance state. (2013, October 31). Privacy International https://privacyinternational.org/blog/1513/defining-surveillance-state.
https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/3359/3322.
97 Reeves, J. (2012). If You See Something, Say Something: Lateral Surveillance and the Uses of Responsibility . Surveillance & Society , 10 (3/4), 235, 236 . https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/see-say/see-say .
98 Swaminathan, M. & Saluja S. (2020, May 21). Essay: Watching Corona or Neighbours? - Introducing 'Lateral Surveillance' during COVID-19. Centre for Internet & Society. https://cis-india.org/internet-governance/blog/essay-watching-corona-or-neighbours-introducing-20 18lateral-surveillance2019-during-covid201919 .
99 Montjoye, Y. d., Houssiau,F, Gadotti, A, & Guepin, F. (2020, April 2). Evaluating COVID-19 contact tracing apps? Here are 8 privacy questions we think you should ask. Computational Privacy Group. https://cpg.doc.ic.ac.uk/blog/evaluating-contact-tracing-apps-here-are-8-privacy-questions-we-think -you-should-ask/ .
surveillance. Redirection of surveillance essentially would mean doing it for appropriate 100 purposes while ensuring it does not foster fear. 101
There is a need to balance the conflict between the common objective of community building and safer neighbourhoods and privacy interests of the individuals forming part of the community. Though the use of technology promoting lateral surveillance cannot be avoided due to the increasing need for security and human contact in civilised and technologized societies, its harms can be significantly reduced by placing certain safeguards and changing the citizens' approach to such initiatives. Therefore, the following recommendations have been made in light of the above. These recommendations are based on two aspects, on the human front and technology aspect, i.e. first, the focus should be on sensitizing people who would consciously or otherwise take part in lateral surveillance and then, on how the technology used should be based on privacy principles.
4.1 On the human front: Building a culture of mutual care and trust instead of surveillance
Lateral surveillance can supposedly be 'turned on the head' in order to ensure that there 102 is an effective mechanism created to sustain a system wherein mutual trust and welfare is encouraged instead of suspicion. This stems from the distinction between the' top-down' and 'bottom-up' approach prescribed by Offe. The 'top-down approach' induces compliance from citizens through legitimate and competent governance to generate horizontal trust by following the principles of transparency and fairness. On the other hand, in the 'bottom-up 103 approach,' more reliance is placed on citizens to get involved with strangers in open associative communities and learn to trust each other. If the latter approach is adopted in 104
100 Lyon, D. (2017, March 1). Surveillance and Trust. Comment. https://www.cardus.ca/comment/article/surveillance-and-trust/ .
101 Lyon, D. (2017, March 1). Surveillance and Trust. Comment. https://www.cardus.ca/comment/article/surveillance-and-trust/ .
102 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 236. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
103 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 236. UK:Emerald.
104 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 236. UK:Emerald.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf . Citing Offe, C. (1999). How can we trust our fellow citizens? In M.E. Warren (Ed.) Democracy and Trust, 85. Cambridge University Press.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-Governancethe absence of the possibility of transparent and fair government mechanisms, the burden is on the people to use lateral surveillance mechanisms not as a tool of control but as a more positive initiative for interactive citizenship. This can be done only when the focus shifts from desire for security to mutual care. 105
In a 'world of rising suspicion' where people are becoming more distrustful of one another, Onora O'Neill in Reith Lectures observes that stringent ways to control those who are 106 suspected would be harmful. Instead, trust must be rebuilt as it is noticed that 107 "appropriate development of trust enables not only basic relationships to flourish but also confidence, wisdom, and discretion." Though spoken in the context of parents and 108 children, the same may be applied to relationships between strangers. Thus, basic trust between neighbours is absolutely essential as it then creates a mutual understanding about the need to care about community safety. Be that as it may, the need to respect one's right to privacy cannot be compromised. The balance between the two seemingly conflicting needs (i.e., need for community safety and individual privacy) should be maintained with implementation of a mechanism wherein one does not impede the other. For instance, an application could encourage people to implement initiatives on ground where they would check in on each other with respect via Whatsapp groups or innovative ideas. This must be translated and implemented effectively through the application in order to prevent the creation of an atmosphere of 'constant threat' when there isn't any.
4.2 On the tech front: Implementation of privacy practices/principles
It is recommended as is for all 'datafication programmes' in India that the policy should be crafted to ensure institutionalization of robust transparency and accountability measures. 109 This is particularly critical in the absence of any comprehensive data protection legislation.
105 Chan, J. (2008). The New Lateral Surveillance and a Culture of Suspicion. In Mathieu Deflem (Ed.), Surveillance and Governance: Crime Control and Beyond, Sociology of Crime, Law and Deviance, 10, 223-239, 236. UK:Emerald.
Crime-Control-and-Beyond.pdf . Citing Offe, C. (1999). How can we trust our fellow citizens? In M.E. Warren (Ed.) Democracy and Trust, 85. Cambridge University Press.
https://www.researchgate.net/profile/Mathieu_Deflem/publication/251167585_Surveillance_and_Gov ernance_Crime_Control_and_Beyond/links/5f60ca1d299bf1d43c05420d/Surveillance-and-GovernanceCrime-Control-and-Beyond.pdf .
106 O'Neill, O. (Lecturer). (2002). Spreading Suspicion. The Reith Lectures [Radio Programme]. BBC Radio. https://www.bbc.co.uk/radio4/reith2002/lecture1.shtml .
107 O'Neill, O. (Lecturer). (2002). Spreading Suspicion. The Reith Lectures [Radio Programme]. BBC Radio. https://www.bbc.co.uk/radio4/reith2002/lecture1.shtml .
108 Lyon, D. (2017, March 1). Surveillance and Trust. Comment. https://www.cardus.ca/comment/article/surveillance-and-trust/ .
109 Rathi, A. & Tandon, A. (2019). Capturing Gender and Class Inequities: The CCTVisation of Delhi. (Working Paper No. 81) Centre for Development Informatics Global Development Institute, SEED, 19. http://hummedia.manchester.ac.uk/institutes/gdi/publications/workingpapers/di/di_wp81.pdf .
Any application should ensure that it follows the basic principles of privacy protection in order to stand the scrutiny of law and sustain the confidence of the users.
Most applications encouraging lateral surveillance are based on the collection of data from neighbours about neighbours by a law enforcement agency or a private entity that stores the data. The data collected can range from basic demographic information to sensitive personal data such as location data. Though the purpose of collection is to ultimately provide better connectivity among the neighbours or more information about the neighbourhood events, it must be noted that, it is rare that data collected for one purpose will be used for just that. In relation to privately controlled applications, privacy policies 110 can be changed to modify the uses of the collected information while the users may be given a take it or leave it option to continue using the services. Data is easily repurposable, information about one group can be used for controlling another group, which is referred to as "refractive surveillance". In the context of government or law enforcement controlled 111 applications, the possibility of purpose creep, i.e., the use of when information for a purpose other than the original specified purpose, cannot be ruled out. Further, certain research 112 studies suggest that community policing applications, though effective in translating traditional functions of the police authorities into digital services, tend to overlook the importance of privacy and safety. 113
In order to prevent instances of loss of privacy, stigmatization and rights violation, the law enforcement agencies or the data collecting entity must remain accountable. It is important for an application to properly implement privacy principles in its functioning. The harms of surveillance can be avoided by a clear prescription of the functioning of the applications and further, minimizing collection of unnecessary information from individuals in terms of such provisions in the privacy policy and terms of service. The minimization of data collection reduces the risk of excessive information being sought or being made available to the neighbours in the first place. The storage and security practices must be fool proof so as to 114 prevent leakage of data. Further, limited access to collected data, secured data storage practices, and promotion of transparency, inclusiveness and openness are important privacy
110 Metcalf, J. (2018, February 27). When verification is also surveillance. Points: Data & Society. https://points.datasociety.net/when-verification-is-also-surveillance-21edb6c12cc9 .
111 Levy, K. & Barocas, S. (2018). Refractive Surveillance: Monitoring Customers to Manage Workers, 12 International Journal of Communication , 1166–1188. https://ijoc.org/index.php/ijoc/article/viewFile/7041/2302 .
112 Jentzsch, N. (2007). Financial privacy: an international comparison of credit reporting systems , 39. Berlink: Springer. See also, Wisman, T. H. A. (2013). Purpose and function creep by design: Transforming the face of surveillance through the Internet of Things. European Journal of Law and Technology , 2013(2),3.
113 Zhang, M., Bandara, A.,Price, B., & Nuseibeh, B. (2020, April 25-30). Finding & Evaluating Community Policing apps in Asia. Proceedings of the 2020 Symposium on Emerging Research from Asia and on Asian Contexts and Cultures , ACM pp. 45–48, 47. http://oro.open.ac.uk/69626/8/SIGCHI-CHI20-Asia-CPAppReview_camera-ready.pdf .
114 Reeves, J. (2012). If You See Something, Say Something: Lateral Surveillance and the Uses of Responsibility. Surveillance & Society , 10 (3/4), 235–48, 236. https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/see-say/see-say .
principles to be considered for the privacy policy of existing applications. The functioning of the application should also place some restrictions on the use by the neighbours, so as to prevent the individuals from spreading incorrect information about any incident which might have adverse consequences. This is specifically important to tackle the spread of misinformation and preventing the 'heightened fear of crime' among citizens.
Limitations & Scope for Future Research
It is critical to understand that the lateral surveillance mechanisms by the state thrive on the ambiguity of citizens' public and private responsibilities. However, this understanding has 115 been developed recently and there exists no concrete study on the effects of such shifts in responsibility from the state to person in terms of law enforcement. Though scholars have 116 written about the potential impacts of lateral surveillance and its technologies on societal bonds and community building, an immediate research is required to better understand the implications of such mechanisms on people on a larger scale with no geographical limitations.
Further, in the context of Indian authorities engaging in lateral surveillance, directly or indirectly, there is no specific study which focuses on these types of initiatives, online or offline, and their social and legal implications. The available research on neighbourhood watch and lateral surveillance is rooted in foreign jurisdiction, various COVID applications as analyzed before and is characterized by a shortage of in-depth ethnographic information. 117 Research in the context and culture specific local initiatives, with and without the involvement of an application will help us gather a better understanding of the actual impact of such mechanisms and if their effects differ depending on different factors such as living conditions, income levels, caste and societal hierarchies, etc. in the society.
115 Reeves, J. (2012). If You See Something, Say Something: Lateral Surveillance and the Uses of Responsibility. Surveillance & Society , 10 (3/4), 235–48, 236. https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/see-say/see-say . 116 Reeves, J. (2012). If You See Something, Say Something: Lateral Surveillance and the Uses of Responsibility. Surveillance & Society , 10 (3/4), 235–48, 236. https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/see-say/see-say . 117 Swaminathan, M. & Saluja S. (2020, May 21). Essay: Watching Corona or Neighbours? - Introducing 'Lateral Surveillance' during COVID-19. Centre for Internet & Society. https://cis-india.org/internet-governance/blog/essay-watching-corona-or-neighbours-introducing-20 18lateral-surveillance2019-during-covid201919 .
|
St´ephane Lafrance ( ´ Ecole Polytechnique de Montr´eal, Canada email@example.com)
Abstract: The specification and validation of security protocols often requires viewing function calls – like encryption/decryption and the generation of fake messages – explicitly as actions within the process semantics. Following this approach, this paper introduces a symbolic framework based on value-passing processes able to handle symbolic values like fresh nonces, fresh keys, fake addresses and fake messages. The main idea in our approach is to assign to each value-passing process a formula describing the symbolic values conveyed by its semantics. In such symbolic processes, called constrained processes, the formulas are drawn from a logic based on a message algebra equipped with encryption, signature and hashing primitives. The symbolic operational semantics of a constrained process is then established through semantic rules updating formulas by adding restrictions over the symbolic values, as required for the process to evolve. We then prove that the logic required from the semantic rules is decidable. We also define a bisimulation equivalence between constrained processes; this amounts to a generalisation of the standard bisimulation equivalence between (non-symbolic) value-passing processes. Finally, we provide a complete symbolic bisimulation method for constructing the bisimulation between constrained processes.
Key Words: symbolic, bisimulation, protocols, non-interference, process algebra,
equivalence-checking, formal methods.
Category: C.2.2, C.2.4
1 Introduction
The sudden expansion of electronic commerce has introduced an urgent need to establish strong security policies for the design of security protocols. The formal validation of security protocols has since become one of the primary tasks in computer science. In recent years, equivalence-checking has proved to be useful for the verification of security protocols [1, 4, 6, 19]. The main idea behind this approach of formal verification is to verify a security property by testing whether a process (specifying a protocol) is bisimilar to its intended behaviour. The success of these methods relies on two facts: 1) process algebras are suitable for the specification of such protocols, including cryptographic protocols; 2) bisimulation offers an expressive semantics to process calculi. Many other methods inspired by a wide range of approaches have been proposed in the literature to analyse security protocols, but very few offer the possibility to explicitly analyse function calls used, for example, in encrypting, decrypting, signing and hashing. In cryptographic based process calculi like Abadi & Gordon's spi-calculus [2] and Focardi & Martinelli's CryptoSPA [11], encryption and decryption manipulations are done in a parallel inference system, and therefore they are not directly observable from the process semantics. For instance, a principal sending a message m encrypted with a key k is modeled as an output action " c ({m}k)" (where {m}k stands for the message m encrypted by k ) whenever {m}k can be inferred from the principal's current knowledge.
However, information flow properties (e.g. non-interference [10] and admissible interference [18]) usually require such manipulations to be observable. For that purpose, we work within the framework of an extension of value-passing CCS [16], called Security Protocols Process Algebra (SPPA) [14], in which function calls made by principals are explicitly modeled as actions. For instance, a principal sending a message m encrypted with a key k is modeled as the action "encid" (where id is an identifier for the principal encrypting the message) followed by the output action " c ({m}k)". Moreover, the specification of intruders in SPPA allows us to analyse the effects on the information flow of a protocol of an intruder generating fake messages and fake addresses. In addition, compared with a process calculus using an inference system for encryption manipulations, SPPA is more suited for analysing restricted attacks based on the repetition of the same attempt. For instance, distributed denial of service attacks have been specified in SPPA [14]. In order to deal with the notion of fake message, around which most attacks are built, we need to extend SPPA in order to specify functions generating random values. But the introduction of such generating function calls as actions requires interpreting their output as symbolic values. Thus, we need to consider symbolic value-passing processes along with a symbolic operational semantics able to handle symbolic variables without a specific value but satisfying certain constraints.
This paper introduces a symbolic framework for the specification of security protocols which is based on the novel concept of constrained process. A constrained process is a pair composed of a value-passing process (SPPA process with, possibly, free variables standing for symbolic values) and a formula expressing a statement about symbolic values. The formula pertains to a message logic whose terms are taken from a message algebra relying on atomic sets of numbers and identifiers (addresses), and cryptographic primitives (encryption, signing and hashing operators). Therefore, the purpose of a formula within a constrained process is to bind the free variables occurring in the course of process execution. For instance, to a process generating a fresh key for a protocol run and allocating this key to some free variable x , we assign the formula which states that x stands for a key. The operational semantics of constrained processes is thus achieved from the process behaviour, subject to the restrictions imposed by its formula. Hence, a process whose definition requires the execution of an action and evolution into another process will only occur if the whole transition satisfies the formula enforced at this point. Roughly speaking, the formula within a constrained process stands for the set of messages that can be assigned to its free variables; this set of possible values evolves, along with the process, by either adding new free variables or restricting (or binding) the ones already present. In one of the main results of this paper, we prove the decidability of every formula derivable from the process algebra's operational semantics. Moreover, we feel that our symbolic framework can be applied to any other process algebra, from value-passing CCS to more expressive process algebras like Milner's π -calculus [17] and Abadi & Gordon's spi-calculus [2].
The use of value-passing processes over infinite messages-domain leads to non finite-branching transition graphs on which trace equivalence and bisimulation equivalence fail to be decidable. An attractive solution to this challenge was proposed by Hennessy-Lin [12] who defined a notion of symbolic bisimulation. It is primary based on a symbolic semantics which may express value-passing CCS processes in terms of finite symbolic transition graphs instead of possibly infinite ones. The main idea behind Hennessy-Lin's approach is to assign to every action (transition) a formula describing the symbolic values (free variables) used in the action. Within this framework, they introduce two generalisations of Milner's strong bisimulation equivalence for value-passing processes called early and late bisimulation. Although our paper aims at a similar goal, we introduce a symbolic semantics in which the description of symbolic values is done within the processes (states) instead of within the transitions. In fact, our symbolic transition graphs could be directly obtained from their symbolic transition graphs (by considering every path). Moreover, our approach, compared to Hennessy-Lin's, takes advantage of an expressive message logic capable of stating cryptographic relations. For instance, we can bind free variables x 1 , x 2 , x 3 through the formula ( x 1 == {x 2 }x 3) ∧K( x 3) which states that x 1 stands for x 2 encrypted with the key x 3. In addition, we feel that the concept of constrained process is more suited for security protocol analysis than Hennessy-Lin's symbolic transition graph: a constrained process allows us to get a quick view of the symbolic values at a given state of the protocol, rather than retrieving successively every path leading to this state.
This paper is organised as follows. In section 2, we introduce a logic for cryptographic messages. In section 3, we present the SPPA process algebra and we describe a symbolic semantics for constrained processes. In section 4, we introduce a bisimulation equivalence relation for constrained processes, for which we give, in section 5, a sound and complete proof method called symbolic bisimulation. In section 6, we offer a brief overview on the application of our symbolic framework to security protocols analysis. We conclude this paper with a short talk on related work and on our future work.
2 Message Specification
2.1 Message Algebra
We consider the following message algebra which relies on disjoint syntactic categories of numbers, principal identifiers and variables respectively ranging over sets N , I and V. The set T of terms is constructed as follows:
```
t ::= n (number) | id (identifier) | x (variable) | ( t, t ) (pair ) | {t}t (encryption) | [ t ]t (signature) | h ( t ) (hashing) .
```
It is important to note that we only consider finite terms. For any term t , we denote fv( t ) the set of variables occurring in t and we say that t is a message whenever it contains no variable. The set of all messages is denoted by M. Furthermore, given a valuation ϱ : V →M and a term t such that fv( t ) = {x 1 , . . . , x n}, ϱ ( t ) stands for the message t [ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n] i.e., the message obtained from t by substituting each variable x i with its valuation ϱ ( x i) ( i = 1 , . . . , n ). Note that if a variable is substituted more than once in the expression t [ ϱ ( x 1 /x 1] . . . [ ϱ ( x n) /x n], then the lefter-most substitution always prevails.
For the sake of clarity, we will discriminate a subset K ⊆M of messages that may be used as encryption keys. Note that the definition of the set K usually depends on the cryptosystem used by the protocol. For instance, in the case of a symmetric block-cypher algorithm, we have K = {v ∈N | length of v = N } for some N ∈ IN; or, more generally, we may have K = N ∪ m≥1 { h m ( n ) | n ∈N} where we write h m ( n ) instead of h ( . . . h ( n ) . . . ) ( m times). However, for simplicity purposes, this paper simply uses the set K = N . Moreover, in order to deal with public-key encryption, we use an idempotent operator [−] − 1 : K →K such that a − 1 denotes the private decryption key corresponding to the public encryption key a , or vice versa. For symmetric encryption, let a − 1 = a . Moreover, one assumes perfect encryption and hashing.
2.2 A Logic for Messages
In the following, we consider the logic based on the terms of our message algebra and the following predicates:
```
P ::= t == t (term equation) | M( t ) (message predicate) | N ( t ) (number predicate) | I( t ) (identifier predicate) | K( t ) (key predicate) .
```
The formulas of our logic are then obtained as follows:
```
φ ::= 0 | 1 | P | φ ∧ φ | ∃x φ .
```
The set of φ 's free variables is denoted by fv( φ ) and φ is said to be closed whenever fv( φ ) = ∅. The satisfaction of a closed formula φ , denoted by | = φ , is defined recursively as follows:
– | = 1 and ̸| = 0
– | = a == b iff messages a and b are syntactically identical i.e.,
* | = n == n for every n ∈N ,
* | = id == id for every id ∈I,
* | = ( a 1 , a 2) == ( b 1 , b 2) iff | = a 1 == b 1 ∧ a 2 == b 2,
* | = {a 2 }a 1 == {b 2 }b 1 iff | = a 1 == b 1 ∧ a 2 == b 2,
* | = [ a 2]a 1 == [ b 2]b 1 iff | = a 1 == b 1 ∧ a 2 == b 2, and
* | = h ( a ) == h ( b ) iff | = a == b ;
– | = M( a ) for every message a ∈M;
– | = N ( a ) iff a ∈N;
– | = I( a ) iff a ∈I;
– | = K( a ) iff a ∈K;
– | = φ ∧ φ ′ iff | = φ and | = φ ′ ;
– | = ∃x φ iff | = φ [ a/x ] for some a ∈M.
(Notation φ [ a/x ] stands for the substitution of every free occurrence of variable x in φ , by message a .) We assume that each predicate is decidable i.e., the satisfiability problems | = N ( a ), | = I( a ) and | = K( a ) are decidable for any a ∈M, and they are never satisfied whenever a is a non-atomic message (recall that we assumed earlier that K = N ). For instance, ̸| = I( h ( a )) and ̸| = N ({a}b) for any a, b ∈M. Moreover, we recall that I and N are disjoint sets.
Given a valuation ϱ : V →M, the satisfaction of a formula φ by ϱ , denoted by ϱ | = φ , is defined as follows:
Example 1. Formula
with fv( φ ) = {x} states that variable x must be a couple composed of a key and a message. Hence, if ϱ 1( x ) = ( k, a ), for some k ∈K and a ∈M, then we see that ϱ 1 | = φ . However, if ϱ 2( x ) = ( a, a ), then ϱ 2 ̸| = φ unless a ∈K.
Two formulas φ and φ ′ are said to be equivalent – which is denoted by φ ⇔ φ ′ – whenever
for every valuation ϱ . In particular, a formula φ is equivalent to 0 – which is denoted by φ ⇔ 0 – whenever ϱ ̸| = φ for every valuation ϱ . We also consider the equivalence relation φ V ⇔ φ′ defined as follows:
.
The equivalence class of some formula φ under V ⇔ is defined by [[ φ ]] = {φ′ | φ V ⇔ φ′}
2.3 Decidability
We can prove that every (closed) formula from our logic is decidable. This result follows from the fact that our logic for messages is restricted to conjunction and existential operators. Hence, the decidability of a formula boils down to the satisfaction of a number of predicates and equations, which we assume to be decidable.
Theorem 1. Every formula is decidable.
Proof of Theorem 1 is given in Appendix A.
2.4 Functions
We consider a finite set F of functions mapping messages to new messages constructed from the grammar rules above. Each function f ( x 1 , . . . , x n) has a characterisation formula from our logic, denoted by φ f ( x 1 ,...,xn) or simply φ f , which is satisfied only by messages within its domain, and such that fv( φ f ) = {x 1 , . . . , x n}. Therefore, | = φ f [ a 1 /x 1] . . . [ a n /x n] if and only if f ( a 1 , . . . , a n) is defined. We often write φ f ( a 1 , . . . , a n) instead of φ f [ a 1 /x 1] . . . [ a n /x n], or simply φ f ( a ) where a = ( a 1 , . . . , a n). In addition, we consider the notion of generating functions, extremely useful for the specification of security protocols requiring fresh nonces, fresh keys and random numbers, and for the specification of intruders generating fake addresses and fake messages. Generating functions are functions which may generate symbolic values without any input. Each generating function new ∈F (often denoted by new (−)) is assigned to a formula φ new, also called characterisation formula, which is satisfied only by messages within its range. We usually consider the following functions:
* enc( x 1 , x 2) = {x 2 }x 1 with φ enc( x 1 ,x 2) ::= K( x 1) ∧M( x 2);
* pair( x 1 , x 2) = ( x 1 , x 2) with φ pair( x 1 ,x 2) ::= M( x 1) ∧M( x 2);
* hash( x ) = h ( x ) with φ hash( x ) ::= M( x );
* newMessage(−) with φ newMessage ::= M( x );
* sign( x 1 , x 2) = [ x 2]x 1 with φ sign( x 1 ,x 2) ::= K( x 1) ∧M( x 2);
* newNumber(−) with φ newNumber ::= N ( x );
.
* newId(−) with φ newId ::= I( x );
* newKey(−) with φ newKey ::= K( x ) .
3 Security Protocol Process Algebra
Our first step toward validation of security protocols is to find a language which may express both the protocols and the security policies we want to enforce. Process algebra has been used for some years to specify protocols as a cluster of concurrent processes, representing principals participating in the protocol, which are able to communicate in order to exchange data. Process algebras CSP [13] and CCS [16] have been extensively used with this objective [15, 20]. In this section, we introduce a generic symbolic framework which we feel could be applied to numerous process algebras. Given a process algebra, we proceed by extending its syntax in order to view generating function calls "let x = new (−) in . . . " as prefixes. Messages generated in this way are explicitly typed with the characterisation formula φ new. For simplicity, our symbolic framework follows the Security Protocols Process Algebra (SPPA) [14], an extension of value-passing CCS in which local function calls are viewed as visible actions. Up to these extensions tailored just to fit to the ideas presented here, SPPA is very similar to SPA presented by Focardi & Gorrieri [7]. SPPA's syntax follows Abadi & Gordon's Spi-Calculus [2], but without scope extrusion and replication, and the input and output prefixes do not carry channels. Also, the purpose here is not to introduce a new process algebra but just to define a generic process algebraic symbolic framework as well-suited as possible to analyse cryptographic protocols.
3.1 Syntax of SPPA
First, we consider a finite set C of public channels. Public channels are used to specify message exchanges between principals (commonly, there is one channel for every step of a protocol run). We assume that public channels have no specific domains: any message can be sent or received over them.
The agents of SPPA are constructed from the following grammar:
L O
where is a set and is a partial mapping (both to be clarified in Section 3.2). Whenever f is a generating function, we usually write let x = f (−) in S .
In order to prevent name clashes for variables (e.g. to prevent the sum or parallel composition of agents having free variables in common), we assume that a variable is never used twice to define agents (renaming variables when necessary). Given an agent S , we define its set of free variables, denoted by fv( S ), as the set of variables x appearing in S which are not in the scope of an input prefix c ( x ), a pair splitting let ( x, y ) = t in, a function call let x = f ( t ) in, or a decryption case {t ′ }t of {x}t in; otherwise the variable x is said to be bound. Given a free variable x ∈ fv( S ) and a term t , we consider the substitution operator S [ t/x ] where every free occurrence of x in S is set to t . A closed agent is an agent S such that fv( S ) = ∅.
A SPPA principal is a couple ( S, id ) where S is an agent and id ∈I. The purpose of this notation is to relate an SPPA agent S and its sub-agents, to their unique owner (principal) via its identifier id . When no confusion is possible, we often use A as a reference to the principal ( S A , id A) where S A is the initial agent of A i.e., the agent specifying the entire behaviour of the principal A within the protocol. Moreover, we commonly make use of the identifier id A as a message containing its address, while we simply use A to refer to the principal's entity (i.e. the party involved with the protocol). For simplicity, given A 1 ::= ( S 1 , id ) and A 2 ::= ( S 2 , id ) (they must have the same identifier) we often write [ t = t ′ ] A 1 instead of ([ t = t ′ ] S 1 , id ), A 1 |A 2 instead of ( S 1 |S 2 , id ), A 1 + A 2 instead of ( S 1 + S 2 , id ), and so on.
In order to specify a security protocol in SPPA, we use the classic approach [9, 20] of specifying the principals as concurrent agents. Given a principal A , SPPA processes are constructed as follows:
where ∥ is an associative and commutative operator forcing communication over public channels.
A constrained process is an expression of the form ⟨P, φ⟩ where P is a process and φ is a formula designed to constrain the free variables occurring in P . Commonly, notation ⟨P, φ⟩ stands for the pair ( P, [[ φ ]]), where [[ φ ]] is the equivalence class of φ under the relation V ⇔ (see Section 2.2). Thus, if φ V ⇔ φ′ (i.e. formulas φ and φ ′ are equivalent and have the same free variables), then the constrained processes ⟨P, φ⟩ and ⟨P, φ ′ ⟩ are considered to be the same.
Example 2. Consider the following one-step protocol
in which principal A generates a fresh nonce n A and sends to the principal B this nonce encrypted with B 's public key k B. Principals A and B are specified, respectively, as the SPPA principals A ::= ( S A , id A) and B ::= ( S B , id B), where id A is A 's identifier, id B is B 's identifier, and the initial agents S A and S B are defined as follows:
```
S A ::= let x 1 = newNumber(−) in let x 2 = enc( k B , x 1) in c ( x 2) . 0 S B ::= c ( y 1) . case y 1 of {y 2 }kB in 0 .
```
The protocol is then specified as the SPPA process P ::= A ∥ B , in which principals A and B can communicate over the public channel c . Since the process P has no free variable, the protocol is then specified as the constrained process ⟨P, 1⟩.
3.2 Symbolic Semantics
The value-passing operational semantics of an SPPA process is defined in Appendix B. Note that this value-passing semantics is only defined for closed processes. Also note that, because of the value-passing semantics, the obtained transition graph could be infinite. In this section, we establish a symbolic operational semantics for constrained processes, which correspond to finite labeled transition graphs.
Given a term t , the actions of SPPA are defined as follows:
```
α ::= c id( t ) (output) | c id( x ) (input) | f id (function call ) | splitid (splitting) | decid (decryption ) | signvid (signature verification) | δ ( t ) (marker action) | τ (silent action)
```
For instance, function call action encidA stands for principal A encrypting some message a with some key k ; output action c idA({a}k) stands for principal A sending message {a}k over the public channel c ; and decryption action decidA stands for principal A successfully decrypting some message {a}k. The silent action τ is used to express non-observable behaviours. We often use C to denote both the set of public channels and the set of output and input actions.
In value-passing process algebra, communication is commonly expressed by replacing the matching output action and input action by the silent action τ . However, this interpretation of communication causes a drastic loss of information on the content of the exchanged values and the parties involved. Using a marker action δ ( t ) instead of τ in those situations helps to parry this problem. Marker actions are therefore introduced in an attempt to establish an annotation to the semantics of an SPPA process; they do not occur in the syntax of processes and their specific semantics restricts their occurrence in order to tag communications between principals. A marker action has three parameters: a principal identifier, a channel and a term (message). Roughly speaking, the occurrence of an output marker δ c idA ( a ) stands for " the principal A has sent message a over the channel c ", and the occurrence of an input marker δ c idA ( a ) stands for " the principal A has received message a over the channel c ".
We write Act to denote the set of all actions and we consider the set Act A of actions that may be launched by the principal A , defined by:
An observation criterion is a partial mapping O : Act ∗ → Act which intends to express equivalence between process behaviours. Two sequences of actions γ 1 and γ 2 are said to carry out the same observation α whenever γ 1 , γ 2 ∈O − 1 ( α ). Given a subset L ⊆ Act \ {τ}, we consider the observation criterion OL defined as follows:
Only behaviours from the set L are observable through this observation criterion. In particular, we have a natural observation criterion OActA∪C, often denoted by OA, describing the actions observable by a principal A .
The symbolic operational semantics for constrained processes is given in Fig. 1 and Fig. 2. It is inspired by Hennessy-Lin's symbolic operational semantics [12] where boolean values guarding actions are replaced by formulas φ restricting free variables within the processes. Note that any transition ⟨P, φ⟩ α −→⟨P ′ , φ ′ ⟩ is dismissed whenever either φ or φ ′ is equivalent to 0.
Rules Output and Input allow principals to, respectively, send and receive messages over public channels. Rules Function and Generator allow the execution of local function calls made by principals. Rule Split allows to extract pairs. Rules Decryption and Signature-Verif allow to, respectively, recover encrypted messages and verify signed messages. Rule Match allows the verification of equality between two messages. Rules Sum and Parallel allow the specification of non-deterministic sum and parallel product of agents (with matching identifier). Rules Protocol and Synchronisation allow the specification of protocols, where the operator ∥ is similar to a parallel product in which communication between principals is achieved (and forced) through public channels. Rules Sum, Parallel, Protocol and Synchronisation are assumed to be both associative and commutative (i.e. P + ( Q + R ) behaves as ( P + Q ) + R , Q + P behaves as P + Q , and so on). Moreover, recall that constrained processes ⟨P, φ⟩ and ⟨Q, ψ⟩ must be defined with different variables, thus fv( φ )∩fv( ψ ) = ∅. Rule Restriction interprets P \ L as process P with the actions in L forbidden. In the Restriction rule, we assume that formula φ L α (which forbids instantiations of α to be in L ) is such that fv( φ L α ) = fv( α ). Moreover, we need to restrict rule Restriction to the sets L such that formula φ L α is definable within our logic.
Output
Figure 1: Semantics of constrained processes.
Finally, rule Observation interprets the observation of a process through an observation criterion O, where the computation ⟨P, φ⟩ γ −→⟨P ′ , φ ′ ⟩, for a sequence of actions γ = α 0 α 1 . . . αn ∈ Act ∗ , stands for the finite string of transitions satisfying
Thus, P/OL (where L is a set of actions) means P with the actions outside L ignored (set to τ ).
A constrained process ⟨P ′ , φ ′ ⟩ is a derivative of ⟨P, φ⟩ if there is a computation ⟨P, φ⟩ γ −→⟨P ′ , φ ′ ⟩ for some γ ∈ Act ∗ . Hence, the set of ⟨P, φ⟩'s derivatives is defined by
The following theorem states that the transition graph associated to any constrained process is always finite.
Theorem 2. For every constrained process ⟨P, φ⟩, the set D(⟨P, φ⟩) is finite.
Proof of Theorem 2 is given in Appendix C.
Match
⟨A, φ⟩
α
−→
⟨A
′
, φ
′
⟩
⟨
α
[
t
=
t
′
]
A, φ⟩
−→
⟨A
′
, ψ⟩
P, φ
id
()
−→
P
′
, φ
′
,
c
Synchronisation
Restriction
Observation
⟨ ⟩
⟨P
t
c x
⟨
∥Q, φ∧
⟩
ψ⟩
⟨Q, ψ
id′
()
−→
Q
′
, ψ
′
and
φ
δ
c id
⟩
()
−→
t
⟨P
′
∥
⟨
Q, ϕ
with
ϕ
1
::=
φ
′
∧ ψ
and
⟩
δ
1
c
⟩
ϕ
2
::=
⟩
where
φ
L α
is such that ∀
ϱ
(
ϱ| =
φ
L α
fv(
t ⟨
) (
id′
′
∧
P
ψ
′
∥
)
′
Q
′
iff
∧
∩fv(
ψ
, ϕ
x
ϱ
2
⟩
==
α
(
t.
) ∈
Figure 2: Semantics of constrained processes.
Example 3. Consider the following SPPA processes:
The semantics of the constrained process ⟨A, 1⟩ is illustrated in Fig. 3. Notice that rule Match yields the transition,
Act
φ
)=∅
\L.
)
but we write ⟨A 2 , M( x 1) ∧M( x 2)⟩ c idA( x 1) ⟨A 1 , x 1 == x 2 ⟩ since
M(
x
V
1
) ∧M(
x
2
) ∧ x
1
==
x
2
⇔ x
1
==
x
2.
Thus ⟨A 1 , M( x 1) ∧M( x 2) ∧ x 1 == x 2 ⟩ and ⟨A 1 , x 1 == x 2 ⟩ correspond to the same constrained process. Similarly, the transition
follows from the Input rule and the fact that
)
.
Figure 3: Symbolic Semantics of ⟨A, 1⟩.
Example 4. Consider the following processes:
where fv( B ) = {y 1 }. The symbolic semantics of the constrained process ⟨B, M( y 1)⟩ is given in Fig. 4, where φ ::= K( y 1) ∧M( y 2) ∧ y 3 == {y 2 }y 1.
Figure 4: Symbolic Semantics of⟨B,M(
y
1
) ⟩.
3.3 Symbolic Semantics vs Value-Passing Semantics
The relationship between the symbolic operational semantics of constrained processes and the value-passing operational semantics of processes (see Appendix B) is detailed in the following lemmas. Every sequence of transitions between SPPA processes can be unwound to a sequence of transitions between constrained processes. Conversely, every transition between constrained processes can be interpreted as a set of transitions between processes.
For the remainder of this paper, we will discriminate between two types of actions: actions c id( t ), δ c id ( t ), δ c id ( t ), signv id and τ (denoted by α ), and actions c id( x ), f id, splitid and decid (denoted by β ). From the symbolic operational semantics, we see that an action β introduces a new variable x (or two, x and y , in the case of action splitid), while an action α does not. In the following, we will assume that, given an action β , x is always the introduced variable. Moreover, for simplicity purposes, we will omit the case of action splitid which introduces two variables and treat it as any other action β . It is easy to see that this last assumption will not affect the results presented is this paper since complete proofs can be obtained by adding special cases for action splitid.
Lemma 3. Let P, P ′ be SPPA processes, let α ′ = c id( t ), δ c id ( t ) , δ c id ( t ) , signv id or τ , for some term t such that fv( t ) ⊆{x 1 , . . . , x n}, and let β ′ = c id( x ), f id, splitid or decid.
– If P [ a 1 /x 1] . . . [ a n /x n] α −→ P ′ [ a 1 /x 1] . . . [ a n /x n], for some a 1 , . . . , a n ∈M ( n ≥ 0) and α = α ′ [ a 1 /x 1] . . . [ a n /x n], then, for any formula φ ̸⇔ 0 such that fv( φ ) = {x 1 , . . . , x n}, we have
where φ ′ is the formula given by the symbolic operational semantics (with φ ′ ̸⇔ 0).
– If P [ a 1 /x 1] . . . [ a n /x n] β −→ P ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n], for some a 1 , . . . , a n , a ∈ M ( n ≥ 0) and β = β ′ [ a/x ], then, for any formula φ 0 such that fv( φ ) = {x 1 , . . . , x n}, we have
where φ ′ is the formula given by the symbolic operational semantics (with φ ′ ̸⇔ 0).
Lemma 4. Let P, P ′ be SPPA processes, let α ′ = c id( t ), δ c id ( t ) , δ c id ( t ) , signv id or τ , for some term t such that fv( t ) ⊆{x 1 , . . . , x n}, and let β ′ = c id( x ), f id, splitid or decid.
– If ⟨P, φ⟩ α ′ −→⟨P ′ , φ ′ ⟩, with fv( φ ) = fv( φ ′ ) = {x 1 , . . . , x n}, then, for every valuation ϱ such that ϱ | = φ ′ ,
where
α
=
ϱ α
(
′
.)
Lemma 5. Let P, P ′ be SPPA processes, let α ′ = c id( t ), δ c id ( t ) , δ c id ( t ) , signv id or τ , for some term t such that fv( t ) ⊆{x 1 , . . . , x n}, and let β ′ = c id( x ), f id, splitid or decid. Consider a, a 1 , . . . , a n ∈M, and let α = α ′ [ a 1 /x 1] . . . [ a n /x n] and β = β ′ [ a/x ].
,
– If P [ a 1 /x 1] . . . [ a n /x n] α −→ P ′ [ a 1 /x 1] . . . [ a n /x n] and | = φ [ a 1 /x 1] . . . [ a n /x n] then | = φ ′ [ a 1 /x 1] . . . [ a n /x n] whenever
The proofs of Lemma 3, Lemma 4 and Lemma 5 are given in Appendix D.
4 Bisimulation Equivalence for Constrained Processes
In this section, we extend Milner's notion of strong bisimulation [16] to handle constrained processes. But first, in order to bind the variables of the compared constrained processes, we need to consider finite relations between their free variables. Recall that whenever we compare two processes P and Q , we always assume that no variable has been used in both definitions.
4.1 Relations Between Variables
Consider the family R of all relation between finite subsets of variables, hence R = {R | R ⊆V 1 × V2 for some finite sets V 1 , V 2 ⊆V}. A relation R ∈ R is said to be a full relation between V 1 and V 2 whenever ∀x∈V1 ∃y∈V2 ( x, y ) ∈ R and ∀y∈V2 ∃x∈V1 ( x, y ) ∈ R (or R = ∅ if either V 1 = ∅ or V 2 = ∅).
For any variable x ∈V and any relation R ∈ R, we consider the relation R [ x ] ∈ R defined by R [ x ] = {( x ′ , y ′ ) ∈ R | x ′ ̸= x and y ′ ̸= x}. Moreover, for any x, y ∈V, we consider the relation R [[( x, y )]] ∈ R defined by
The relation R [[( x, y )]] is therefore obtained from R by, first removing every occurrence of x and y , and then adding ( x, y ).
A valuation ϱ is said to be consistent with the relation R ∈ R if ϱ ( x ) = ϱ ( y ) whenever ( x, y ) ∈ R . Given x, y ∈V, we define ϱ [ x/y ] as the valuation obtained from ϱ by setting ϱ [ x/y ]( y ) = ϱ ( x ) (and ϱ [ x/y ]( z ) = ϱ ( z ) otherwise). It is easy to see that the valuation ϱ [ x/y ] is consistent with the relation R [[( x, y )]] whenever ϱ is consistent with R [ x ].
4.2 Bisimulation
For the following definition, recall from Section 3.3 that, given an action β = c id( x ), f id, splitid or decid, we assume that x is always the variable introduced by β .
Definition 6. (Bisimulation) Let ⟨P, φ⟩ and ⟨Q, ψ⟩ be constrained processes and let R ∈ R be a full relation between fv( φ ) and fv( ψ ). A bisimulation between ⟨P, φ⟩ and ⟨Q, ψ⟩ with respect to R is a family of relations R = {R ϱ }ϱ, for every valuation ϱ , where each relation R ϱ ⊆D(⟨P, φ⟩) ×D(⟨Q, ψ⟩) × R satisfies the following conditions:
1. If ϱ | = φ , ϱ | = ψ and ϱ is consistent with R , then (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R ϱ ;
2. Whenever (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R 1) ∈R ϱ , for any action α = c id( t ), δ c id ( t ), δ c id ( t ), signv id or τ , and any action β = c id ( x ), f id , split id or dec id , we have
– if ⟨P 1 , φ 1 ⟩ α −→⟨P 2 , φ 2 ⟩ and ϱ | = φ 2, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈R ϱ , where Q 2 and ψ 2 are such that ϱ | = ψ 2 and ⟨Q 1 , ψ 1 ⟩ α ′ −→⟨Q 2 , ψ 2 ⟩, and α ′ is such that α ′ = α [ y 1 /x 1] . . . [ y n /x n] for some ( x i , y i) ∈ R 1;
– if ⟨Q 1 , ψ 1 ⟩ α −→⟨Q 2 , ψ 2 ⟩ and ϱ | = ψ 2, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈ R ϱ where P 2 and φ 2 are such that ϱ | = φ 2 and ⟨P 1 , φ 1 ⟩ α ′ −→⟨P 2 , φ 2 ⟩, and α ′ = α [ y 1 /x 1] . . . [ y n /x n] for some ( y i , x i) ∈ R 1;
– if ⟨P 1 , φ 1 ⟩ β −→⟨P 2 , φ 2 ⟩, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1[[( x, y )]]) ∈R ϱ ′ [ x/y ] for every valuation ϱ ′ consistent with R 1[ x ] such that ϱ ′ | = φ 2, where Q 2 and ψ 2 are such that ϱ ′ [ x/y ] | = ψ 2 and ⟨Q 1 , ψ 1 ⟩ β ′ −→⟨Q 2 , ψ 2 ⟩, and β ′ = β [ y/x ];
– if ⟨Q 1 , ψ 1 ⟩ β −→⟨Q 2 , ψ 2 ⟩, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1[[( x, y )]]) ∈R ϱ ′ [ x/y ] for every valuation ϱ ′ consistent with R 1[ x ] such that ϱ ′ | = ψ 2, where P 2 and φ 2 are such that ϱ ′ [ x/y ] | = φ 2 and ⟨P 1 , φ 1 ⟩ β ′ −→⟨P 2 , φ 2 ⟩, and β ′ = β [ y/x ].
Two constrained processes ⟨P, φ⟩ and ⟨Q, ψ⟩ are bisimilar if there exists a bisimulation which relates ⟨P, φ⟩ and ⟨Q, ψ⟩ with respect to some full relation R between fv( φ ) and fv( ψ ). In that case, we write ⟨P, φ⟩≃⟨Q, ψ⟩.
Note that if R = {R ϱ }ϱ is a bisimulation, ϱ | = φ and ϱ | = ψ whenever (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R ϱ . Moreover, ϱ must be consistent with the relation R .
4.3 Equivalence of the Bisimulations
In the following theorem, we see that the bisimulation equivalence between SPPA constrained processes, as defined above, corresponds to the strong bisimulation equivalence between SPPA processes. Obviously, this result holds only when the SPPA processes under comparison are compatible i.e., for processes without free variables. (We say that an SPPA process P is closed whenever fv( P ) = ∅.) First, we define strong bisimulation between SPPA (value-passing) processes.
Definition 7. A bisimulation between closed processes P and Q is a relation
R ⊆D( P ) × D( Q ) such that
– ( P, Q ) ∈R;
– If ( P 1 , Q 1) ∈R and P 1 α −→ P 2, then ( P 2 , Q 2) ∈R, where Q 2 is such that Q 1 α −→ Q 2;
– If ( P 1 , Q 1) ∈ R and Q 1 α −→ Q 2, then ( P 2 , Q 2) ∈R, where P 2 is such that P 1 α −→ P 2,
where α ∈ Act is any (variable-free) action. We write P ≃ Q whenever P and Q are related by some bisimulation.
Theorem 8. Let P and Q be closed processes. Then, P ≃ Q if and only if ⟨P, 1⟩≃⟨Q, 1⟩.
Proof. First, assume that P ≃ Q and let R be a bisimulation between P and Q . Consider the family of relations R ′ = {R ′ ϱ }ϱ, where, given a valuation ϱ , the relation R ′ ϱ is defined as follows:
– for every ( P ′ , Q ′ ) ∈R, (⟨P ′ , 1⟩, ⟨Q ′ , 1⟩, ∅) ∈R ′ ϱ ;
– for every ( P ′ [ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n] , Q ′ [ ϱ ( y 1) /y 1] . . . [ ϱ ( y m) /y m]) ∈R, for every formulas φ and ψ , with fv( φ ) = {x 1 , . . . , x n} and fv( ψ ) = {y 1 , . . . , y m}, and for every relation R ⊆ fv( φ ) × fv ( ψ ), (⟨P ′ , φ⟩, ⟨Q ′ , ψ⟩, R ) ∈R ′ ϱ whenever ϱ | = φ , ϱ | = ψ and ϱ is consistent with R .
In the following, we show that R ′ = {R ′ ϱ }ϱ is a bisimulation between ⟨P, 1⟩ and ⟨Q, 1⟩ with respect to the empty relation ∅. To achieve this goal, we show that each relation R ′ ϱ fits the conditions from Definition 6.
1. First, we see that (⟨P, 1⟩, ⟨Q, 1⟩, ∅) ∈R ′ ϱ (with ϱ | = 1 and ϱ is consistent with the empty relation ∅).
2. Let (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R ) R ′ ϱ . First, we see that ϱ | = φ 1, ϱ | = ψ 1 and ϱ is consistent with R . Moreover, we may assume that fv( φ 1) = {x 1 , . . . , x n} and fv( ψ 1) = {y 1 , . . . , y m}, with R ⊆ fv( φ 1) × fv( ψ 1). Also, we have ( P ′ 1 , Q ′ 1 ) ∈R , with P ′ 1 ::= P 1 [ ϱ ( x 1 ) /x 1 ] . . . [ ϱ ( x n ) /x n ] and Q ′ 1 ::= Q 1[ ϱ ( y 1) /y 1] . . . [ ϱ ( y m) /y m].
Assume that ϱ | = φ 2 and ⟨P 1 , φ 1 ⟩ α ′ −→⟨P 2 , φ 2 ⟩ with α ′ = c id( t ), δ c id ( t ), δ c id ( t ), signv id or τ . By Lemma 4,
,
where P ′ 2 ::= P 2 [ ϱ ( x 1 ) /x 1 ] . . . [ ϱ ( x n ) /x n ] and α = ϱ ( α ′ ). Since ( P ′ 1 , Q ′ 1 ) ∈R there is a transition such that ( P ′ 2 , Q ′ 2 ) ∈R , where Q ′ 2 ::= Q 2 [ ϱ ( y 1 ) /y 1 ] . . . [ ϱ ( y m ) /y m ]. By Lemma 3, there is a transition
⟩
with α = α ′′ [ ϱ ( y 1) /y 1] . . . [ ϱ ( y m) /y m] and ϱ | = ψ 2 (by Lemma 5). Moreover, since ϱ is consistent with R , we may assume that α ′ = α ′′ [ y ′ 1 /x 1 ] . . . [ y ′ n /x n ] with { y ′ 1 , . . . , y ′ n } = { y 1 , . . . , y m } and ( x i , y ′ i ) ∈ R . Therefore, since ϱ | = φ 2, ϱ | = ψ 2 and ϱ is consistent with R , we see that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R ) ∈R ′ ϱ . The case where ⟨Q 1 , ψ 1 ⟩ α ′ −→⟨Q 2 , ψ 2 ⟩ is similar.
Now assume that ⟨P 1 , φ 1 ⟩ β ′ −→⟨P 2 , φ 2 ⟩, with β ′ = c id( x ), f id, splitid or decid, and let ϱ ′ be a valuation consistent with R [ x ] such that ϱ ′ | = φ 2. By Lemma 4,
where β = ϱ ′ ( β ′ ) and P ′ 2 ::= P 2[ ϱ ′ ( x ) /x ][ ϱ ′ ( x 1) /x 1] . . . [ ϱ ′ ( x n) /x n]. Since ( P ′ 1 , Q ′ 1 ) ∈R , there is a transition
such that ( P ′ 2 , Q ′ 2 ) ∈R , where Q ′ 2 ::= Q 2 [ ϱ ′ ( x ) /y ][ ϱ ′ ( y 1 ) /y 1 ] . . . [ ϱ ′ ( y m ) /y m for some y . By Lemma 3, there is a transition
]
with β = β ′′ [ ϱ ′ ( x ) /y ] = ϱ ′ ( β ′′ ) and ϱ ′ [ x/y ] | = ψ 2 (by Lemma 5). Moreover, since ϱ ′ is consistent with R [ x ], we may assume that β ′ = β ′′ [ y/x ]. Therefore, since ϱ ′ [ x/y ] | = φ 2, ϱ ′ [ x/y ] | = ψ 2 and ϱ ′ [ x/y ] is consistent with R [[( x, y )]], we see that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R [[( x, y )]]) R ′ ϱ ′ [ x/y ] . The case where ⟨Q 1 , ψ 1 ⟩ β ′ −→⟨Q 2 , ψ 2 ⟩ is similar.
Conversely, assume that ⟨P, 1⟩≃⟨Q, 1⟩ and let R = {R ϱ } be a bisimulation between ⟨P, 1⟩ and ⟨Q, 1⟩ with respect to ∅. Consider the relation R ′ D( P ) × D( Q ) defined as follows:
– If (⟨P ′ , 1⟩, ⟨Q ′ , 1⟩, ∅) ∈R ϱ for some ϱ , then ( P ′ , Q ′ ) ∈R ′
;
–If (⟨P
′
, φ⟩,⟨Q
′
, ψ⟩, R
) ∈R
ϱ
for some
ϱ
, then
φ
where fv() ={x
1
, . . . , x
n
}and fv(
ψ
) ={y
1
, . . . , y
m
}.
In the following, we show that R ′ is a bisimulation between P and Q .
1. First, we see that ( P, Q ) ∈R ′ since (⟨P, 1⟩, ⟨Q, 1⟩, ∅) ∈R ϱ . for any valuation ϱ .
2. Let P ′ 1 ::= P 1 [ a 1 /x 1 ] . . . [ a n /x n ] and Q ′ 1 ::= Q 1 [ b 1 /y 1 ] . . . [ b m /y m ], for some a i , b j ∈M, be such that ( P ′ 1 , Q ′ 1 ) ∈R ′ . By the definition of R ′ , there is a valuation ϱ , with ϱ ( x i) = a i and ϱ ( y j) = b j, such that (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R ) ∈R ϱ with fv( φ 1) = {x 1 , . . . , x n} and fv( ψ 1) = {y 1 , . . . , y m}. Moreover, we have ϱ | = φ 1, ϱ | = ψ 1 and ϱ is consistent with R . Let α ′ = c ( t ), δ c id ( t ), δ c id ( t ), signv id or τ , and assume that P ′ 1 α −→ P ′ 2 where α = α ′ [ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n] = ϱ ( α ) and P ′ 2 ::= P 2 [ ϱ ( x 1 ) /x 1 ] . . . [ ϱ ( x n ) /x n ]. By Lemma 3 and since fv( φ 1) = {x 1 , . . . , x n}, we have
with ϱ | = φ 2 (by Lemma 5). But since (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R ) ∈R ϱ , there is a transition
for α ′ = α [ y ′ 1 /x 1 ] . . . [ y ′ n /x n ] with { y ′ 1 , . . . , y ′ n } = { y 1 , . . . , y m } and ( x i , y ′ i ) ∈ R , such that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R ) R ϱ and ϱ | = ψ 2. Also, since ϱ is consistent with R , we have ϱ ( α ′′ ) = ϱ ( α ′ ) = α . Therefore, by Lemma 4 and since ϱ | = ψ 2, we have
where Q ′ 2 ::= Q 2[ ϱ ( y 1) /y 1] . . . [ ϱ ( y m) /y m]. Moreover, since fv( φ 2) = fv( φ 1) = {x 1 , . . . , x n} and fv( ψ 2) = fv( ψ 1) = {y 1 , . . . , y m}, and since (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R ) R ϱ , we see from the definition of R ′ that ( P ′ 2 , Q ′ 2 ) ∈R ′ . The case where Q ′ 1 α −→ Q ′ 2 is similar.
Now assume that P ′ 1 β −→ P ′ 2 where β = β ′ [ a/x ] for some β ′ = c id ( x ), f id , splitid or decid, and P ′ 2 ::= P 2 [ a/x ][ ϱ ( x 1 ) /x 1 ] . . . [ ϱ ( x n ) /x n ]. Consider the valuation ϱ ′ defined as follows:
Since ϱ is consistent with R , then ϱ ′ is consistent with R [ x ] and β = ϱ ′ ( β ′ ). Furthermore, we see that P ′ 2 = P 2 [ ϱ ′ ( x ) /x ][ ϱ ′ ( x 1 ) /x 1 ] . . . [ ϱ ′ ( x n ) /x n ]. By Lemma 3, and since fv( φ 1) = {x 1 , . . . , x n}, we have
with ϱ ′ | = φ 2 (by Lemma 5). But since (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R ) R ϱ , there is a transition
⟩
for β ′ = β [ y/x ], such that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R [[( x, y )]]) ∈R ϱ ′ [ x/y ] and ϱ ′ [ x/y ] | = ψ 2. Also, since ϱ ′ is consistent with R [ x ], therefore ϱ ′ is consistent with R [[( x, y )]], we have ϱ ′ [ x/y ]( β ′′ ) = ϱ ′ [ x/y ]( β ′ ) = β . Put ϱ ′′ = ϱ ′ [ x/y ]. By Lemma 4 and since ϱ ′′ | = ψ 2, we have
where Q ′ 2 ::= Q 2[ ϱ ′′ ( y ) /y ][ ϱ ′′ ( y 1) /y 1] . . . [ ϱ ′′ ( y m) /y m] with ϱ ′′ ( y ) = a , ϱ ′′ ( y 1) = ϱ ( y 1) , . . . , ϱ ′′ ( y m) = ϱ ( y m). Moreover, since fv( φ 2) = fv( φ 1) ∪ {x} = {x 1 , . . . , x n , x} and fv( ψ 2) = fv( ψ 1) ∪{y} = {y 1 , . . . , y m , y}, and since (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R [[( x, y )]]) ∈R ϱ ′′ , we see from the definition of R ′ that ( P ′ 2 , Q ′ 2 ) ∈R ′ . The case where Q ′ 1 β −→ Q ′ 2 is similar.
5 Symbolic Bisimulation: A Proof Method for Bisimulation
In this section, we introduce a symbolic bisimulation relation for constrained processes which can be constructed within a finite number of steps. We also show that this symbolic bisimulation relation is equivalent to the bisimulation relation introduced in Definition 6. Our symbolic bisimulation may therefore serve as a sound and complete finite proof method for the bisimulation of constrained processes.
5.1 Equivalence Relation over Valuations
For the following, we consider two constrained processes ⟨P, φ⟩ and ⟨Q, ψ⟩. We also consider the following sets:
Such sets of formulas and variables are finite (up to formula equivalence) since the sets D(⟨P, φ⟩) and D(⟨Q, ψ⟩) are finite by Theorem 2. Now consider the equivalence relation over valuations defined as follows: ϱ ≡ ϱ ′ if
– for every 1 ≤ i ≤ m , ϱ | = φ i iff ϱ ′ | = φ i;
– for every 1 ≤ i ≤ m ′ , ϱ | = ψ i iff ϱ ′ | = ψ i;
– for every z, z ′ ∈{x 1 , . . . , x n} ∪{y 1 , . . . , y n′ },
Also consider the equivalence class (with respect to ⟨P, φ⟩ and ⟨Q, ψ⟩) of a valuation ϱ defined as follows:
Lemma 9. Let ϱ and ϱ ′ be valuations such that ϱ ≡ ϱ ′ .
1. For any relation R ⊆{x 1 , . . . , x n} × {y 1 , . . . , y n′},
ϱ
is consistent with
R
if and only if
ϱ
′
is consistent with
R.
The proof of Lemma 9 is straightforward from the definition of the equivalence relation ≡.
Lemma 10. There are finitely many equivalence classes [[ ϱ ]] i.e., the set {[[ ϱ ]] | ϱ is a valuation} is finite.
Proof. Follows from the fact that the sets {φ ′ | ⟨P ′ , φ ′ ⟩∈D(⟨P, φ⟩) for some P ′ } and {ψ ′ | ⟨Q ′ , ψ ′ ⟩∈D(⟨Q, ψ⟩) for some Q ′ } are finite (up to formula equivalence). Therefore, using the notation established above, we see that
– there are at most 2 m equivalence classes for the relation:
– there are at most 2 m ′ equivalence classes for the relation:
– there are at most 2 ( n + n ′ ) 2 equivalence classes for the relation:
Hence, there are at most 2 m + m ′ +( n + n ′ ) 2 equivalence classes [[ ϱ ]].
5.2 Symbolic Bisimulation
Definition 11. (Symbolic Bisimulation) Let ⟨P, φ⟩ and ⟨Q, ψ⟩ be constrained processes and let R ∈ R be a full relation between fv( φ ) and fv( ψ ). A symbolic bisimulation between ⟨P, φ⟩ and ⟨Q, ψ⟩ with respect to R is a finite family R = {R [[ ϱ ]] }ϱ, for every valuation ϱ , where each relation R [[ ϱ ]] satisfies the following conditions:
1. If ϱ | = φ , ϱ | = ψ and ϱ is consistent with R , then (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R [[ ϱ ]] ;
2. Whenever (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R 1) R [[ ϱ ]] , for any action α = c id( t ), δ c id ( t ), δ c id ( t ), signv id or τ , and any action β = c id ( x ), f id , split id or dec id , we have
– if ⟨P 1 , φ 1 ⟩ α −→⟨P 2 , φ 2 ⟩ and ϱ | = φ 2, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈ R [[ ϱ ]] , where Q 2 and ψ 2 are such that ϱ | = ψ 2 and ⟨Q 1 , ψ 1 ⟩ α ′ −→⟨Q 2 , ψ 2 ⟩, and α ′ = α [ y 1 /x 1] . . . [ y n /x n] for some ( x i , y i) ∈ R 1;
– if ⟨Q 1 , ψ 1 ⟩ α −→⟨Q 2 , ψ 2 ⟩ and ϱ | = ψ 2, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈ R [[ ϱ ]] , where P 2 and φ 2 are such that ϱ | = φ 2 and ⟨P 1 , φ 1 ⟩ α ′ −→⟨P 2 , φ 2 ⟩, and α ′ = α [ y 1 /x 1] . . . [ y n /x n] for some ( y i , x i) ∈ R 1;
– if ⟨P 1 , φ 1 ⟩ β −→⟨P 2 , φ 2 ⟩, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1[[( x, y )]]) ∈R [[ ϱ ′ [ x/y ]]] for every valuation ϱ ′ consistent with R 1[ x ] such that ϱ ′ | = φ 2, where Q 2 and ψ 2 are such that ϱ ′ [ x/y ] | = ψ 2 and ⟨Q 1 , ψ 1 ⟩ β ′ −→⟨Q 2 , ψ 2 ⟩, and β ′ = β [ y/x ];
– if ⟨Q 1 , ψ 1 ⟩ β −→⟨Q 2 , ψ 2 ⟩, then (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1[[( x, y )]]) ∈R [[ ϱ ′ [ x/y ]]] for every valuation ϱ ′ consistent with R 1[ x ] such that ϱ ′ | = ψ 2, where P 2 and φ 2 are such that ϱ ′ [ x/y ] | = φ 2 and ⟨P 1 , φ 1 ⟩ β ′ −→⟨P 2 , φ 2 ⟩, and β ′ = β [ y/x ].
We write ⟨P, φ⟩≃ s ⟨Q, ψ⟩ whenever there exists a symbolic bisimulation which relates ⟨P, φ⟩ and ⟨Q, ψ⟩ with respect to some full relation R between fv( φ ) and fv( ψ ).
The following theorem states that symbolic bisimulation is a sound and complete proof method for verifying bisimilarity between constrained processes.
Theorem 12. ⟨P, φ⟩≃⟨Q, ψ⟩ if and only if⟨P, φ⟩≃
s
⟨
Q, ψ⟩.
Proof. First, assume that ⟨P, φ⟩≃⟨Q, ψ⟩, and let R = {R ϱ }ϱ be a bisimulation with respect to some full relation R between fv( φ ) and fv( ψ ). For every equivalence class [[ ϱ ]], consider the relation
Hence R ϱ ⊆R ′ [[ ϱ ]] for every ϱ . Then it is enough to show that the (finite) family R ′ = {R ′ [[ ϱ ]] }ϱ is a symbolic bisimulation with respect to R , therefore ⟨P, φ⟩≃ s ⟨Q, ψ⟩. Indeed, given an equivalence class [[ ϱ ]], we see that the R ′ [[ ϱ ]] satisfies every conditions from Definition 11.
1. If ϱ | = φ , ϱ | = ψ , and ϱ is consistent with R , then (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R ϱ , thus (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R [[ ϱ ]] .
2. Assume (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R 1) ∈R [[ ϱ ]] , with ϱ | = φ 1 and ϱ | = ψ 1. Then we have (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R 1) ∈R ϱ ′ , for some ϱ ′ ≡ ϱ , with ϱ ′ | = φ 1 and ϱ ′ | = ψ 1. Therefore, if ⟨P 1 , φ 1 ⟩ α −→⟨P 2 , φ 2 ⟩ for α = c id( t ), δ c id ( t ), δ c id ( t ), signv id or τ , and ϱ | = φ 2 , thus ϱ ′ | = φ 2 , then there is a transition ⟨Q 1 , ψ 1 ⟩ α ′ −→⟨Q 2 , ψ 2 ⟩, for some α ′ = α [ y 1 /x 1] . . . [ y n /x n] with ( x i , y i) ∈ R 1, such that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈R ϱ ′ and ϱ ′ | = ψ 2. Therefore (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈R [[ ϱ ′ ]] = R [[ ϱ ]] and ϱ | = ψ 2. The case where ⟨Q 1 , ψ 1 ⟩ α −→⟨Q 2 , ψ 2 ⟩ is similar.
Now assume that ⟨P 1 , φ 1 ⟩ β −→⟨P 2 , φ 2 ⟩, for β = c id( x ), f id, splitid or decid, and let ϱ 1 be a valuation consistent with R 1[ x ] and such that ϱ 1 | = φ 2. There is a transition ⟨Q 1 , ψ 1 ⟩ β ′ −→⟨Q 2 , ψ 2 ⟩, for some β ′ = β [ y/x ], such that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1[[( x, y )]]) ∈R ϱ 1 [ x/y ] and ϱ 1[ x/y ] | = ψ 2. Moreover, since R ϱ 1 [ x/y ] ⊆R [[ ϱ 1 [ x/y ]]] , we see that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1[[( x, y )]]) ∈ R [[ ϱ 1 [ x/y ]]] . The case where ⟨Q 1 , ψ 1 ⟩ β −→⟨Q 2 , ψ 2 ⟩ is similar.
Conversely, assume that ⟨P, φ⟩≃ s ⟨Q, ψ⟩, and let R = {R [[ ϱ ]] }ϱ be a symbolic bisimulation with respect to some full relation R between fv( φ ) and fv( ψ ). Consider the family R ′ = {R ϱ }ϱ where R ϱ = R [[ ϱ ]] . We see that R ′ is a bisimulation with respect to R , thus ⟨P, φ⟩≃⟨Q, ψ⟩. Indeed, given a valuation ϱ , we show that the relation R ϱ = R [[ ϱ ]] satisfies the conditions from Definition 6.
1. If ϱ | = φ , ϱ | = ψ , and ϱ is consistent with R , then (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R [[ ϱ ]] , thus (⟨P, φ⟩, ⟨Q, ψ⟩, R ) ∈R ϱ .
2. Assume (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R 1) ∈R ϱ with ϱ | = φ 1 and ϱ | = ψ 1. Then, we have (⟨P 1 , φ 1 ⟩, ⟨Q 1 , ψ 1 ⟩, R 1) ∈R [[ ϱ ]] . Therefore, if ⟨P 1 , φ 1 ⟩ α −→⟨P 2 , φ 2 ⟩ for α = c id( t ), δ c id ( t ), δ c id ( t ), signv id or τ , and ϱ | = φ 2 , then there is a transition ⟨Q 1 , ψ 1 ⟩ α ′ −→⟨Q 2 , ψ 2 ⟩, for some α ′ = α [ y 1 /x 1] . . . [ y n /x n] with ( x i , y i) ∈ R 1, such that (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈R [[ ϱ ]] and ϱ | = ψ 2. Therefore (⟨P 2 , φ 2 ⟩, ⟨Q 2 , ψ 2 ⟩, R 1) ∈R ϱ . The case where ⟨Q 1 , ψ 1 ⟩ α −→⟨Q 2 , ψ 2 ⟩ is similar.
Now assume that ⟨P 1 , φ 1 ⟩ β −→⟨P 2 , φ 2 ⟩, for β = c id( x ), f id, splitid or decid, and let ϱ 1 be a valuation consistent with R [ x ] and such that ϱ 1 | = φ 2. Therefore, there is a transition ⟨Q 1 , ψ 1 ⟩ β ′ −→⟨Q 2 , ψ 2 ⟩, for some β ′ = β [ y/x ], such
Theorem 12 allows us to construct bisimulation between constrained processes using only finitely many valuations (one from each equivalence class [[ ϱ ]]). Therefore, it gives us a finite proof method for verifying bisimilarity between any two constrained processes.
5.3 An Example
Example 5. Consider processes A and B defined as follows:
with id A = id B = id . The symbolic semantics of ⟨A, 1⟩ and ⟨B, 1⟩ are given in Fig. 5. We show that the constrained processes ⟨A, 1⟩ and ⟨B, 1⟩ are bisimilar. From Theorem 12, it is enough to construct a symbolic bisimulation between ⟨A, 1⟩ and ⟨B, 1⟩ with respect to the empty relation R = ∅.
⟩
Figure 5: Symbolic Semantics of ⟨A, 1⟩ and ⟨B, 1⟩.
First we consider the sets of formulas occurring in D(⟨A, φ⟩) and D(⟨B, ψ⟩):
Thus, we only need to consider sets of variables {x 1 , x 2 } and {y}. Since these formulas are satisfied by every valuation, there are five equivalence classes with respect to ≡, namely those that cover all the possibilities of the variables having identical values (resp. different values):
```
[[ ϱ 1]] = {ϱ ′ | ϱ ′ ( x 1) ̸= ϱ ′ ( x 2) , ϱ ′ ( x 1) ̸= ϱ ′ ( y ) and ϱ ′ ( x 2) ̸= ϱ ′ ( y )} [[ ϱ 2]] = {ϱ ′ | ϱ ′ ( x 1) = ϱ ′ ( x 2) and ϱ ′ ( x 1) ̸= ϱ ′ ( y )}, [[ ϱ 3]] = {ϱ ′ | ϱ ′ ( x 1) = ϱ ′ ( y ) and ϱ ′ ( x 1) ̸= ϱ ′ ( x 2)}, [[ ϱ 4]] = {ϱ ′ | ϱ ′ ( x 1) ̸= ϱ ′ ( x 2) and ϱ ′ ( x 2) = ϱ ′ ( y )}, and [[ ϱ 5]] = {ϱ ′ | ϱ ′ ( x 1) = ϱ ′ ( x 2) = ϱ ′ ( y )}.
```
,
Note that we have [[ ϱ i[ x 1 /y ]]] = [[ ϱ i[ y/x 1]]] = [[ ϱ 3]] for i = 1 , 3, [[ ϱ i[ x 1 /y ]]] = [[ ϱ i[ y/x 1]]] = [[ ϱ 5]] for i = 2 , 4 , 5, [[ ϱ i[ x 2 /y ]]] = [[ ϱ i[ y/x 2]]] = [[ ϱ 4]] for i = 1 , 4, and [[ ϱ i[ x 2 /y ]]] = [[ ϱ i[ y/x 2]]] = [[ ϱ 5]] for i = 2 , 3 , 5.
For each equivalence class [[ ϱ i]], the steps for constructing the relation R [[ ϱ i ]] are illustrated in Fig. 6. Thus, for each class [[ ϱ i]], we need go to through the
halt: already processed (success)
Figure 6: Symbolic Bisimulation of ⟨A, 1⟩ and ⟨B, 1⟩.
conditions imposed by Definition 11 and determine which pairs of derivatives from the set D(⟨A, 1⟩) × D(⟨B, 1⟩) belong to R [[ ϱ i ]] , along with their finite relation R .
– For the class [[ ϱ 1]], first we add (⟨A, 1⟩, ⟨B, 1⟩, ∅) to R [[ ϱ 1 ]] . Then, since the constrained process ⟨A, 1⟩ can execute the input action c id( x 1), we need to verify whether ⟨B, 1⟩ can simulate this input action with its own c id( y ), where x 1 is mapped to y . But since both ϱ 3 and ϱ 5 are consistent with the relation {( x 1 , y )}, we need to add (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to both R [[ ϱ 3 ]] and R [[ ϱ 5 ]] . Similarly, simulating the input action c id( y ) from ⟨B, 1⟩ by the input action c id( x 1) from ⟨A, 1⟩ requires the same additions on R [[ ϱ 3 ]] and R [[ ϱ 5 ]] .
– For the class [[ ϱ 2]], first we add (⟨A, 1⟩, ⟨B, 1⟩, ∅) to R [[ ϱ 2 ]] . As for the class [[ ϱ 1]], we then need to add (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to both R [[ ϱ 3 ]] (already added) and R [[ ϱ 5 ]] (already added).
– For the class [[ ϱ 3]], first we add (⟨A, 1⟩, ⟨B, 1⟩, ∅) to R [[ ϱ 3 ]] . As above, we also need to add (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to both R [[ ϱ 3 ]] (already added) and R [[ ϱ 5 ]] (already added). The addition of the tuplet (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to R [[ ϱ 3 ]] (imposed by the other relations) requires the bisimulation of the input action c id( x 2) form ⟨A ′ , M( x 1)⟩ by the input action c id( y ) ⟨B, M( y )⟩, through the relation {( x 2 , y )}. Hence, since the valuations ϱ 4 and ϱ 5 are consistent with the relation {( x 2 , y )}, we need to add (⟨A, M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 2 , y )}) to both R [[ ϱ 4 ]] and R [[ ϱ 5 ]] . Moreover, the addition of (⟨A ′ , M( x 1)∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to R [[ ϱ 3 ]] (imposed by the relation R [[ ϱ 4 ]] ) requires the bisimulation of the input action c id( x 2) from ⟨A ′ , M( x 1) ∧M( x 2)⟩ by the input action c id( y ) from ⟨B, M( y )⟩, through the relation {( x 2 , y )}. Hence, we need to add (⟨A, M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 2 , y )}) to both R [[ ϱ 4 ]] (already added) and R [[ ϱ 5 ]] (already added).
– For the class [[ ϱ 4]], first we add (⟨A, 1⟩, ⟨B, 1⟩, ∅) to R [[ ϱ 4 ]] . As above, we then need to add (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to both R [[ ϱ 3 ]] (already added) and R [[ ϱ 5 ]] (already added). The addition of the tuplet (⟨A, M( x 1) ∧ M( x 2)⟩, ⟨B, M( y )⟩, {( x 2 , y )}) to R [[ ϱ 4 ]] (imposed by the relation R [[ ϱ 3 ]] ) requires the bisimulation of the input action c id( x 1) from ⟨A, M( x 1)∧M( x 2)⟩ by the input action c id( y ) from ⟨B, M( y )⟩, through the relation {( x 1 , y )}. Hence, since ϱ 3 and ϱ 5 are consistent with the relation {( x 1 , y )}, we need to add (⟨A ′ , M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to both R [[ ϱ 3 ]] and R [[ ϱ 5 ]] .
– For the class [[ ϱ 5]], first we add (⟨A, 1⟩, ⟨B, 1⟩, ∅) to R [[ ϱ 5 ]] . As above, we then need to add (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) to both R [[ ϱ 3 ]] (already added) and R [[ ϱ 5 ]] (already added). This last additon to R [[ ϱ 5 ]] requires to show the bisimulation of the input action c id( x 2) from ⟨A ′ , M( x 1)⟩ by the input action c id( y ) from ⟨B, M( y )⟩, through the relation {( x 2 , y )}. Since the valuations ϱ 4 and ϱ 5 are consistent with the relation {( x 2 , y )}, we need to add (⟨A, M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 2 , y )}) to both R [[ ϱ 4 ]] (already added) and R [[ ϱ 5 ]] (already added). This last addition to R [[ ϱ 5 ]] then leads us to look at constrained processes ⟨A, M( x 1) ∧M( x 2)⟩ and ⟨B, M( y )⟩, hence their respective input actions c id( x 1) and c id( y ) through the relation {( x 1 , y )}. But since ϱ 3 and ϱ 5 are consistent with the relation {( x 1 , y )}, we need to add the tuplet (⟨A ′ , M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 1 , y )} to both R [[ ϱ 3 ]] (already added) and R [[ ϱ 5 ]] (already added).
The algorithm halts (with success) when every triplet (⟨P, φ⟩, ⟨Q, ψ⟩, R ) has been processed, without any contradiction, for every relation R [[ ϱ ]] such that ϱ is consistent with R . In our example, the construction of the bisimulation halts since every triplet has been added whenever is was required. Therefore, we obtain
5
the symbolic bisimulationR= {R
[[
ϱ
i
]]
}where
i
=1
```
R [[ ϱ 1 ]] = { (⟨A, 1⟩, ⟨B, 1⟩, ∅) } R [[ ϱ 2 ]] = { (⟨A, 1⟩, ⟨B, 1⟩, ∅) } R [[ ϱ 3 ]] = { (⟨A, 1⟩, ⟨B, 1⟩, ∅) , (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) , (⟨A ′ , M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) } R [[ ϱ 4 ]] = { (⟨A, 1⟩, ⟨B, 1⟩, ∅) , (⟨A, M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 2 , y )}) } R [[ ϱ 5 ]] = { (⟨A, 1⟩, ⟨B, 1⟩, ∅) , (⟨A ′ , M( x 1)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) , (⟨A, M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 2 , y )}) , (⟨A ′ , M( x 1) ∧M( x 2)⟩, ⟨B, M( y )⟩, {( x 1 , y )}) }.
```
6 Security Protocols Analysis
In this section, we give a quick overview on how to use the symbolic framework introduced in this paper to analyse security protocols. First, we show how to specify a protocol using the concept of constrained process, and, secondly, we show how to specify security properties using equivalence-checking methods.
6.1 Protocol Specification
Process algebra SPPA along with the notion of constrained process offer a useful framework for the specification of security protocols, including cryptographic protocols. Starting from a protocol P written in a notation `a la Alice and Bob, the main idea behind our specification approach is to specify each principal involved in P as disjoint constrained processes. For instance, a principal A is specified as the constrained process ⟨A, φ A⟩, where A ::= ( S A , id A), S A is the initial SPPA agent of A , and φ A is a formula characterising the principal's initial knowledge (specified as free variables within S A). Note that a principal's initial knowledge (e.g. its private keys and the keys of other principals) are commonly implicitly specified within the initial agent S A as specific messages m ∈M or keys k ∈K. Thus, an initial agent S A is generally closed (i.e. fv( S A) = ∅) and, in that case, we have φ A ::= 1. However, our symbolic framework also allows for the specification of these initial knowledge as symbolic values (i.e. free variables). For instance, if fv( S A) = {x} and x stands for A 's private key in S A, then we put φ A ::= K( x ).
Given specifications of the protocol's principals, let say ⟨A, φ A⟩, ⟨B, φ B⟩ and ⟨S, φ S⟩, then the whole protocol is specified as the constrained process ⟨P, φ P ⟩ with P ::= A ∥ B ∥ S and φ P ::= φ A ∧ φ B ∧ φ S.
The intruders, namely the principals attacking the security protocols, are specified similarly as the other principals. Hence, an intruder is specified as a constrained process ⟨E, φ E⟩, commonly called enemy process, where E ::= ( S E , id E), S E is the initial SPPA agent of E (i.e. the SPPA agent specifying the intruder's attack) and φ E is a formula characterising the intruder's initial knowledge (as above). From this notation, the protocol P being attacked by the enemy process E is then specified as the constrained process ⟨P E , φ PE ⟩ with P E ::= P ∥ E and φ PE ::= φ P ∧ φ E.
6.2 Equivalence-Checking
We achieve security protocols analysis through a verification method called equivalence-checking. The main idea is to verify whether the protocol always acts correctly within an hostile environment. Roughly speaking, given a protocol P , we need to verify if the protocol being attacked, specified as the constrained process ⟨P E , φ PE ⟩, is equivalent to the protocol not being attacked, specified as the constrained process ⟨P, φ P ⟩. The equivalence relation used to compared the two constrained processes is a relation based on bisimulation (Definition 6), called O-bisimulation.
The concept of O-bisimulation [19], called O-congruence by Boudol [5], captures the notion of behavioural indistinguishability through an observation criterion O. Given an observation criterion O, we say that the constrained process ⟨P, φ⟩ is O-bisimilar to the constrained process ⟨Q, ψ⟩ whenever ⟨P/O, φ⟩≃ ⟨Q/O, ψ⟩. In that case, we write P ≃O Q.
From the concept of O-bisimulation, security properties are captured through different interpretations of an information flow property called bisimulation-based non-deterministic admissible interference (BNAI) [19]. In the following, we offer a quick overview of previously defined security property based on BNAI (see respective reference for further details).
Confidentiality [19]. Protocol ⟨P, φ P ⟩ preserves the confidentiality if, for
every enemy process E ,
where OE = OActE (see Section 3.2 for notation), Act secret is the set of actions containing a secret message, and Γ is a set of downgrading actions containing every encrypting action, hashing action and signing action (hence the actions causing admissible declassification of information). This confidentiality property requires that no intruder can discriminate, in an inadmissible way, the protocol's behaviour and the behaviour of the protocol exchanging no confidential information.
Authenticity [19]. Protocol ⟨P, φ P ⟩ preserves the authenticity if, for every enemy process E ,
where O auth = OAct auth, the set Act auth ⊆ Act contains actions describing critical states of a process (i.e. the actions that should not occur when the protocol is being attacked), and Γ ⊆ Act E is a set of admissible attacks containing intruder's actions corresponding to harmless interference (e.g. intruder receiving an invitation for a protocol run or initiating an honest protocol run). This authenticity property requires that no intruder can interfere in an inadmissible way with the protocol.
Denial of Service [14]. Protocol P is robust against denial of service if, for every enemy process E ,
where O costly = OAct costly , Act costly is the set of costly actions (i.e. actions requiring large amounts of resources and which could lead to resource exhaustion for some principal), and Γ ⊆ Act E is a set of admissible attacks (defined similarly as above). This denial of service property requires no causal dependency between enemy behaviours and costly actions (hence, potentially exhausting actions) of other principals.
7 Future Work and Related Work
This paper presents a symbolic framework for the analysis of security protocols. It is based on a message algebra that handles cryptographic primitives and a logic over this message algebra. The notion of constrained processes is then introduced as a value-passing process paired with a formula. Processes are defined through SPPA, a process algebra which allows for the specification of local function calls as visible actions. SPPA also gives, through marker actions, a clearer view of communication between principals. Generating functions for random numbers, fresh nonces and fresh keys, are introduced into SPPA's syntax in order to specify intruders generating fake addresses and fake messages. From SPPA symbolic semantics for constrained processes, we then establish a bisimulation equivalence. Apart from introducing a new symbolic approach, the major results of this paper are the decidability of every formula in our logic (Theorem 1), the finiteness of the symbolic operational semantics of any constrained process (Theorem 2), and the fact that the bisimulation equivalence between constrained processes corresponds to Milner's strong bisimulation between value-passing processes (Theorem 8). Another main result of this paper is a sound and complete proof method, called symbolic bisimulation, to check bisimilarity between constrained processes.
The main difference between our approach and Hennessy-Lin's [12] is the symbolic transition graph: in our symbolic transition graph (symbolic semantics), we assign to each state (process) a formula giving a precise description of the free variables involved in the process; Hennessy-Lin's symbolic framework requires considering the formula built from some path leading to a given state (process). Our symbolic framework was developed with security analysis in mind – it is then essential to have an accurate description of the symbolic values at a given state in order to properly analyse a security protocol in a computer system. Indeed, security protocol analysis often requires checking the effect of random values (e.g. nonces, fresh keys or fake messages) on certain principals of the protocol. In this context, our notion of constrained process allows us to explicitly view which such random value could lead, at a certain point of the protocol, to either a confidentiality leak or a masquerade (authentication attack). For instance, in denial of service analysis, we commonly need to verify whether a fake message sent by an intruder can cause the execution of a function requiring a large amount of resources (e.g. decryption or signature verification). In that case, one strategy based on constrained processes would be to verify, for every process following such costly action, the restriction imposed by the formula to the variable representing the fake message: if every fake message satisfies the formula, then we should conclude that the protocol can not detect fake protocol runs. If only few fake messages satisfy the formula, then we should conclude that the protocol is safe since most fake protocol runs initiated by an intruder will have been detected previously. A similar method, based on SPPA, for detecting denial of service vulnerabilities was introduced in a previous paper [14].
Other significant symbolic methods applied to security protocols were proposed by Boreale [3] and Fiore & Abadi [8]. Starting from a process algebra similar to spi-calculus, Boreale introduces a symbolic operational semantics based on unification. Boreale then gives a method carrying out trace analysis directly on the symbolic model. Also starting from a process algebra similar to spi-calculus, Fiore & Abadi propose a decision procedure for knowledge checking and a symbolic procedure for knowledge analysis. In future work, we plan to establish more complete relationships between these methods and ours. This task would require introducing constrained processes containing π -calculus and spi-calculus processes, and establishing a symbolic semantics for such constrained processes.
Acknowledgment:
Many thanks to prof. J. Mullins who helped me to write this paper, and to S. Hamadou for verifying its cryptographic soundness.
References
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A Decidability of Formulas
A formula φ is decidable whenever there is a finite algorithm allowing to verify, for every valuation ϱ , whether ϱ | = φ . But since ϱ | = φ is equivalent to | = ϱ ( φ ), and ϱ ( φ ) is a closed formula, we see that, in order to prove the decidability of every formula from our logic, it is enough to show that every closed formula φ is decidable i.e., to give an algorithm deciding whether | = φ . The first step toward proving this result consists in showing that every closed formula is equivalent to a quantifier-free (closed) formula.
Given a formula φ ::= (∃x φ 1) ∧ φ 2 and a variable y that does not occur in φ 2, it is easily seen that φ is equivalent to the formula ∃y ( φ 1[ y/x ] ∧ φ 2). Hence, we may assume that a closed formula φ is always given in its normal form i.e.,
where the φ i are either predicates ( φ i = K( t ) , I( t ) , N ( t ) or M( t )) or equations ( φ i = ( t == t ′ )) with fv( t ) , fv( t ′ ) ⊆{x 1 , . . . , x n}. (We assume that formulas 1 and 0 coincide with their normal form.) Moreover, from the definition of | = ( a == b ) given in Section 2.2, we see that every equation t == t ′ is equivalent to a finite conjunction of irreducible equations x == t ′′ . Thus, we may assume that φ ::= ∃x 1 . . . ∃xn ( φ 1 ∧ . . . ∧ φ m) where the sub-formulas φ i are either predicates or equations x == t (with x ∈{x 1 , . . . , x n} and fv( t ) ⊆{x 1 , . . . , x n}). For the following, we consider the family of closed formulas:
Therefore, given a closed formula φ , we may always assume that φ ∈F; otherwise, an equivalent formula φ ′ ∈F can be easily constructed from φ following the steps above.
Given a formula φ ∈F, we can construct an equivalent quantifier-free formula as follows. We proceed by induction on the number of existential quantifiers in φ . The case where φ has no quantifiers is trivial.
Let n ≥ 0 and assume that every formula in F with at most n existential quantifiers is equivalent to some quantifier-free formula in F. Now consider some formula φ ∈F, where
First assume that one of the φ i = ( x == t ) (let say i = 1). If t = x (i.e. φ 1 = ( x == x )), then we may drop φ 1 and assume that φ ::= ∃x∃x 1 . . . ∃xn ( φ 2 ∧ . . . ∧ φ m). Otherwise, if x occurs in t , then φ is equivalent to 0, hence ̸| = φ , since we do not allow infinite messages. If x does not occur in t , then we see that φ is equivalent to the formula
which has one less quantifier than φ . Moreover, every sub-formula φ i = ( t == t ′ ) can be replaced by an equivalent conjunction of equations ( x ′ 1 == t 1 ) ∧ . . . ∧ ( x ′ k == t k ) with x ′ j ∈{ x 1 , . . . , x n } . Since the obtained formula belongs to F , the proof is resolved using the induction hypothesis: there is a quantifier-free formula φ ′ ∈F equivalent to the formula above, and therefore equivalent to φ . Furthermore, we see that every equation can be withdrawn from φ by repeating the steps presented above for each variable x ′ j .
Now assume that none of the φ i is an equation. Moreover, assume that x occurs only in φ 1 , . . . , φ k (for k ≤ m ). Since formulas ∃xI( t ), ∃xN ( t ) and ∃xK( t ) can only be true whenever t = x , none of the other quantified variables x 1 , . . . , x m occurs in the predicates φ 1 , . . . , φ k (otherwise φ ⇔ 0). The formula φ is therefore equivalent to
)
where φ i ∈{K( x ) , I( x ) , N ( x )} (for 1 ≤ i ≤ k ). Hence, it is enough to find a quantifier-free formula ψ equivalent to ∃x( φ 1 ∧. . .∧φ k); we take ψ ::= 1 whenever
Otherwise we take ψ ::= 0. Finally, it is straightforward to see that the resulting formula (either 0 or ∃x 1 . . . ∃xn ( φ k +1 ∧ . . . ∧ φ m)) still belongs to F and has at most n quantifiers. Thus, by the induction hypothesis, we can found an equivalent formula φ ′ ∈F, which is also equivalent to φ .
For the next lemma, recall that every formula in F in closed, including the quantifier-free formulas.
Lemma 13. Every quantifier-free formula in F is decidable.
Proof. Let φ ∈F be any quantifier-free formula. If φ = 1 or φ = 0, then the statement is trivial. Now assume that φ = φ 1 ∧ . . . ∧ φ n with n ≥ 1. Since φ is closed, every sub-formula φ i is either a predicate I( a ), K( a ) or N ( a ) (every predicate M( a ) can be replaced right away with 1), or an equation a == a ′ , for some messages a, a ′ ∈M. But, as we saw in Section 2.2, each predicate I( a ), K( a ) or N ( a ) is assumed to be decidable, and each equation a == a ′ is also decidable by successive reductions. Hence, each sub-formulas φ i may therefore be individually replaced by either 1 or 0. Any such conjunction of 1 and 0 is clearly decidable.
The proof of Theorem 1 follows from Lemma 13 and the fact that every closed formula is equivalent to a formula from F.
B Operational Semantics of SPPA.
The operational semantics of SPPA is given in Fig. 7 and Fig. 8. It is a valuepassing-based semantics defined only for closed processes i.e., processes P such that fv( P ) = ∅. Rules Sum, Parallel, Protocol and Synchronisation are assumed to be associative and commutative.
A process P ′ is a derivative of P if there is a computation P γ −→ P ′ for some γ ∈ Act ∗ . We also consider the set of P 's derivatives defined as follows:
.
C Proof of the Finiteness of Symbolic Semantics
In this section, we show that, for any constrained process ⟨P, φ⟩, the transition graph associated to ⟨P, φ⟩ using SPPA's operational symbolic semantics is always finite. But in order to obtain this result, we first need to establish the following restriction on SPPA's syntax (often applied on other process algebras for similar purposes): we do not allow recursive definitions P := P 1 \ L , P := P 1 /O, P := P 1 |P 2, or P := P 1 ∥ P 2 such that P occurs somewhere within either P 1's or P 2's definition. Hence, we assume that any recursive definition of some SPPA's agent or process P (i.e. where P is defined using a self reference P ) never uses a restriction operator, nor an observation operator, nor a parallel composition operator, nor a protocol operator. Such recursive definitions often lead to "infinite" processes, i.e. SPPA processes with infinitely many derivatives. For instance, processes P ::= ( c ( x ) .P ) \ L and P ::= P |P ′ are refrained, while processes P := let x = f ( t ) in P and P := c ( x ) .P + P ′ are retained.
We say that the process P ′ is a sub-process of the constrained process ⟨P, φ⟩ whenever there is some formula φ ′ such that ⟨P ′ , φ ′ ⟩∈D(⟨P, φ⟩).
Lemma 14. Every constrained process ⟨P, φ⟩ has finitely many sub-processes i.e., the set {P ′ | ⟨P ′ , φ ′ ⟩∈D(⟨P, φ⟩) for some φ ′ } is finite.
Proof. The proof follows from the fact that SPPA's symbolic semantics rules (Fig. 1 and Fig. 2) never alter the initial definition of P (and its sub-processes), neither through substitution P ′ [ t/x ] or variable renaming. Hence, any sub-process P ′ occurring in D(⟨P, φ⟩) must be syntactically identical to its initial definition within P . We may therefore conclude that the cardinality of the set {P ′ | ⟨P ′ , φ ′ ⟩∈D(⟨P, φ⟩) for some φ ′ } is at most N u + 2 N b, where N u is the number of unary SPPA operators (output, input, function call, match, restriction, etc.) used in the syntactical definition of P , and N b is the number of binary operators (sum, parallel composition, etc.) used in the syntactical definition of P .
It follows from Lemma 14 that, for any constrained process ⟨P, φ⟩, there are only finitely many variables occurring in P and its sub-processes. Moreover, these variables are exactly the ones used within P 's syntactical definition. Let {x 1 , . . . , x n} be the finite set containing those variables. We may also conclude from observing the semantics rules that fv( φ ′ ) ⊆{x 1 , . . . , x n} for any formula φ ′ ∈ Φ , where Φ = {φ ′ | ⟨P ′ , φ ′ ⟩∈D(⟨P, φ⟩) for some P ′ }. Thus, any variable
Figure 8: Semantics of SPPA processes.
occurring in some derivative ⟨P ′ , φ ′ ⟩∈D(⟨P, φ⟩) (either in P ′ or in φ ′ ) must also occur somewhere in the initial definition of P (or its sub-processes).
A computation ⟨P, φ⟩ γ −→⟨P ′ , φ ′ ⟩ is said to be minimal whenever no constrained process appears more than once during the computation, including constrained processes ⟨P, φ⟩ and ⟨P ′ , φ ′ ⟩. Hence, neither ⟨P, φ⟩ nor ⟨P ′ , φ ′ ⟩ may appear within the minimal computation, except at the extremities, although we allow them to be the same constrained process. Any computation ⟨P, φ⟩ γ −→⟨P ′ , φ ′ ⟩ may clearly be reduced to a minimal sub-computation ⟨P, φ⟩ γ ′ −→⟨P ′ , φ ′ ⟩ (where γ ′ is a sub-sequence of γ ) by taking out any loop within the computation of γ .
Lemma 15. For every constrained process ⟨P, φ⟩, there are only finitely many minimal computations ⟨P, φ⟩ γ −→⟨P, φ ′ ⟩.
Proof. First, we see that any constrained process ⟨P, φ⟩ as finitely many transitions emanating from it i.e., the set
is finite. Indeed, we see from the semantics rules that the existence of a transition ⟨P, φ⟩ α −→⟨Q, ψ⟩, along with the value of the action α , depends only on the process P and not on the formula φ (as long it is not equivalent to 0). Moreover, since ⟨P, φ⟩ has only a finite number of sub-processes (by Lemma 14), the total number of actions α occurring within ⟨P, φ⟩'s semantics must be finite.
We may therefore conclude that given any two constrained processes, there are finitely many minimal computations between them. Indeed, if N p denotes the number of P 's sub-processes and N a denotes the number of actions occurring within ⟨P, φ⟩'s semantics, then the number of minimal computations between any two constrained processes is at most N p! · N p Na+1 , where
– N p! is a bound on the number of possible sequences of sub-processes corresponding to some minimal computation between the two constrained processes (i.e. no sub-process may occur twice), and
– N p Na+1 is a bound on the number of possible sequences of actions corresponding to some minimal computation between the two constrained processes.
In particular, there are only finitely many minimal computations between ⟨P, φ⟩ and ⟨P, φ ′ ⟩.
Proof of Theorem 2. Let ⟨P, φ⟩ be a constrained process and assume that it has infinitely many derivative i.e., D(⟨P, φ⟩) is infinite. In that case, and since the number of transitions emanating from some constrained process is always bounded, there is an infinite computation
with pairwise different constrained processes (i.e. no constrained process occurs more than once during the computation). Let {x 1 , . . . , x n} be the set of variables occurring in the computation (1) (we saw above that this set must be finite). Since every formula ψ occurring in the computation (1) is such that fv( ψ ) ⊆ {x 1 , . . . , x n}, we may assume that the infinite computation has a tail
such that fv( φ 1) = fv( ψ k) = {x 1 , . . . , x n}, for k ≥ 2. Moreover, since P has finitely many sub-processes (by Lemma 14), we may assume that process P 1 occurs infinitely often in this computation. Hence, we can write
with γ k ∈ Act ∗ and fv( φ k) = {x 1 , . . . , x n}, for k ≥ 1. We may also assume that each computation ⟨P 1 , φ k⟩ γ k −→⟨P 1 , φ k +1 ⟩ is minimal. Moreover, by Lemma 15,
,
there are finitely many minimal computations between any ⟨P 1 , φ k⟩ and ⟨P 1 , φ k′ ⟩ thus there are finitely many different sequences of actions γ k. Assume that these possible sequences of actions are γ ′ 1 , γ ′ 2 , . . . , γ ′ m , hence any γ k from the computation (2) is such that γ k ∈{γ ′ 1 , γ ′ 2 , . . . , γ ′ m } . Furthermore, we can assume that each γ ′ k occurs infinitely often within the computation (2). Otherwise, if one of the sequence of actions γ ′ k occurs only a finite number of times within the infinite computation, then we consider the infinite computation obtained by cutting the computation (2) after the last occurrence of γ ′ k ; this computation contains no γ ′ k .
From the proof of Lemma 15, we know that the fact that a constrained process ⟨P ′ , φ ′ ⟩ may execute an action depends only on the definition of the process P ′ (as long φ ′ is not equivalent to 0). Hence, given any sequence of action γ ′ k , every computation ⟨P 1 , φ l⟩ γ ′ k −→⟨P 1 , φ l +1 ⟩ transforms the formula φ l to the formula φ l +1 following the exact same rule (for any l ). Moreover, we see from the symbolic semantics rules that we must have
for some formulas ψ k and ψ ′ k (which do not depend on l ), and where {x(k) 1 , . . . , x ( k ) n k } ⊆{ x 1 , . . . , x n } . Also notice that the formula φ l +1 is equivalent to the formula
where the y(k) i are new variables. For simplicity, we use the following notation:
– we write φ [ y(k) i ] instead of φ [ y (k) 1 /x (k) 1 ] . . . [ y ( k ) n k /x ( k ) n k ].
Using this notation, we have
Now consider the family of formula mappings {Γ k} m k =1 with
where the y(k) i are always new variables i.e., any mapping Γ k (for 1 ≤ k ≤ m ) never uses the same variables y(k) 1 , . . . , y ( k ) n k twice. From our arguments above, we see that Γ k( φ l) ⇔ φ l +1 for any l ≥ 1 such that ⟨P 1 , φ l⟩ γ ′ k −→⟨P 1 , φ l +1 ⟩, and the sequence of formulas φ 1 , φ 2 , φ 3 , . . . from the computation (2) can therefore be written as
But each mapping Γ k essentially does two things: on one hand Γ k substitutes the variables x(k) 1 , . . . , x ( k ) n k with some new variables y (k) 1 , . . . , y ( k ) n k , and, on the other hand Γ k introduces (through conjunction) formulas ψ k and ψ ′ k . Since Γ k always introduces new variables, we may assume that every formula φ l from the computation (2) has the form ∃y 1 ,...,yn ψ where the y 1 , . . . , y n are variables y(k) 1 , . . . , y ( k ) n k introduced during previous applications of the mappings Γ k (for 1 ≤ k ≤ m ), and ψ is some quantifier-free formula. Moreover, the formula ψ has the form φ 1[ y(k1) i ] . . . [ y(kl) i ] ∧ ψ ′ , where the formula ψ ′ is a conjunction of formulas ψ k and ψ ′ k (for 1 ≤ k ≤ m ) on which substitutions [ y (k1) i ] . . . [ y(kl) i ] where applied. Although there will be infinitely many new variables y(k) 1 , . . . , y ( k ) n k introduced during the infinite computation, we show that, at some point during the computation, the introduction of those new variables by some Γ k, and their substitution with the variables x(k) 1 , . . . , x ( k ) n l , will create a formula φ l equivalent to a previous formula φ l ′ .
First, we see that Γ k's substitutions are applied at most once on the formulas within ψ ′ . Indeed, consecutive substitutions
gives the formula φ 1[ y(k) 1 /x (k) 1 ] . . . [ y ( k ) n k /x ( k ) n k ], hence φ l [ y (k) i ]. The same remark is true for any formula ψ k and ψ ′ k , for 1 ≤ k ≤ m , and consequently for the formula ψ ′ . Since there are m mappings Γ k, and therefore m sets of variables {x(k) 1 , . . . , x ( k ) n k } to be substituted, there at most m ! non-equivalent composed substitutions of the form [ y(k1) i ] . . . [ y(kl) i ] that can be obtained by composing the Γ k; two composed substitutions are equivalent whenever the order in which the sets of variables {x(k) 1 , . . . , x ( k ) n k } are substituted is exactly the same (the names of the new variables y(k) 1 , . . . , y ( k ) n k does not matter). Moreover, since each mapping Γ k always introduces the same formulas ψ k and ψ ′ k , the number of possible formulas we can obtain from the ψ k and ψ ′ k , and any composed substitution over the sets of variables {x(k) 1 , . . . , x ( k ) n k } is at most 2 m ( m !), thus finite. But since we assumed that every sequence of actions γ ′ k occurs infinitely often in the computation (2), at some point, for any new variables y(k) 1 , . . . , y ( k ) n k introduced by some mapping Γ k (through a substitution of x(k) 1 , . . . , x ( k ) n k ) there are previously introduced variables z(k) 1 , . . . , z ( k ) n k which are present within the exact same equivalent composed substitutions applied to the exact same formulas ψ l and ψ ′ l . In that case, the new set of variables y(k) 1 , . . . , y ( k ) n k can be replaced by the z (k) 1 , . . . , z ( k ) n k , and the obtained formula is equivalent to a previous formula φ l. In fact, we can see that at some point in the infinite computation (2), more precisely when each γ ′ k occurred at least 2 m ( m !) times, any new application of the mapping Γ k gives a formula equivalent to a previous application of Γ k. Thus, there are formulas
θ 1 , . . . , θ m such that φ l +1 ⇔ θ k whenever
for every l ≥ K (for some K ≥ 1 large enough). Hence, Γ k( θ k′ ) ⇔ θ k. But this contradicts the fact that the formulas φ l (from the computation (2)) are pairwise not equivalent, and therefore contradicts the existence of the infinite computation (2). Hence, the set D(⟨P, φ⟩) must be finite.
Remark. The formulas θ k from the previous proof are too large to be explicitly written down in this paper, but we can see that they have the following form
where y 1 , . . . , y n ′ are new variables introduced by the mappings Γ k, with {k 1 , . . . , k m} = {1 , . . ., m} and y(k1) i , . . . , y(km) i , z(k) i ∈{y 1 , . . . , y n′}. The formula θ , present in every θ k, is the formula obtained by considering the conjunction of every possible combination of composed substitutions [ y(k1) i ] . . . [ y(km) i ] (for new variables y(k) i ) applied on every formulas ψ k and ψ ′ k (for k = 1 , . . . , m ). The formula θ may be a very large formula (although it is rather small in most practical cases) which turns out to be some sort of fixed point for every mapping Γ k. Indeed, since θ contains every composed substitution applied on every formulas introduced by the mappings, then any new substitution introduced by some Γ k will have no effect on θ . The family of formulas {θ k} m k =1 will therefore be such that Γ k( θ k′) ⇔ θ k, for any k, k ′ .
D Proofs of Lemma 3, Lemma 4 and Lemma 5
Proof of Lemma 3. In order to shorten the proof, the two statements are proved simultaneously by induction on the structure of P . Depending on the statement to prove, we put either
The case where P = 0 is trivial. If P = c ( t ) .P ′ , or P = c ( x ) .P ′ , or P = let x = f ( t ) in P ′ , or P = let ( x, y ) = t in P ′ , or P = case t of {x}t′ in P ′ , or P = case t of [ t ′′ ]t′ in P ′ , then the conclusion follows from rules Output, Input, Function, Generator, Split, Decryption and Signature-Verif.
If P = P 1 + P 2, or P = P 1 |P 2, or P = P 1 ∥ P 2 (and α is not a marker action), then, from semantics rules Sum, Parallel and Protocol, we may assume that
with either P ′ ::= P ′ 1 , or P ′ ::= P ′ 1 | P 2 , or P ′ ::= P ′ 1 ∥ P 2 . Thus, by the induction hypothesis,
Therefore, ⟨P, φ⟩ α ′ −→⟨P ′ , φ ′ ⟩ (resp. ⟨P, φ⟩ β ′ −→⟨P ′ , φ ′ ⟩). If P = P 1 ∥ P 2 and α is a marker action, then we may assume that
]
and
]
with P ′ ::= P ′ 1 ∥ P 2 or P ′ ::= P ′ 1 ∥ P ′ 2 . By the induction hypothesis, we have ⟨P 1 , φ⟩ c id 1 ( t ) −→⟨P ′ 1 , φ ′ ⟩ (with a = t [ a 1 /x 1 ] . . . [ a n /x n ]) and ⟨ P 2 , φ ⟩ c id 2 ( x ) −→⟨P ′ 2 , φ ′ ⟩ . Hence ⟨P, φ⟩ α ′ −→⟨P ′ , φ ′ ⟩ by Synchronisation.
If P = [ t = t ′ ] P 1 (with t [ a 1 /x 1] . . . [ a n /x n] = t ′ [ a 1 /x 1] . . . [ a n /x n]), then P 1[ a 1 /x 1] . . . [ a n /x n] α −→ Q ′ (resp. P 1[ a 1 /x 1] . . . [ a n /x n] β −→ Q ′ ) and, by the induction hypothesis, we see that
Therefore, by semantics rule Match, ⟨P, φ⟩ α ′ −→⟨P ′ , φ ′ ⟩ (resp. ⟨P, φ⟩ β ′ −→⟨P ′ , φ ′ ⟩) with φ ′ ̸⇔ 0 since ϱ | = ( t == t ′ ) for any ϱ such that ϱ ( x i) = a i. α
If P = P 1 \ L (with α, β ̸∈ L ), then P 1[ a 1 /x 1] . . . [ a n /x n] −→ Q ′ (resp. P 1[ a 1 /x 1] . . . [ a n /x n] β −→ Q ′ ) and, by the induction hypothesis, we have ⟨P 1 , φ⟩ α ′ −→⟨P ′ , φ ′′ ⟩ (resp. ⟨P 1 , φ⟩ β ′ −→⟨P ′ , φ ′′ ⟩) with φ ′′ ̸⇔ 0. Therefore, ⟨P, φ⟩ α ′ −→⟨P ′ , φ ′ ⟩ (resp. ⟨P, φ⟩ β ′ −→⟨P ′ , φ ′ ⟩) with φ ′ 0 since ϱ | = φ L α ′ (resp. ϱ | = φ L β ′ ) for any ϱ such that ϱ ( x i ) = a i .
Finally, if P = P 1 /O, then there is a computation
such that γ ∈O − 1 ( α ) (resp. γ ∈O − 1 ( β )) and with Q ′ = P ′ 1 [ a 1 /x 1 ] . . . [ a n /x n ] / O (resp. Q ′ = P ′ 1 [ a/x ][ a 1 /x 1 ] . . . [ a n /x n ] / O ). Thus, by the induction hypothesis, we have ⟨P 1 , φ⟩ γ ′ −→⟨P ′ 1 , φ ′ ⟩ where γ = γ ′ [ a 1 /x 1 ] . . . [ a n /x n ] (resp. γ = γ ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n]). Hence, by semantics rule Observation and since P = P 1 /O and P ′ = P ′ 1 / O , we see that ⟨ P, φ ⟩ α ′ −→⟨P ′ , φ ′ ⟩, (resp. ⟨P, φ⟩ β ′ −→⟨P ′ , φ ′ ⟩) which concludes the proof.
Proof of Lemma 4. For simplicity, the two statements are proved simultaneously by induction on the structure of P . The case where P = 0 is trivial.
Let ϱ be a valuation such that ϱ | = φ ′ and put Q ::= P [ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n] and, depending on the statement proved, put either
]
or
Also put α ::= ϱ ( α ′ ) and β ::= ϱ ( β ′ ).
If
P
=
c
(
t
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.P
′
, or
P
=
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x
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let(
x, y
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in
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then we have either
, or
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or
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case ϱ
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)
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=
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in case
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of let
x
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ϱ
(
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′
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[
=
{
f
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t
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(
t
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t
=
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in
′
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Q
Q
′
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, or
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ϱ
(
t
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)]
α
β
ϱ t
[
x
]
ϱ t
Q
′
. Thus
Q −→ Q
′
(resp.
Q −→ Q
′
).
If P = P 1 + P 2, or P = P 1 |P 2, or P = P 1 ∥ P 2, then either Q = Q 1 + Q 2, or Q = Q 1 |Q 2, or Q = Q 1 ∥ Q 2, where Q 1 ::= P 1[ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n] and Q 2 ::= P 2[ ϱ ( x 1) /x 1] . . . [ ϱ ( x 1) /x n]. Whenever α ′ is not a marker action, we may assume that ⟨P 1 , φ⟩ α ′ −→⟨P ′ 1 , φ ′ ⟩ (resp. ⟨ P 1 , φ ⟩ β ′ −→⟨P ′ 1 , φ ′ ⟩ ) with either P ′ ::= P ′ 1 , or P ′ ::= P ′ 1 | P 2 , or P ′ ::= P ′ 1 ∥ P 2 . Hence, by the induction hypothesis, we see that
()
of
()
in
thus, Q α −→ Q ′ (resp. Q β −→ Q ′ ). Now assume that α ′ is a marker action, with P = P 1 ∥ P 2. Then we may assume that ⟨P 1 , ψ 1 ⟩ c id 1 ( t ) ⟨P ′ 1 , ψ ′ 1 ⟩ and ⟨P 2 , ψ 2 ⟩ c id 2 ( x ) ⟨P ′ 2 , ψ ′ 2 ⟩ with φ = ψ 1 ∧ ψ 2 . By the induction hypothesis, we have
and
Therefore, P α −→ P ′ by rule Synchronisation.
If P = [ t = t ′ ] P 1, then we have ⟨P 1 , φ⟩ α ′ −→⟨P ′ , ψ⟩ (resp. ⟨P 1 , φ⟩ β ′ −→⟨P ′ , ψ⟩) with ϱ | = ψ and ϱ | = ( t == t ′ ) since ϱ | = φ ′ . Therefore, by the induction hypothesis, we have ⟨Q 1 , φ⟩ α ′ −→⟨Q ′ , ψ⟩ (resp. ⟨Q 1 , φ⟩ β ′ −→⟨Q ′ , ψ⟩) where Q 1 ::= P 1[ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n]. Thus, by rule Match, Q α −→ Q ′ (resp. Q β −→ Q ′ ) since ϱ ( t ) = ϱ ( t ′ ).
If P = P 1 \ L , then we have ⟨P 1 , φ⟩ α ′ −→⟨P ′ 1 , ψ ⟩ (resp. ⟨ P 1 , φ ⟩ β ′ −→⟨P ′ 1 , ψ ⟩ ) with P ′ = P ′ 1 \ L and φ = ψ ∧ φ L α ′ (resp. φ = ψ ∧ φ L β ′ ). Furthermore, we see that
Q = Q 1 \ L where Q 1 ::= P 1[ ϱ ( x 1) /x 1] . . . [ ϱ ( x n) /x n]. Since ϱ | = ψ , we see, by the induction hypothesis, that
But ϱ | = φ ′ , therefore ϱ | = φ L α ′ (resp. ϱ | = φ L β ′ ), we have α, β ̸∈ L . Hence Q α −→ Q ′ (resp. Q β −→ Q ′ ).
If P = P 1 /O, then there is a computation ⟨P 1 , φ⟩ γ ′ −→⟨P ′ 1 , φ ′ ⟩ such that γ ′ ∈ O − 1 ( α ) (resp. γ ′ ∈O − 1 ( β )) and with P ′ = P ′ 1 / O . By the induction hypothesis, we see that Q 1 γ −→ Q ′ 1 where Q ′ 1 ::= P ′ 1 [ ϱ ( x 1 ) /x 1 ] . . . [ ϱ ( x n ) /x n ] (resp. Q ′ 1 ::= P ′ 1 [ ϱ ( x ) /x ][ ϱ ( x 1 ) /x 1 ] . . . [ ϱ ( x n ) /x n ]) and γ = ϱ ( γ ′ ). Thus, Q α −→ Q ′ since γ ∈ O − 1 ( α ) (resp. Q β −→ Q ′ since γ ∈O − 1 ( β )).
Proof of Lemma 5. For simplicity, the two statements are proved simultaneously by induction on the structure of P . If the transition ⟨P, φ⟩ α ′ −→⟨P ′ , φ ′ ⟩ (resp. ⟨P, φ⟩ β ′ −→⟨P ′ , φ ′ ⟩) comes from either Output, Input, Function, Generator, Split, Decryption, Signature-Verif, then we directly see from the definition of φ ′ that | = φ ′ [ a 1 /x 1] . . . [ a n /x n] (resp. | = φ ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n]) whenever | = φ [ a 1 /x 1] . . . [ a n /x n].
If P = P 1 + P 2, or P = P 1 |P 2, or P = P 1 ∥ P 2 (and α is not a marker action), then we may assume that φ = φ 1 ∧φ 2 and φ ′ = φ ′ 1 ∧ φ 2 , with ⟨ P 1 , φ 1 ⟩ α ′ −→⟨P ′ 1 , φ ′ 1 ⟩ (resp. ⟨P 1 , φ 1 ⟩ β ′ −→⟨P ′ 1 , φ ′ 1 ⟩ ). Therefore, since | = φ [ a 1 /x 1 ] . . . [ a n /x n ], we must have | = φ 1[ a 1 /x 1] . . . [ a n /x n], therefore by the induction hypothesis we see that | = φ ′ 1 [ a 1 /x 1 ] . . . [ a n /x n ] (resp. | = φ ′ 1 [ a/x ][ a 1 /x 1 ] . . . [ a n /x n ]). Hence, we have | = φ ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n] (resp. | = φ ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n]) since | = φ 2[ a 1 /x 1] . . . [ a n /x n]. The case where α is a marker action is similar. Now, if P = [ t = t ′ ] P 1, then we see, for any definition for φ ′ , that the statement holds since t [ a 1 /x 1] . . . [ a n /x n] = t ′ [ a 1 /x 1] . . . [ a n /x n].
If P = P 1 \L , then φ ′ = φ 1 ∧ φ L α ′ (resp. φ ′ = φ 1 ∧ φ L β ′ ). By the induction hypothesis, we see that | = φ 2[ a 1 /x 1] . . . [ a n /x n] (resp. | = φ 1[ a/x ][ a 1 /x 1] . . . [ a n /x n]), and since α, β ̸∈ L , | = φ L α ′ [ a 1 /x 1 ] . . . [ a n /x n ] (resp. | = φ L β ′ [ a/x ][ a 1 /x 1 ] . . . [ a n /x n ]). Therefore, | = φ ′ [ a 1 /x 1] . . . [ a n /x n] (resp. | = φ ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n]). Finally, assume that P = P 1 /O. Then ⟨P 1 , φ⟩ γ ′ −→⟨P ′ 1 , φ ′ ⟩ , where P ′ = P ′ 1 and γ ′ ∈O − 1 ( α ′ ) (resp. γ ′ ∈O − 1 ( β ′ )). Thus, by using the induction hypothesis for each action within the sequence γ ′ , we see that | = φ ′ [ a 1 /x 1] . . . [ a n /x n] (resp. | = φ ′ [ a/x ][ a 1 /x 1] . . . [ a n /x n]) whenever | = φ [ a 1 /x 1] . . . [ a n /x n].
|
Presented by: Tim Brown, QKA, The Retirement Plan Company Patty Ioas, CPA, Brady Ware
Know Your Fiduciary Obligations as a Retirement Plan Sponsor
AGENDA
* Definitions
* Responsibilities to Participants
* Responsibilities for Plan Operations
* Impact of not Fulfilling Responsibilities
* Best Practices
* Call to Action
DEFINITIONS
Fiduciary – As defined by ERISA
Any person or group of people who:
* Exercises discretionary control or authority over the management of the plan or the plan's assets
* Provides investment advice to a retirement plan or plan participants for a fee
* Has discretionary authority over plan administration
5
DEFINITIONS
Named Fiduciary – Named in the plan document
Deemed Fiduciary – Named as a directed trustee to perform certain plan operating functions such as:
* Custodial or trustee services for plan assets p
* Process plan withdrawals
* Provide plan reporting
* Process transactions requested by a plan administrator
DEFINITIONS
6
Are you a fiduciary?
Yes No Maybe
Plan Sponsor
Plan Trustee
Company President
CFO
Payroll Clerk
Human Resources Manager
DEFINITIONS
* Company title/position does not determine if you are a plan fiduciary
* Your role as it applies to the retirement plan pp p determines if you are a plan fiduciary
8
Maybe
DEFINITIONS
Service Providers
Yes
Third Party Administrator
Record Keeper
Investment Advisor/Broker
Attorney
Plan Auditor
DEFINITIONS
Code of Conduct
Fiduciaries should act solely in the interest of plan participants and their beneficiaries and p p p f with the exclusive purpose of providing benefits to them.
No
7
RESPONSIBILITIES TO PARTICIPANTS
* Enrollment education/Enrollment meetings
* Investment education
* Reporting Reporting
11
RESPONSIBILITIES TO PARTICIPANTS
Enrollment Education/Enrollment Meetings
* Summary Plan Description (SPD)/Plan Operations
* Eligibility
* Contributions
* Matching, if any
* Vesting
* Distribution options
* Loans, if available
10
12
RESPONSIBILITIES TO PARTICIPANTS
Investment Education
* General Investment Education
* Plan Specific Options
* Expenses
* Risk vs. return
* Default fund/QDIA
* Investment Models/Target Date Funds
RESPONSIBILITIES TO PARTICIPANTS
Reporting
* Summary Annual Report (SAR)
* Summary of Material Modifications (SMM)
* Fee Disclosures • Fee Disclosures
* Plan/investment changes
14
RESPONSIBILITIES TO PARTICIPANTS
Electronic vs. Paper Reporting
* DOL Safe Harbor Rule
-- Group 1 - Participants who can access E-documents where they work.
h h ff l -- Group 2 - Those not in Group 1 who affirmatively consent to E delivery. Can be burdensome to maintain consents.
* Non Safe Harbor is available
15
RESPONSIBILITIES FOR PLAN OPERATIONS
* Plan Compliance
* Timely Deposit of Elective Deferrals
* Monitoring Investments Monitoring Investments
* Fee Disclosure
RESPONSIBILITIES FOR PLAN OPERATIONS
Plan Compliance
* Plan document/Adoption agreement
* Enrollment/eligibility
* Contributions
* Distributions
* Loans
* Form 5500 filing
17
RESPONSIBILITIES FOR PLAN OPERATIONS
* Carrying out duties prudently
* Following the plan document
* Diversifying plan investments Diversifying plan investments
* Paying only reasonable plan expenses
18
RESPONSIBILITIES FOR PLAN OPERATIONS
IRS Top 10 Plan Compliance Issues
1. Late deposit of 401(k) deferrals
2. Improper 401(k) accelerated deductions
3. Failure to use correct compensation
4 Improper exclusion of eligible employees for 4. Improper exclusion of eligible employees for purposes of ADP and/or ACP testing
5. Misclassification of highly and non-highly compensated employees for purposes of ADP/ACP testing
RESPONSIBILITIES FOR PLAN OPERATIONS
IRS Top 10 Plan Compliance Issues – continued
6. Failure to correct or timely correct ADP and/or ACP failures
7. Incorrect employer matching contributions
8. Deferrals in excess of code section 402(g) limits
9. Failure to provide the safe harbor plan notice
10. Failure to meet hardship distribution requirements
20
RESPONSIBILITIES FOR PLAN OPERATIONS
Timely Deposit of Elective Deferrals
Deposited as of the earliest date on which such elective deferrals and/or loan repayments can b bl d f h l ' be reasonably segregated from the employer's general assets
21
RESPONSIBILITIES FOR PLAN OPERATIONS
Timely Deposit of Elective Deferrals
Small Plans – Safe harbor
Fewer than 100 participants at the beginning of the plan year plan year
Deposited by the 7 th business day following the day on which such amount is withheld from employee's pay
RESPONSIBILITIES FOR PLAN OPERATIONS
Timely Deposit of Elective Deferrals
Large Plans
* Deposit history established benchmark for measurement
* No later than the 15 th business day following the month in which the elective deferrals or loan repayments are withheld from the employee's pay
23
RESPONSIBILITIES FOR PLAN OPERATIONS
Monitoring Investments
* Documented investment selection process
* Investment Policy Statement
* Diversified investment lineup
* Quarterly or annual investment due diligence report
* Documentation of all investment review meetings
* Appropriate default investment
24
RESPONSIBILITIES FOR PLAN OPERATIONS
Fee disclosures
* Details on services provided to the plan and the total fees paid by the plan, the plan sponsor, or an affiliate
CdSiP id i l d TPA' • Covered Service Providers include TPA's, trustees, investment advisors, accountants, attorneys, consultants, and other similar service providers
IMPACT OF NOT FULFULLING RESPONSIBILITIES
* Impact to Fiduciary
* Impact to Plan
* Impact to Plan Sponsor
26
IMPACT OF NOT FULFULLING RESPONSIBILITIES
Retirement Plans' Fiduciaries Are Found Liable to Plans for $36.9 Million: Tussey v. ABB, Inc. 04.19.2012
In Tussey v. ABB, Inc., No. 2:06-cv-04305 (Western District of Missouri, March 31, 2012), a class action case brought by present and former employees of ABB, Inc., the U. S. District Court for the Western District of Missouri ruled that plan fiduciaries were liable for several breaches of fiduciary duty and ordered the respective defendants to pay a total of $36.9 million to compensate for losses to the plans. The court's detailed order throws a bright light on several instances of plan mismanagement that could be valuable guideposts for other plan administrators, both as to important administrative measures to take and certain actions to avoid.
27
IMPACT OF NOT FULFULLING RESPONSIBILITIES
Retirement Plans' Fiduciaries Are Found Liable to Plans for $36.9 Million: Tussey v. ABB, Inc. 04.19.2012
* $13.4 Million against ABB for failure to monitor record keeping costs and fees
* $21.8 Million against ABB for removing one fund and replacing it with another without prudent deliberation
* $1.7 Million against Fidelity for lost float income
IMPACT OF NOT FULFULLING RESPONSIBILITIES
Gerald George v. Kraft Foods Global, Inc. (2011, CA7) 2011 WL1345463
A group of plan participants claim that the fiduciaries did not provide a remedy to a particular investment which caused it to underperform. The plan participants also claimed the fees paid to a third party record keeper were excessive. The case was returned to the district court for further consideration after the Seventh Circuit reversed portions of the district ' fi di i f f h l i i court's findings in favor of the plan participants.
Kraft Foods has agreed to pay $9.5 million to settle lawsuits; however, Kraft continues to dispute the allegations and asserts that the Plan has always been appropriately managed to offer a menu of sound options for participants' retirement savings.
IMPACT OF NOT FULFULLING RESPONSIBILITIES 29
US Labor Department sues trustee of defunct Mentor, Ohio, company to recover profit sharing plan assets
MENTOR, Ohio– The U.S. Department of Labor has sued the trustee of the North Coast Wood
Products Profit Sharing Plan, Harry Fishleigh III, for improperly transferring $96,837.63 in plan assets to his son, Steven Fishleigh, in violation of the Employee Retirement Income Security Act. "This case demonstrates a clear breach of fiduciary duty on the part of the trustee ," said Paul C. Baumann, director of the Cincinnati Regional Office of the Labor Department's Employee Benefits Security Administration. "When plan fiduciaries fail to act in the best interest of plan participants, the Lab o r Department will hold them accountable." p
The suit alleges that the defendant transferred the total plan assets, belonging to 11 participants, to his son from July 2006 to July 2009. The defendant was president and part owner of Mentorbased North Coast Wood Products Inc., which ceased operations in late 2005.
Filed in the U.S. District Court for the Northern District of Ohio in Cleveland, the suit seeks to restore to the plan all losses, including lost opportunity costs. The suit also seeks the distribution of plan assets to affected plan participants and to permanently bar the defendant from serving as a fiduciary or service provider to any employee benefit plan covered by ERISA.
IMPACT OF NOT FULFULLING RESPONSIBILITIES 30
US Labor Department sues Wisconsin-based B & K Builders, co-owners to recover more than $114,000 for company's employee benefit plans
MARSHFIELD, Wis. – The U.S. Department of Labor has sued B & K Builders Inc. of Marshfield and its co-owners, Robert Aschenbrenner and Kenneth Staab, to restore $17,835.41 plus interest to the company's 401(k) profit-sharing plan, in addition to unremitted employer contributions for the Prevailing Wage Plan in excess of $97,000.
Th l it fil d i U S di t i t t i M di ll th t th The lawsuit, filed in U.S. district court in Madison, alleges that the company, Aschenbrenner and Staab failed to forward $17,835.41 in employee contributions to the company's 401(k) plan from Sept. 23, 2006, to May 15, 2008. They also failed to timely remit employee contributions to the plan from June 30, 2005, to Aug. 24, 2006. The plan had 52 active participants and $222,633 in assets as of March 31, 2009, the latest information available.
IMPACT OF NOT FULFULLING RESPONSIBILITIES31
US Department of Labor sues architectural design company to restore more than $135,000 in assets to company's 401(k) plan
TUCKER, Ga. – The U.S. Department of Labor has sued fiduciaries of architectural company Milton Pate and Associates seeking to recover $135,516 for participants and beneficiaries of the company's 401(k) profitsharing plan.
The lawsuit, filed in the U.S. District Court for the Northern District of Georgia, Atlanta Division, alleges that the defendants violated the Employee Retirement Income Security Act by taking prohibited loans from the plan and not forwarding employee contributions to the plan in a timely manner.
The department's Employee Benefits Security Administration alleges that Milton Pate Sr. took out a loan from the plan that is currently in default with a balance of $94 778 Additionally his son Milton Pate Jr secured the plan that is currently in default with a balance of $94,778. Additionally, his son, Milton Pate Jr., secured three loans from the plan, with a remaining outstanding loan balance of $38,938. Finally, EBSA found that employee contributions to the plan between January 2007 and August 2008 were not forwarded in a timely manner, resulting in lost earnings of $1,800.
The department is requesting that the court order the defendants to restore all losses to the plan, including interest or lost opportunity costs, and set off the defendants' individual plan accounts against the amount of losses. Also, the department seeks removal of the defendants from their fiduciary roles, an order barring them from serving in the future as fiduciaries over any plan subject to ERISA, and the appointment of an independent fiduciary at the defendants' expense
32
BEST PRACTICES
* Document decisions and the basis for those decisions – "Prudent" decision making process
* Plan advisory committee
* Annual review of plan operations - internal Annual review of plan operations internal
* External check-up of plan operations
* Hiring qualified service providers
BEST PRACTICES
* External Service Providers Team
- Third Party Administrator
- Record keeper
- Accountant
- Legal Counsel – ERISA attorney Legal Counsel ERISA attorney
- Investment Advisor
* Investment Policy Statement
* Investment Evaluation/Review
BEST PRACTICES
* Maintain plan records
* Understand Plan Operations
* Ask Questions when you are unsure
* Plan Oversight – Review reports
* Maintain records at participant level
* Keeping track of terminated participants
* Keep current on developments & regulations
35
BEST PRACTICES
* Fidelity bond
* IRS/EBSA resources
www.irs.gov/Retirement-Plans/
www.dol.gov/ebsa/
* Use of a plan compliance checklist
CALL TO ACTION
* Be engaged
- Understand what is happening with the plan
- Ask questions
- Review reports
i f l i / li • Review of plan operations/compliance
- Internal review
- Independent review
CALL TO ACTION
* Annual review of service providers
* Review of plan fees
* Review levels of insurance coverage
* Maintain documentation
* Health & Welfare plan compliance
37
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39
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Secondary metabolites from higher fungi in China and their biological activity
Ji-Kai Liu*
State Key Laboratory of Phytochemistry and Plant Resources in West China, Kunming Institute of Botany, Chinese Academy of Sciences, Kunming, China.
ABSTRACT: As a part of our search for naturally occurring bioactive metabolites from higher fungi, we investigated the chemical constituents of basidiomycetes and ascomycetes fungi (Albatrellus confluens, Albatrellus dispansus, Boletus edulis, Boletopsis grisea, Bondarzewia berkeleyi, Cortinarius tenuipes, Cortinarius vibratilis, Daldinia concentrica, Engleromyces goetzii, Hydnum repandum, Hebeloma versipelle, Hygrophorus eburnesus, Lactarius deliciosus, Lactarius hatsudake, Lactarius hirtipes, Lactarius mitissimus, Lactarius rufus, Paxillus panuoides, Pulveroboletus ravenelii, Russula cyanoxantha, Russula foetens, Russula lepida, Russula nigricans, Sarcodon laevigatum, Sarcodon scabrosus, Shiraia bambusicola, Thelephora aurantiotincta, Thelephora ganbajun, Tricholomopsis rutilans, Tylopilus virens, Tuber indicum, Xylaria euglossa, etc.), and isolated a number of novel terpenoids, phenolics, and nitrogen-containing compounds. The isolation, structural elucidation, and biologically activity of the new compounds are discussed.
metabolites. Biologically active substances present in untapped and diverse sources of higher fungi from China are interesting. The isolation, structural elucidation, and biologically activity of new compounds prior to 2002 were previously reviewed (1,2).
Key Words: Higher fungi, secondary metabolites, biological activities, natural products
Introduction
China is extraordinary rich in higher fungi. To date, about 10,000 species of fungi have been reported from China's vast territories. Of them, nearly 6,000 species, belonging to about 1,200 genera, are higher fungi (excluding lichens). In bio-resources, higher fungi belong to very productive biological sources that produce a large and diverse variety of secondary
*Correspondence to: State Key Laboratory of Phytochemistry and Plant Resources in West China, Kunming Institute of Botany, Chinese Academy of Sciences, Kunming 650204, China;
e-mail: email@example.com
Recently several dozen new natural substances and bioactive compounds were found in selected mushrooms on the basis of using our knowledge on the collection of fruiting bodies, strain preservation, fermentation, biologically screening and chemical investigation of higher fungi. The isolation, structural elucidation and biologically activity of the novel terpenoids, phenolics and nitrogen-containing compound from basidiomycetes and ascomycetes fungi (Albatrellus confluens, Albatrellus dispansus, Boletus edulis, Boletopsis grisea, Bondarzewia berkeleyi, Cortinarius tenuipes, Cortinarius vibratilis, Daldinia concentrica, Engleromyces goetzii, Hebeloma versipelle, Hydnum repandum, Hygrophorus eburnesus, Lactarius deliciosus, Lactarius hatsudake, Lactarius hirtipes, Lactarius mitissimus, Lactarius rufus, Paxillus panuoides, Pulveroboletus ravenelii, Russula cyanoxantha, Russula foetens, Russula lepida, Russula nigricans, Sarcodon laevigatum, Sarcodon scabrosus, Shiraia bambusicola, Thelephora aurantiotincta, Thelephora ganbajun, Tricholomopsis rutilans, Tylopilus virens, Tuber indicum, Xylaria euglossa, etc.) are reviewed.
Concentricolide, an anti-HIV agent, and other compounds from the ascomycete Daldinia concentrica
Although anti-HIV-1 drugs now available have improved the quality of the lives of HIV/AIDS patients, the rapid evolution of new HIV clades and drug resistant variants in AIDS patients urged the search for new anti-HIV-1 agents and targets. A large variety of natural substances including alkaloids, flavonoids, coumarines, lignans, phenolics, triterpenoids, saponins, sulfated polysaccharides, phospholipids, quinones and peptides with anti-HIV-1 effect have been described, and for a portion thereof the target of interaction has been identified (3). Natural substances provide a large reservoir for screening of anti-HIV-1 agents with novel structure and anti-viral mechanisms.
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Figure 1. Different compounds of the ascomycete Daldinia concentrica.
A novel benzofuran lactone, named concentricolide ( 1 ), was isolated along with the four known compounds (friedelin, cytochalasin L-696,474, armillaramide, russulamide) from the fruiting bodies of the xylariaceous ascomycete Daldinia concentrica. The structure of concentricolide was established by spectroscopic methods and X-ray crystallographic analysis. Its anti-HIV-1 activity was tested. Results showed that concentricolide inhibited HIV-1 induced cytopathic effects. The EC50 value was 0.31 μg/mL. The therapeutic index (TI) was 247. Concentricolide exhibited the blockage (EC50 0.83 μg/mL) on syncytium formation between HIV-1 infected cells and normal cells (4).
Except concentricolide (1), a new homologous series of 3-alkyl-5-methoxy-2-methyl-1,4-benzoquinones (2-4) with chain length C21 to C23 were isolated from the fruiting bodies of Daldinia concentrica (5). Two novel heptenetriol stereoisomers, hept-6-ene-2,4,5-triols 6 and 7, were, along with three known compounds, i.e., 2,3-dihydro-5-hydroxy-2-methyl-4H-1-benzo-pyran-4one (5), 3,5-dihydroxy-2-(1-oxobutyl)-cyclohex-2-en1one (8), and pyroglutamic acid (= 5-oxo-L-proline) (9), isolated from the culture broth of D. concentrica (6). Compound 5 is reported to be a metabolite from the rice culture solution of the fungus Phialophora gregata and has been shown to have biological activity on soybean cells (7). Compound 8 has also previously been isolated from the culture broth of the fungus Nodulisporium sp. and has been found to have chlorotic activity (with greater activity on monocotyledons than on dicotyledons) ( 8 ).
The identification of aromatic steroid hydrocarbons bearing a methyl group at positions 1, 2, 3, 4, or 6 in sediments and petroleum is enigmatic since possible steroidal precursors have not yet been reported in living organisms. Two new aromatic steroids (10 and 11) were isolated from the fruiting bodies of D. concentrica, and one, compound 11, bears an unusual methyl group at position 1. These compounds presumably originate with the transformation undergone by their precursors due to microbial action. Compounds 10 and 11 could be long-sought, biological precursor steroids for organic matter in the Earth's subsurface (9). Two other new compounds, 1-isopropyl-2,7-dimethylnaphthalene (12) and 21-acetyloxyl-16,18-dimethyl-10-phenyl6,13,14-trihydroxyl-[11]-cyto-chalasa-7,19-diene-1-one (13), were also isolated from the fruiting bodies of D. concentrica (10).
Grifolin, a potential natural antitumor substance produced by inducing apoptosis in vitro in Albatrellus confluens, and other related compounds from the same genus
Grifolin (14) is a natural biologically active substance isolated from the fruiting bodies of Albatrellus confluens. Here, novel activity of grifolin is described for the first time, namely its ability to inhibit the growth of tumor cells by the induction of apoptosis. Grifolin strongly inhibited tumor cells lines CNE1, HeLa, MCF7, SW480, K562, Raji, and B95-8. Analysis of acridine orange (AO)/ethidium bromide (EB) staining and flow cytometry showed that grifolin possessed apoptosis induction activity with respect to CNE1, HeLa, MCF7, and SW480. Furthermore, cytochrome c release from mitochondria was detected by confocal microscopy in CNE1 cells after 12 h of treatment with grifolin. The increase in caspase-8, 9, 3 activity revealed that caspase was a key mediator of the apoptotic pathway induced by grifolin, and the under-expression of Bcl-2 and upregulation of Bax resulted in the increase in Bax: Bcl-2 ratio, suggesting that the Bcl-2 family is involved in the control of apoptosis. Owing to the combination of its significant antitumor activity by inducing apoptosis and the compound's natural abundance, grifolin represents an interesting antitumor agent that deserves further laboratory and in vivo examination (11).
In the course of screening for novel naturally occurring fungicides from mushrooms in Yunnan province of China, the ethanol extract of the fruiting bodies of Albatrellus dispansus was found to show antifungal activity against plant pathogenic fungi. The active compound was isolated from the fruiting bodies of A. dispansus by bioassay-guided fractionation of the
extract and identified as grifolin (14) by IR, 1H and 13C NMR, and mass spectral analysis. Its antifungal activity was evaluated in vitro against 9 plant pathogenic fungi and in vivo against the plant disease Erysiphe graminis. In vitro, Sclerotinia sclerotiorum and Fusarium graminearum were the most sensitive to grifolin, and at 0.1 μg/mL their levels of mycelial growth inhibition were 86.43 and 80.90%, respectively. Spore germination of F. graminearum, Gloeosporium fructigenum and Pyricularia oryzae were almost completely inhibited by 12.5 μg/mL of grifolin. The curative effect of grifolin (14) on Erysiphe graminis in vivo was 65.52% at 100 μg/mL (12).
In a previous report, the effects of albaconol (15) from Albatrellus confluens on vanilloid receptors were studied electrophysiologically in rat ganglion neutrons as well as in recombinant cell lines expressing rat VR1 receptor (13). Recently, the effects of albaconol (15) on the inhibition of human tumor cell growth, DNA topoisomerase (topo)-mediated DNA cleavage, and direct DNA breakage were investigated. Albaconol (15) significantly inhibited the growth of human chronic myelogenous leukemia K562, lung adenocarcinoma A 549, gastric adenocarcinoma BGC-823 and breast carcinoma Bcap-37 cell lines with IC50 values of 2.77 ± 0.14, 2.58 ± 0.88, 1.45 ± 0.05, and 1.10 ± 0.31 μg/mL, respectively. Albaconol (15) stabilized and increased the topo II-mediated DNA cleavable complex and inhibited the religation activity of topo II in a dosedependent manner, but it failed to affect the activity of topo I. Albaconol (15) acts to break strands of pBR322 DNA at relatively high concentrations but no effect on the macromolecule DNA of K562 cells. These results strongly suggest that albaconol (15) specifically targets DNA topo II and that this is one of the mechanisms of albaconol's antitumor action; the direct action of albaconol (15) on DNA may contribute to its antitumor activity at high concentrations (14).
Contraction and desensitization induced by albaconol (15) and the influence of capsazepine, capsaicin, and extracellular Ca2+ were investigated to see whether action was mediated via a specific VR receptor in guinea pig trachea spiral strips in vitro. Both albaconol (15) and capsaicin were contractors of tracheal smooth muscle, but albaconol (15) was not as potent as capsaicin, with -log (M) EC50 values of 4.23 ± 0.18 (n = 10) and 7.33 ± 0.21 (n = 10), respectively. Two-point five and 5.0 μM capsazepine competitively antagonized the contractile response to albaconol (15), with -log (M) pKB values of 6.60 ± 0.39 (n = 10) and 7.36 ± 0.45 (n = 10), respectively. Albaconol (15) increased the contraction induced by a low dose of capsaicin (10-10-10-9 M) but non-competitively antagonized the contraction induced by a high dose of capsaicin (10-8-10-3 M). Either albaconol (1,100 mM) or capsaicin (3.0, 10 μM) was able to desensitize the isolated guinea pig bronchi to subsequent addition of albaconol.
Capsazepine (5.0 μM) significantly prevented the desensitization induced by either albaconol (1, 100 mM) or capsaicin (3, 10 μM). Extracellular Ca2+ was essential for albaconol to induce excitation, but it did not affect albaconol- or capsaicin-induced desensitization. These results suggest that albaconol (15) induces contraction and desensitization of guinea pig trachea in vitro as a partial agonist for VR (15).
Albaconol (15) inhibited lipid peroxidation in rat liver homogenate with an IC50 value of 104.2 μg/mL in comparison to butylated hydroxyanisole (BHA, IC50 40.4 μg/mL) and vitamin E (IC50 127.2 μg/mL). Albaconol increased the activity of SOD (EC50 value of 106.3 μg/mL) and BHA (EC50 19.9 μg/mL) (16).
When grown in culture, the basidiomycete Albatrellus confluens produces a polyene pyrone mycotoxin, aurovertin E (17), along with aurovertin B (16). This was the first example of the occurrence of aurovertins in macromycetes (17). The aurovertins, metabolites from the fungus (anamorphic ascomycetes) Calcarisporium arbuscula, are a group of acute neurotoxic substances that act as potent inhibitors of ATP synthesis and ATP hydrolysis catalyzed by mitochondrial enzyme systems (18-21).
Radical scavenging activity of natural p-terphenyls obtained from three edible mushrooms indigenous to China and other natural p-terphenyls
Ten natural p-terphenyl derivatives (18-27) obtained from the fruiting bodies of three edible mushrooms (Thelephora ganbajun, Thelephora aurantiotincta, and Boletopsis grisea) indigenous to China were assessed in terms of DPPH (1,1-diphenyl-2-picrylhydrazyl) radical scavenging activity. The compounds 18-20 showed potent DPPH radical scavenging activity in comparison
O
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29
R
1
=H
R
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=H
R
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=M e
29
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Figure 4. Sarcodan (28) and sarcodonin δ (29).
to BHA (butylated hydroxyanisol) and α-tocopherol, which are known to be strong activators. The free radical scavenging activity of 19 (EC50 = 0.07) was found to be stronger than that of BHA (EC50 = 0.09) and α-tocopherol (EC50 = 0.25), while that of 18 (EC50 = 0.12) and 20 (EC50 = 0.13) was similar to that of BHA and stronger than that of α-tocopherol. The formation of furan rings and the numbers and position of hydroxy groups in the molecular structure of p-terphenyls have been found to be crucial for modulation of free radical scavenging activity (22).
A metabolite with a p-terphenyl core, named sarcodon (28), was isolated from the fruiting bodies of the basidiomycete Sarcodon laevigatum (23). Another nitrogenous metabolite with a p-terphenyl core, sarcodonin δ (29), was isolated from the fruiting bodies of the basidiomycete Sarcodon scabrosus (24).
Terphenyls are aromatic hydrocarbons consisting of a chain of three benzene rings. There are three isomers, in which the terminal rings are ortho-, meta-, or para-substituents of the central ring. Most of the natural terphenyls are p -terphenyl derivatives. The chemical investigation of p -terphenyls as one class of the pigments of mushrooms began in 1877 ( 25 ) . In recent years, some terphenyls have been reported to exhibit significant biological activity, e.g. , potent immunosuppressant, neuroprotective, antithrombotic, anticoagulant, specific 5-lipoxygenase inhibitory, and cytotoxic activity (see section 5). In addition, terphenyls are, in comparison to other types of complex natural substances, easily synthesized since they contain fewer (or no) chiral centers. Another interesting point is that some popular edible mushrooms are rich in p -terphenyls; this is a sign that at least some p -terphenyls have a low level of toxicity. Because of their promising biological activity and important properties, terphenyls have generated increasing research interest ( 25 ) .
Antifungal sesquiterpenoid and other compounds from the genera Lactarius and Russula
The mushrooms belonging to the genus Lactarius (family Russulaceae, Basidiomycotina) form a milky juice when the fruiting bodies are injured. In the great majority of Lactarius species, different kinds of sesquiterpenes play an important biological role, being responsible for the pungency and bitterness of the milky juice, the change in the color of the latex in air, and constituting a chemical defense system against various predators such as bacteria, fungi, animals, and insects (26). Most Lactarius sesquiterpenes belonging to the classes of lactaranes, secolactaranes, marasmanes, isolactaranes, norlactaranes, and caryophyllanes are believed to be biosynthesized from humulene (27-30).
Rufuslactone (30) is an isomer of a previously described lactarane 3,8-oxa-13-hydroxylactar-6-en5-oic acid γ-lactone (31) from Lactarius rufus. Its structure was elucidated by spectroscopic means. Rufuslactone (30) displayed antifungal properties against plant pathogenic fungi (31). Alternaria brassicae was the most sensitive to Rufuslactone (30), and its mycelial growth inhibition was 68.3 at 100 μg/ mL.
A humulene sesquiterpene, named 2β,3α-epoxy6Z,9Z-humuladien-8α-ol (32), was, together with the known compound lactarinic acid, isolated from the fruiting bodies of Lactarius hirtipes. For the subdivision Basidiomycotina, fungal sesquiterpenes formed via the humulane-protoilludane biosynthetic pathway are also characteristic. However, no representative of humulene sesquiterpenes has been isolated from higher fungi thus far. Compound 32 was the first humulenetype sesquiterpene found in higher fungi (32). Five new humulane-type sesquiterpenes, mitissimols A (33), B (34), and C (35), and a mixture of mitissimyl A oleate (36) and mitissimyl B oleate (37), were isolated from the fruiting bodies of Lactarius mitissimus (33).
Their structures were elucidated by comprehensive spectroscopic techniques and necessary chemical methods. The relative stereochemistry of 33 was determined by single crystal X-ray diffraction analysis.
Two new red azulene pigments (38, 39) were isolated from the fruiting bodies of the basidiomycete Lactarius deliciosus together with one known pigment (40) (34). Two other new azulene pigments, 1-formyl4-methyl-7-(11-hydroxyl) isopropylazulene (41) and 4-methyl-7-isopropylazulene-1-carboxylic acid (42), were isolated from the fruiting bodies of the basidiomycete Lactarius hatsudake (35).
A new marasmane sesquiterpene, named lactapiperanol E ( 43 ), was isolated from the fruiting bodies of Russula foetens together with a known sesquiterpene, lactapiperanol A (44) (36). Sesquiterpenes possessing the marasmane skeleton have been known for more than 50 years (37). Marasmic acid was found to be an antibacterial substance in Marasmius conigenus (38), and its 9-hydroxy derivative, detected in another basidiomycete, displayed antifungal, cytotoxic, and phytotoxic activity (39). Velutinal and its fatty acid esters represent interesting examples of prodrugs (40,41). In most fungi, only the esters, which are cleaved to velutinal in the event of injury to the fruiting bodies, are present (42). Pilatin is an antibiotically active marasmane derivative from the culture of Flagelloscypha pilatii. It is a higher oxidized derivative of marasmic acid, causes frameshift mutations in Salmonella typhimurium, inhibits the growth of bacteria and fungi, and is highly cytotoxic (43). The Russulaceae family is one of the largest in the subdivision Basidiomycotina in Whittaker's kingdom of Fungi and consists of hundreds of species (44). While secondary metabolites occurring in the fruiting bodies of European Lactarius species have been extensively investigated, the Russula mushrooms have received less attention, notwithstanding the larger number of existing species (45). Recent investigation of the chemical constituents of Russula lepida by the current authors led to the identification of some new terpenoids (46-48). The minor constituents of Russula lepida were further investigated. A novel nitrogen-containing aristolane sesquiterpenoid compound, lepidamine 45, was isolated from the fruiting bodies of Basidiomycete Russula lepida. It is the first aristolane-type sesquiterpene alkaloid isolated from nature (49). It is also interesting that nigricanin (46), the first ellagic acid related derivative from higher fungi, has been isolated from the fruiting bodies of the basidiomycete Russula nigricans (50). Ellagic acid and its derivatives are widely distributed in plants but are rare in fungi. Ellagic acid and its derivatives are known to display multiple forms of biological activity such as DNA damage (51) or act as antioxidants (52). In the case of actinomycete, e.g., Streptomyces chartreuses, only the antibiotics D 329C, chartreusin, and elsamicin have been isolated; and these
compounds have been reported to display antibacterial, antineoplastic, and antileukemia activity (53-55).
Pigments from Pulveroboletus ravenelii and Xylaria euglossa
A new butenolide-type fungal pigment, pulverolide (47), was isolated from the fresh fruiting bodies of Pulveroboletus ravenelii (56). Xylaria euglossa is a rot-wood-inhibiting ascomycete, mainly occurring on stumps and fallen branches of forested areas in the southwest of China. Many unique secondary metabolites have been found in the fungi of this genus. During the study of Xylaria sp., various new metabolites were discovered, including cytochalasins, globoscin, lactones, maldoxin, sesquiterpenoids, xylaramide, xylarin, and xyloketals (57). Detailed chemical investigation of the fungus Xylaria euglossa has been performed and a new nitrogen-containing
compound, xylactam (48), was isolated along with two known alkaloids, penochalasin B 2 and neoechinulin A, from extracts of the fruiting bodies (57).
A new pigment, 8,8'-O,O-dimethylphlegmacin A (49), was isolated from the fruiting bodies of ascomycete Xylaria euglossa along with two known fungi pigments, (50) and (51). The structure of compound 49 was established as (3R,3'S,P)-2,2',3,3'-tetrahydro-3,3',9,9' -tetrahydroxy-6,6',8,8'-tetramethoxy-3,3'-dimethyl[7,10'-bianthracene]-4,4' (1H,1'H)-dione by spectroscopic means. Its absolute configuration was deduced from CD and 1H NMR spectra. It represents the first isolation of a phlegmacin-type pigment from an ascomycete (58).
Diterpenoids from Sarcodon sp. and Hydnum sp.
Novel cyathane-type diterpenoids, scabronines G and H and sarcodonin I (52-54), were isolated from the fruiting bodies of the basidiomycete Sarcodon scabrosus together with four known diterpenoids, allocyathin B2, sarcodonin A, sarcodonin G, and scabronine F (59,60). Sarcodon scabrosus is a mushroom belonging to the family Thelephoraceae and has a bitter taste. Diterpenoids, including sarcodonins A-H, scabronines A-F, and scabronines L and M, have previously been isolated from this mushroom as bitter principles (61-63). All of these diterpenoids posses a cyathane skeleton consisting of angularly condensed five-, six- and sevenmembered rings and display activity to stimulate nerve growth factor (NGF)-synthesis in vitro.
Eleven compounds have been isolated from the fruiting bodies of the basidiomycete Hydnum repandum. Their structures were established as sarcodonin A, scabronine B (55), 3β-hydroxy-5α,8α-epidioxyergosta6,22-dien, (22E,24R)-ergosta-7,22-diene-3β,5α,6βtriol, (22E,24R)-ergosta-7,22-diene-3β-ol, benzoic acid, 4-hydroxylbenzaldehyde, 4-monopropanoylbenzenediol, ethyl-β-D-glucopyranoside, thioacetic anhydrid, and (2S,2'R,3S,4R)-2-(2-hydroxytricosanoylamino) hexadecane-1,3,4-triol by spectral methods. Among
17
17
Figure 7. Described chemical compounds.
them, sarcodonin A and scabronine B were first reported from Hydnum genus, and the other compounds were isolated from thisfungus for the first time (64).
Miscellaneous
A novel N-containing compound, vibratilicin (56), was isolated from the fruiting bodies of the basidiomycete Cortinarius vibratilis (65). Compound 56 is a representative of a rare natural substance containing hydroxamic acid moieties and can be viewed as a derivative of neoengleromycin from the fungus Engleromyces goetzii (66).
Fruiting bodies of the basidiomycete Thelephora aurantiotincta contain a p -terphenyl, named aurantiotinin A (57), together with ganbajunin C and atromentin (67). Fruiting bodies of the basidiomycete Cortinarius umidicola contain a natural pyridine derivative (3-aldehyde-2-amino-6-methoxypyridine, (59), together with (R)-glycidyl octadecanoate (58) (68).
An unique fungal pigment, hypocrellin D (60), together with three known perylenequinone derivatives, hypocrellin A (61), B, C, was isolated from the fruiting bodies of Shiraia bambusicola (69). The ROESY experiment and CD of hypocrellin D required that the absolute configuration of the asymmetric carbons of the alicyclic ring of 60 be the same as those of hypocrellin A; i.e. 14S and 15R. Shiraia bambusicola (Hypocreaceae), an ascomycete parasitic on bamboo twigs, is recorded only in China and Japan. It has been commonly used as medicinal fungi under the name of "Zhu Huang" in China for treatment of rheumatism and pneumonia in traditional Chinese medicine (TCM). The new perylenequinone pigments hypocrellin A-C and shiraiachrome A-C were previously isolated from S. bambusicola as fungal metabolites that exhibit photodynamic activity on bacteria and fungi (70,71). Recently, the methanolic extract of the mycelium of the fungus S. bambusicola was found to show significant cytotoxicity in A-549 and HCT-8 solid tumor cells.
H
58
58
61
Subsequent bioassay-guided fractionation in HCT-8 in vitro led to the isolation and characterization of shiraiachromes A and B as two major cytotoxic principles (72). A series of new perylene derivatives related to shiraiachrome-A and -B as well as calphostin-C has been synthesized and evaluated for its cytotoxicity, antiviral activity, and inhibitory activity against protein kinase C (72).
When grown in culture, the basidiomycete Boletus edulis produces two phenyl-ethanediols, 1-(3-ethenylphenyl)-1,2-ethanediol 62 and 1-(4-acetylphenyl)-1,2-ethanediol 63, together with three known compounds, 1-(3-formylphenyl)ethanone 64, 1-(3-ethylphenyl)-1,2-ethanediol 65, and 1-(4-ethylphenyl)-1,2-ethanediol 66 (73). Compound 62 has often been used as a type of rubber composition and was isolated for the first time as a new natural substance.
Five cerebrosides, including three new ones named cortenuamide A (67), cortenuamide B (68), and cortenuamide C (69), were isolated from the fruiting bodies of the Basidiomycetes Cortinarius tenuipes. The structures of those compounds were elucidated as (4E,8E)-N-D-2'-hydroxytetracosanoyl-1-O-β-Dglucopyranosyl-9-methyl-4,8-sphinga-dienine (67), (4E,8E)-N-D-2'-hydroxytricosanoyl-1-O-β-D-glucopyranosyl-9-methyl-4,8-sphingadienine (68), (4E,8E)N-D-2'-hydroxyl-docosanoyl-1-O-β-D-glucopyranosyl9-methyl-4,8-sphingadienine (69), (4E,8E)-N-D-2' -hydroxyoctasanoyl-1-O-β-D-glucopyranosyl-9methyl-4,8-sphingadienine, and (4E,8E)-N-D-2' -hydroxypalmitoyl-1-O-β-D-gluco-pyranosyl-9-methyl4,8-sphingadienine by spectral and chemical methods (74). A new ceramide, named hygrophamide (70), was isolated from the fruiting bodies of the Basidiomycetes Hygrophorus eburnesus. The structure of the compound was elucidated as (2S,3R,4R,2'R)-2-(2'-hydroxy-9' Z-ene-tetracosanoylamino)-octadecane-1,3,4-triol (70) by spectral and chemical methods (75).
Ceramide fractions were isolated from the fruiting bodies of Tuber indicum and separated into three kinds of molecular species, 71, 72, and 73, by normal and reverse phase silica gel-column chromatography. According to NMR spectroscopy, FAB-MS, and chemical degradation experiments, the component sphingoid base for 71 and 72 was uniformly
OH
70n=11, m=4
Figure 9. Described chemical compounds.
71R=OH (n=10, 11, 12)
72R=OH (n=4, 6, 7, 10, 11)
H
75
O
Figure 10. Described chemical compounds.
(2S,3S,4R)-2-amino-1,3,4-octadecantriol, while the sphingoid of 73 was D-erythro-sphingosine, and their structures have been determined unequivocally to be (2S,2'R,3S,4R)-2-(2'-D-hydroxyalkanoylamino) octadecane-1,3,4-triol, the fatty acid composition of which consists of 2-hydroxydocosanoic,
2-hydroxytetracosanoic, and 2-hydroxytricosanoic acids; (2S,3S,4R)-2-(alkanoyl-amino) octadecane1,3,4-triol, the fatty acid composition of which is unusual and consists of docosanoic, hexadecanoic, tricosanoic, octadecanoic and nonadecanoic acids; and (2S,3R,4E)-2-(alkanoylamino)-4-octadecene-1,3-diol, the component fatty acids of which were hexadecanoic (predominant) and octadecanoic acids, respectively (76). A new phytosphingosine-type ceramide 74, named paxillamide, was isolated from the fruiting bodies of the basidiomycete Paxillus panuoides (77).
A new steroidal glucoside with a polyhydroxy ergosterol nucleus, tuberoside (75), has been isolated from the fruiting bodies of ascomycete Tuber indicum. This is the first example of isolation of a polyhydroxylated ergosterol glucoside from higher fungi in nature (78). Two new oleate esters of polyhydroxylated ergostane-type nucleus, 3β,5αdihydroxy-(22E,24R)-ergosta-7,22-dien-6β-oleate (76) and 3β,5α-dihydroxy-(22E,24R)-ergosta-22-en7-one-6β-oleate (77), were isolated from the fruiting bodies of the basidiomycete Tricholomopsis rutilans along with three known sterols (79). A new cytotoxic lanostane triterpenoid (78) was isolated from the basidiomycete Hebeloma versipelle (80). 78 exhibited cytotoxic activity against the tumor cell lines HL60, A549, SGC-7900 and Bel-7402, with IC50 values of 11.2, 20.9, 22.6, and 25.0 μg/mL, respectively. A new ergostane-type glycoside, named tylopiloside (79), was isolated from the fruiting bodies of the basidiomycete Tylopilus virens. Its structure was elucidated as (22E,24R)-ergosta-7,22-dien-5α,6β-diol-3β-O-[3-(3phenylpropanoyloxy)]-β-D-glucopyranoside (81).
The fungus Bondarzewia berkeleyi (Fr.) Bond. et Singer of the family Bondarzewiaceae (Basidiomycota) grows at the base or roots of Abies and other conifers of the family Fagaceae. There are no reports of its chemical constituents in the literature. Steglich and Anke reported a cytotoxic metabolite, montadial A, isolated from the polypore B. Montana (82). They noted that treatment of these mycelial roots with aqueous KOH causes an intense yellow color. Taxonomically, the genus Bondarzewia has been placed in the order Russulales, which is supported by the occurrence of stearoyl-velutinal, the chemotaxonomic marker compound for this order (82).
Summary
Among many diverse organisms, higher fungi are a major source of biologically active natural substances. They have often been found to contain biologically active compounds, and they provide a rich variety of active secondary metabolites. There are potentially many compounds still to be discovered in higher fungi since until now only a relatively small number of higher fungi have been chemically investigated, and many
of the remaining species are involved in interesting biological phenomena. These as yet unstudied species hold the promise of providing new natural substances. That these fungi are often involved in interesting biological processes indicates not only that the new metabolites involved will be chemically interesting but also that the new metabolites may be biologically interesting and significant. The large biodiversity of higher fungi provides a huge resource for extending the chemodiversity of natural substances and for finding new lead structures for medicinal chemistry.
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Skeletonema tropicum(Bacillariophyceae) present in Uruguayan ...
145
Skeletonema tropicum (Bacillariophyceae) present in Uruguayan southern coastal waters
Mauricio González-Piana 1 & Graciela Ferrari 2
1
Sección Limnología, Facultad de Ciencias, Universidad de la República, Iguá 4225
CP. 11400, Montevideo-Uruguay
2
Dirección Nacional de Recursos Acuáticos. Constituyente 1497. CP.11200, Montevideo-Uruguay.
2
Laboratorio Tecnológico del Uruguay,
Departamento de Medio Ambiente, Av. Italia 6201, CP. 11500, Montevideo-Uruguay email@example.com, firstname.lastname@example.org
Recebido em 16.III.2006. Aceito em 17.IX.2009.
ABSTRACT - This is the fi rst report of Skeletonema tropicum Cleve in Uruguayan coastal waters. Under scanning electronic microscopy the species showed convex valves, strongly silicifi ed joined in colonies, with typical 1:1 junctions and occasionally 1:2. The species was found in tropical regions, but in our study in the Uruguayan coast, it was found between 11.1-12.7 ºC at 35º04'S-54º53'W, for this reason the geographical distribution and temperature r ange could be broadened.
Key words: diatom, Río de la Plata, Uruguay, Atlantic Ocean
RESUMO - Skeletonema tropicum (Bacillariophyceae) presente em águas costeiras no do sul do Uruguai. Este é o primeiro relato de Skeletonema tropicum Cleve na costa do Uruguai. A espécie mostrou por meio da microscopia eletrônica de varredura, valvas convexas, fortemente silicosas agrupadas em colônias, com junções típicas 1:1 e ocasionais 1:2. A espécie foi encontrada em regiões tropicais, no entanto, em nosso estudo na costa uruguaia a mesma foi encontrada em temperaturas entre 11.1-12.7 ºC, a 35º 04´S - 54º 53´W, razão pela qual a distribuição geográfi ca e faixa de temperatura pode ser ampliada.
Palavras-chave: diatomácea, Rio de la Plata, Uruguai, Oceano Atlântico
INTRODUCTION
The phytoplankton species have economic and scientifi c importance as indicators of water masses with different physical and chemical characteristics (Sarno et al., 2005). The genus Skeletonema Greville is considered to be one of the most abundant coastal marine diatoms. The determination to the species level is diffi cult when using light microscopy, because diacritic structures are not visible in their valves, hampering reliable identifi cation. For this reason, different taxonomists report S. costatum Greville (Cleve) as the only species of Skeletonema, and as Hasle (1973) wrote, "for the most marine phytoplanktologist the name of Skeletonema is synonymous of Skeletonema costatum". Until Sarno et al. (2005) the great diversity within the genus Skeletonema was relatively unknown and
30121 G.indd 145
due to its easy culturing and adaptability to different conditions, the species Skeletonema costatum (Greville) Cleve is utilized for different biological disciplines in scientifi c research, even with the implicit assumption that all strains and populations are part of single species (Sarno et al., 2005).
In Uruguay, different studies reported S. costatum as the only species of this genus present in the Uruguayan marine plankton (Ferrando, 1962; Baysée et al., 1986; Elgue et al., 1990; Ferrari & Méndez, 2000; Ferrari & Pérez, 2002).
The study area comprised the external zone of Río de la Plata and Uruguayan coastal waters. This environment has particular physicochemical and biological characteristics, in which several species from different water masses occur, being a mixing zone between brackish and subtropical and sub-Antarctic oceanic waters (Boltovskoy et
IHERINGIA, Sér. Bot., Porto Alegre, v. 64, n. 2, p. 145-149, jul./dez. 2009
al. 1999). The external region is an estuarine zone characterized by a wide frontal zone with both turbidity and salinity fronts (Framiñan & Brown, 1996; Nagy et al., 1997).
The main path of Río de la Plata fl ows northnortheastern along the Uruguayan coast. Coastal waters defi ned by salinities under 32 psu (Guerrero & Piola, 1997) are dominated by the Río de la Plata estuary and its infl uence spreads along the external shelf.
coast with the aim to identify the species present in the area.
MATERIAL AND METHODS
In this study we analysed the ultrastructure of Skeletonema specimens collected off the Uruguayan
Seawater samples were collected in August 2002 during the "Anchoita 03/2002" cruise aboard the Uruguayan oceanographic vessel B/I Aldebarán. Stations 1 to 3 were located in the Río de la Plata, while stations 4 to 8 were in Uruguayan coastal waters (Fig. 1).
Phytoplankton samples were collected with a 25 µm plankton net and fi xed with neutral formaldehyde 4%. Salinity and temperature were measured in situ with a YSI 30/10 FT salinometer and a mercury thermometer with a precision +/- 0.5 ºC. After fi xation, samples were treated with acid (1:1:4; sample; HNO 3 ; H 2 SO 4 ), boiled for few seconds, and then washed with distilled water and following successive centrifugation steps (3500 rpm/10 min). Permanents slides were prepared by mounting the clean dry material in Naphrax. Light microscope observations were made with a Leica microscope model DMLA equipped with Nomarski differential interference contrast and phase contrast using magnifi cation of 1000x. Light photo micrographs
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were taken using a Canon E05D60 digital camera, at the Instituto Español de Oceanografía, VigoEspaña. For scanning electron microscopy a drop of acid cleaned material was mounted on stubs, sputter coated with gold-palladium, and observed using an scanning electron microscope Phillips Model XLl30 at the Centro de Apoyo Cientifi co y de Tareas de Investigación of the University of Vigo-España.
RESULTS AND DISCUSSION
The specimens observed under SEM showed strongly silicifi ed convex frustules joined in colonies. The cell diameter was between 5.1 to 15.6
µm. Sarno et al. (2005) reported cells up to 17.5 µm in samples from the Gulf of Naples. According to the description of Sarno et al. (2005) the morphology of all Skeletonema specimens examined in this work matched with the description of Skeletonema tropicum Cleve.
According to Sarno et al. (2005) we found a short (1µm long) intercalary rimoportula near the ring of IFPs, morphological feature characterizing this species by Sarno et al. (2005).
Small cells were observed with Nomarski differential interference contrast and phase contrast (Figs. 2, 3). The intercalary fultoportula processes (IFP) showed a longitudinal split with an elongated opening at the base of the tube that connects the next cell with a knuckle-like junction. In our samples the most common junctions are of the 1:1 type but few cells with a 1:2 junction with contiguous connections as a zigzag line were also found. The distance between IFP was approximately 1µm and there were 8-9 IFPs in a 10µm section (Figs. 5, 8).
In this study, two water masses were found, for St. 1-2-3, the salinity was between 22.7 – 29.9 psu and the temperature was 10.7 – 11.8 ºC. For stations 4 to 8, the salinity was between 18.9 – 30.5 and the temperature was 11.1 – 12.7 ºC (Tab.1). Oceanographic data showed a strong oceanic cold water infl uence constraining the Río de la Plata's discharge plume close to the coast. Eastward, waters with higher temperature were observed corresponding with the thermal characteristic of the ones observed in the outer Río de la Plata (GonzálezPiana & Ferrari, 2005).
TABLE 1 - Salinity and temperature (ºC) for the eight stations in August 2002.
According to Hulburth & Guillard (1968) S. tropicum is a tropical and subtropical species, with a distribution not beyond 30º North of equator, in the western Atlantic Ocean. However, the species was recently reported at 32º in the South Atlantic Ocean on the Río Grande coast, Brazil (Bergesch et al., 2006). In our studies we found live cells of S. tropicum with chloroplast at 11.1 ºC in the station 3 (35º04´S-54º53´W) off Punta del Este. Another author found that the species disappeared in Japanese coastal waters in early winter, when the water temperature fell bellow 12 ºC (Ueno 1993).
Furthermore, we did not detect the presence of S. costatum in our samples, although it is reported as a common species in this estuarine marine region. Hence, it will be necessary to re-examine old material or perform additional surveys in a larger geographic area with the aim of verifying the presence of S. costatum.
ACKNOWLEDGEMENTS
We acknowledge the AECI, MAE fellowship, Instituto Español de Oceanografía (I.E.O) VigoEspaña. The scanning electron microscopy was
30121 G.indd 147
performed in the Centro de Apoyo Científi co a las Tareas de Investigación (CACTI) at the University of Vigo-España. To Santiago Fraga and Mónica Lión of the I. E.O. for their assistance in the stage. To Carla Kruk and to Sylvia Bonilla for the critical reading of the manuscript. To Caroline Pamplone for her help with the Portuguese translation, to Ximena Vivanco, David Kulis, and Carlos Saizar for their help with the English translation.
REFERENCES
BAYSÉE, C.; ELGUE, J. C.; BURONE, F.; PARIETTI, M. 1986. Campaña de invierno 1983. II Fitoplancton. Frente Marítimo, v. 1, n. 1, p. 218-229.
BERGESCH, M.; ODEBRECHT, C.; GARCIA, M. 2006. Revisão do gênero Skeletonema (diatomácea) da costa do Rio Grande do Sul, RS. In: XI Congresso Brasileiro de Ficologia & Simpósio Latino-Americano sobre Algas Nocivas, 2006, Itajaí. Livro de Resumos. Itajaí: UNIVALI, v. 1, p. 39
BOLTOVSKOY, D.; GIBBONS, MJ.; HUTCHINGS, L.; BINET, D. 1999. General biological features of South Atlantic. South Atlantic. Pp. 1-42, In: Zooplankton, Boltovskoy D (ed), Backhyus Publishers, Leiden, The Netherlands
ELGUE, J. C.; BAYSÉE, C.; BURONE, F.; PARIETTI, M.
1990. Distribución y sucesión espacial del fi toplancton de superfi cie de la zona común de pesca Argentina-Uruguaya (Invierno de 1983). Frente Marítimo, v. 6, p. 767-107.
FERRANDO, H. 1962. Frecuencia estacional del microplancton costero de Montevideo durante el año 1959. Contribuciones Planctológicas, Montevideo, v. 1, p. 1-32.
FERRARI, G.; MÉNDEZ S. 2000. Report of phytoplankton species producing coastal water discoloration in Uruguay. Iheringia, Série Botânica, n. 54, p. 3-18.
FERRARI, G.; PÉREZ, M. DEL C. 2002. Fitoplancton de la costa platense y atlántica de Uruguay (1993-1994). Iheringia, Série Botânica., v. 57, n. 2, p. 263-278.
FRAMIÑAN; BROWN, 1996. Study of the Río de la Plata turbidity front, Part 1: spatial and temporal distribution. Continental Shelf Research, v. 16, n.10, p. 1259-1282.
GONZÁLEZ-PIANA M.; FERRARI, G. 2005. Prorocentrum minimum (Dinophyceae) y Leptocylindrus spp. (Diatomophyceae) especies indicadoras de masas de aguas diferentes de la costa uruguaya. In: VII Encuentro Nacional de Microbiólogos, Montevideo, v.1, p. 47.
GUERRERO, R.; PIOLA, A. 1997. Masas de agua en la plataforma continental. Pp. 107-118, In: Boschi EE (Ed),
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El mar Argentino y sus Recursos Pesqueros. INIDEP, Mar del Plata, Argentina
HASLE, G. 1973. Morphology and taxonomy of Skeletonema costatum (Bacillariophyceae). Norwegian Journal of Botany, v. 20, p. 109-137.
HULBURT, E.; GUILLARD, R. 1968. The relationship of the distribution of the diatom Skeletonema tropicum to temperature. Ecology, v. 49, p. 337-339.
NAGY, G.; MARTÍNEZ, C.; CAFFERA, R.; PEDROSA, G.; FORBES, E.; PERDOMO, A.; LABORDE, J. 1997 The hydrographic and climatic setting of the Río de la Plata. Pp 17-68, In: Wells & Daborn (Eds), The Río de la Plata, an environmental overview. An EcoPlata Proyect Brackground Report. Dalhousie University, Halifax
SARNO, D.; WIEBE, H.; KOOISTRA, F.; MEDLIN, L.; PERCOPO, I.; ZINGONE, A. 2005. Diversity in the genus Skeletonema (Bacillariophyceae) II. An assessment of taxonomy of S. costatum-like species with the description of four new species. Journal of Phycology, v. 41, p. 151176.
UENO, S. 1993. On the occurence of a tropical marine diatom Skeletonema tropicum in a coastal waters of Japan with some morfologicals remarks. Bulletin of Plankton Society of Japan. v. 39, p 97-106.
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Issue No. 125
Issue No. 125
Issue No. 125 Issue No. 125
May / June 2008
May / June 2008
May / June 2008 May / June 2008
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SERIOUS LOSS OF CAPITAL — A RISK ASSESSMENT
When I talk to clients about risk, the most common definition communicated to me is that risk is all about "not losing all my money"…. permanently.
The aversion to this definition of risk is so very common, yet there is a definite dichotomy among the investing public today. There is an innate fear of "not losing all my money", yet there is a pervasive feeling that one is missing out on the TSX index's rise. The evidence of these feelings is very real in the occasional question I get when reviewing a client's portfolio.
Yes, we have seen the TSX index rise almost uninterrupted for the past 5 years. After the bumps from the subprime rumblings, the TSX has continued it's ascent to new highs. However, one fact has to be brought to light. Very few of the companies that make up the TSX have actually gone up in price over the past year. Shares of most of the banks are down significantly. The reality is that half of the recent gains in the TSX index has come from no more than 5 companies, of which the biggest part has ballooned from Potash Corp., EnCana and Research in Motion (aka RIM, Blackberry maker).
We have seen this narrow rise before. It comes around like arms on a clock. That last time the boom was technology based and it was Nortel that lead the way. At that time, resource companies were shunned. Today, it's a complete reversal with technology companies (except for RIM) being completely ignored despite some strong financial metrics. To that I say Hhhhmmmm…..
The risk assessment of not losing all your capital has everything to do with, 1) The quality of your holdings, 2) The price paid for an investment AND 3) Diversification. If we ignore any one of those parts because we are convinced "this time it's different" then the risk rises exponentially and sets us up for a potentially fatal fall.
Yes, maybe we are missing out on the rise, but at what risk are you willing to be a part of it?
INCREASING PRODUCTIVITY IS BUILT INTO THE AMERICAN DNA
This is what the U.S. economy in particular is very good at, and it's much better at it than Canada.
The primary economic push that Canada is enjoying is the boom in energy prices. With it we've got some nice new condos, shiny cars and monstrous plasma TV's all of which has been spin off from our selling of oil and gas to the world. This economic push has actually made Canada lax in increasing our productivity and increasing our countries brain power.
Assume we sold water instead of energy. We produce and bottle a million gallons of water but all of a sudden people are willing to buy it for $5.00 a gallon rather than $1. We don't try to produce any more we just hire a few more people so the owners of the business can kick back a bit more and take more vacations. Despite that lax business attitude the profits of the business can go up without having to actually produce any
AMERICAN DNA (continued)
more. The only difference is that the price of the commodity has gone up. That is what has happened in Canada, although it's not water but oil, gas, potash etc. Employment and spending is up but not productivity which is the real driver of long term prosperity and any one company's health.
The United States economy is and always has operated much differently than Canada's, and much of the world. U.S. businesses are known for increasing productivity, even in good times when it's easy to sit back. They do this because they know they have to. They can't ride the coattails of commodity prices like we can do on occasion. And when it comes to tough economic times they adjust ruthlessly to make sure they will survive. It's that difference which makes the U.S. economy so resilient, something it is famous for. It was written in the American DNA when the country was formed and is as strong today as it was then.
RESP UPDATE
The last federal budget has made Registered Education Savings Plans, or RESPs, better than ever. So they remain a fine way to save up to cover the costs of post-secondary education.
Under the old rules a student had to collapse the RESP by age 25. Now the budget plans to extend the age limit to 35 years. That's a good thing, because today many students doing post-graduate work are over 25. Many travel or find out who they are before taking up post-secondary studies. This new rule also gives students the flexibility to change directions if they're unhappy with their initial field of study.
On up to the first $2,500 that you put into a RESP each year, the federal government puts in 20 per cent. That works out to an extra $500 a year. Although there is no "tax deduction" for contributing to an RESP the money in the plan grows tax free. And when it's withdrawn, the money is taxable in the hands of the student. Since most students earn little and get certain tax credits, they're likely to pay little, if any, tax at all.
6 KINDS OF INSURANCE YOU DON'T NEED
If you are like me, you pay thousands of dollars a year in insurance. However, do we really need all this insurance we're paying for? Here's a look at some types of insurance we could probably do without.
1. Children. Life insurance is designed to protect your surviving family members if one of the income earners dies. Although losing a child is every parent's nightmare and could wreak havoc on the unity of the family unit, kids don't have debts, dependents or earn income that a family unit relies on. Sure, life insurance on a child is cheap but so is much of that stuff you find at a dollar store that you can do without.
2. Accidents. Unless you like driving really fast and weaving in and out of traffic the odds of you dying in an accident are very low. Insuring against this eventuality often costs more than the premiums on a regular term life insurance policy, which would pay you out no matter how you die.
3. Identity Theft. I'm sure you are just as careful as I am (or more so) about ensuring that someone doesn't steal your personal information. Identity theft insurance is usually an add-on to house or condo insurance but frankly, it isn't likely to help much. Most coverage like this is free. Virtually all credit card companies and banks reimburse the losses due to identity theft. Your cost in the event of identity theft will normally be more of time and frustration than actual dollars lost.
4. Warranties. Sure, an extended warranty can give you some protection in case your purchase breaks down after the manufacturer's warranty runs out however the cost / benefit ratio is highly skewed in the insurance company / retailer's favor. The cost of this coverage can boost the price of your purchase by 30%. Considering the stats (ie Consumer Reports) show, today's products are multiple times better quality than a 30% repair ratio. Besides, many credit cards give extended warranty coverage to customers who purchase a product using their credit card so you could be paying for something you are already covered for.
5. Cars. If you own an older vehicle, collision and/or comprehensive coverage is unnecessary. That depends however on how much of a financial strain a loss of your vehicle could put you in. I'd suggest it wouldn't be financially devastating for you, just painful. But pain you will survive from. Many of us who own a car or 2 (or 3 or 4?) have managed to pay the 3 – 4 fold increase in gas prices without much effect on the rest of our life, right? It's amazing what we can overcome when faced with a situation.
6. Flights. What I am referring to is flight / trip cancellation insurance. Unless you have serious health problems that could prevent you from taking your anticipated trip, you are throwing money away. If you can't fly the loss is the cost of the flight. That may not feel good but most of us, if we can afford to fly, can afford, somehow and at some point, to replace the cost of that flight.
Don't misunderstand me. Most everyone needs various forms of insurance but it all depends on the coverage you have, your financial situation, and your family circumstances. The things you should definitely insure for are what I call the "big risks", the things that could put significant financial strain on your family. These include (listed from highest risk to lowest risk) losing your income earning potential, your life, your health, your home, and to a much lesser extent, your car. That is usually as far as it goes. Many insure against any sort of financial bruise.
"PRIME BANK" SCAMS ARE OFTEN PROMOTED BY THE NICEST OF PEOPLE
Ever been presented by someone you know and get along well with that you can make an investment with no risk and get a return of 6% a month? Something that will pay returns to you monthly? And, although you want to tell other people about it you are told to participate secretly? That is the sign of a "Prime Bank" scheme and B.C. seems to be a common breeding ground for these fraudulent enterprises.
I have myself been approached on more than one occasion about getting involved, often by a client who I have a very good relationship with. There was a case in B.C. about 2 years ago where 2 Abbotsford men, in conjunction with someone from the U.S. collected over $40 million for trusting investors, $23 million of which was from 89 people from B.C. Most of these were recruited through church connections.
It was discovered that, several of these investors say they started small but when their so called "interest" payments came consistently they followed up with much larger investments. The "opportunity" was made to appear even more legitimate by having the investors make their cheques payable to an unsuspecting lawyer who would in turn make the payment to a bank based in the U.S.
So if you are approached by a really nice person and what they are telling you sounds vaguely similar just politely say, "no thanks".
MY FIRST U.S. CAR BUYING EXPERIENCE
I must confess. I have never bought a new car before. Frankly, I can't bring myself to pay such a high price for that new car smell, whether it be through a lease or otherwise. I'd rather have someone else take the big depreciation hit so I can use the thousands of dollars in savings for other, appreciating asset, or non-deductible debt pay down purposes. My last car purchase (a used Infiniti) has cost me approximately $1,200 / year in depreciation. And during the almost 6 years I have driven it, it has been very reliable, low maintenance and a joy to drive. But, it was time for another car so, after a lot of tire kicking, the end of my search was a major car dealer in Bellingham.
Without going into a lot of detail on the whole process, which I will say was actually much easier than I thought, I have my first new car. At the end of the day, it was just under $11,000 cheaper than what the exact same new car in Canada would have cost. Also, the cost was what the same car, 2 to 3 years older in Canada, could be purchased for. Had I bought a car made in North America rather than one made off shore, the savings would have been almost $13,000. And yes, with this brand of car I have a full warranty and with it my first enjoyment of the new car smell.
If you are looking at buying a car, whether new or used, I encourage you to look across the line. I will be putting a summary of steps on www.careyvandenberg.com so you will have the keys to keep several thousand dollars in your pocket (which you can of course put into an RESP or RRSP where you will multiply your savings by an extra 20—43% through government grants or tax savings). In the interim, if you have any questions, please do feel free to ask. I'll be of any help that I can to you.
WEB GEMS
CANADIAN PENSION PLAN— Look at your pay cheque and you will see that you have money being taken off for CPP contributions each and every month. If you want to know where your money is going check out www.cppib.ca. You will see exactly where the currently $122.7 billion in assets is invested, which firms are making the investment decisions, the historic returns since CPP started building a "fund" or pool of assets in 1999 etc. I find it quite interesting, but maybe that's just me.
STAPLES— It may seem a little strange that I put a retailer's website on this pages. The reason though is that I have found it to be a great time as well as, gas saver. This isn't restricted to www.staples.com. It also applies to many other consumer items. The nice little feature on this site in particular is that you can save items you use regularly, on your personal "Shopping List". In other words, if you continually use a particular 8 1/2 x 11 paper and a specific cartridge of ink for your printer, you can save these exact items on your "Shopping List". These stay on your list until you delete them. Whenever you need these items you can simply logon to the website, click on your "Shopping List", click on the items you need, type in your credit card numbers to pay online and, and if your order is over $50 you will have it delivered free to your door the next day. This is much more efficient than driving to the store, wander around searching for the items (that is only what guys do), stand in line and drive back to your office or home.
WEATHER NETWORK— This is something I refer to at least once a day. It is a little program you can download which shows the temperature in your area (mine is set for White Rock B.C.) displayed in a yellow icon in the bottom corner of your computer screen. If I ever want to see what the weather is expected to be at particular periods of the day or how the week is shaping up, simply click on the yellow icon and a small window opens up to display the next 2 to 9 days. Travelling to a different city in the next few days or week? You can add that particular city so you can see what the weather could be like when you are there. I've found it to be as relied upon as a cell phone, where by the way the info can be sent as well to. Go to www.theweathernetwork.com for it all.
HHHHHMMMMM…...
There has much talk lately about the probability of a U.S. led global recession. Over the past 30 years, commodity prices (oil included) have lost 30 per cent of their value during such slowdowns. (International Monetary Fund)
There was a 20-per-cent surge in the amount of cash held by investors in late 1987 and a 30% jump after the tech meltdown in 2000. In both cases, investors sat on their cash for almost a year and a half while the equity markets surged by more than 20%. Benjamin Tal, CIBC World Markets, May 2008
Nortel 's share price is worth less about 7% of what it was 8 years ago (used to be $125 now approx. $9) yet the company is actually more profitable today than when everyone was chasing it.
This is probably one of the best times in the past 5 to 6 years to be buying this stuff" (high yield or "junk" bonds). Gavin Graham, CIO Guardian Group of Funds (April 2008)
Saskatoon had the steepest gains in housing prices over the past year (up 58%) followed by Regina at almost 29%, Edmonton 14.8%, Winnipeg rose 14.5%, Halifax 11.4%, Vancouver 6.6%, Montreal 4.7% and Toronto 4.4%. (Globe & Mail, April 2008)
The last residential real estate downturns in the US and the UK lasted 6 years yet the bubble before that time was shorter and did not climb as steeply as the one we just went through. If history is any indication the housing downturn will last until 2012 in the US and a couple of years longer in the UK. Financial Times, April 2008
Nevada has the highest home foreclosure rate (1 in every 139 households). California is 2 nd highest. (USA Today, June 2008)
At the end of 2007, 15% of U.S. homeowners had a mortgage to value ratio on their home greater than 100%, meaning their mortgage were worth more than their homes, and it's not getting better. Advisor.ca April 2008
The average public transit bus in the U.S. uses 4,365 British thermal units (a measure of energy) per passenger mile and emits 0.71 pounds of carbon dioxide. The average car on the other hand uses much less per passenger mile (3,445 BTUs per passenger mile and 0.54 pounds of CO2). In 1970, the average bus used 2,500 BTUs per passenger mile; by 2005, it used almost twice as much (4,300 BTUs). In 1970, by way of contrast, light trucks used 9,000 BTUs per passenger mile; in 2005, they used less than half that (4,300). The average pickup truck is as energy efficient now, per passenger mile, as the average bus is. Randal O'Toole, Senior economist, Thoreau Institute and lecturer in environmental economics at Yale and at the University of California at Berkeley
At today's gas prices, the Toyota Highlander hybrid takes 12.7 years to break even; the Saturn Aura, 24.3 years, Edmunds says. And the $106,000 Lexus LS600h hybrid, compared with the gasoline LS460L takes 102.6 years. USA Today, May 2008
The IMF's (Intl Monetary Fund's) leaders which represent 185 countries agreed that soaring food prices are the biggest problem currently not global banking problems from the subprime / asset backed commercial paper (ABCP). (Globe & Mail, April 2008)
Air Canada can buy that aircraft 60% cheaper from Boeing than they could five years ago (Globe & Mail, April 2008)
Chartered Financial Planner
PS. Questions? Comments? Would you like to set up a meeting? Let me know by phone email (email@example.com) or phone (604 541 2690).
DISCLOSURE / DISCLAIMER
The information contained herein is based on certain assumptions and personal opinions. While care is taken in the preparation of "mutual gains", no warranty is made as to it's accuracy of applicability in any particular case. The comments included herein are not to be construed as a public offering in any province in Canada. Any offering is made by prospectus or in certain cases an offering Memorandum. Carey Vandenberg is licensed with Partners In Planning Financial Services Ltd. for investment services in the provinces of B.C., Alberta, Saskatchewan and Ontario and through C.E. Vandenberg & Associates Inc. for life and health insurances and fee for service financial planning in B.C. Commissions, trailing commissions, management fees and expenses may all be associated with mutual fund investments. Mutual funds are not guaranteed, their values change frequently and past performance may not be repeated.
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Managing Director, WBMSCL invites sealed bids through electronic tendering (e- Tendering) from the bonafide, resourceful and reliable experienced agencies/Suppliers/Vendors/authorised dealers etc. for Supply & delivery of sanitary & plumbing c delivery of sanitary & plumbing consumable items onsumable items onsumable items at at at Chanchol SSH, Jangipur SSH, Dumkol Chanchol SSH, Jangipur SSH, Dumkol Chanchol SSH, Jangipur SSH, Dumkol SSH, SSH, Rampurhat SSH, Suri SSH, Asansol SSH.
| SSSSllll.... NNNNoooo.... | NNNNaaaammmmeeee ooooffff tttthhhheeee WWWWoooorrrrkkkk | EEEEaaaarrrrnnnneeeesssstttt MMMMoooonnnneeeeyyyy DDDDeeeeppppoooossssiiiitttt (EEEEMMMMDDDD)))) ppppeeeerrrr PPPPaaaacccckkkkaaaaggggeeee ((((RRRRssss....)))) ((((RRRReeeeffffuuuunnnnddddaaaabbbblllleeee)))) | LLLLaaaasssstttt ddddaaaatttteeee aaaannnndddd ttttiiiimmmmeeee ooooffff TTTTeeeennnnddddeeeerrrr ssssuuuubbbbmmmmiiiissssssssiiiioooonnnn |
|---|---|---|---|
| 1 | PPPPaaaacccckkkkaaaaggggeeee ---- BBBB.... Supply & delivery of sanitary & plumbing consumable items at Chanchol SSH, Jangipur SSH, Dumkol SSH, Rampurhat SSH, Suri SSH, Asansol SSH under WBMSCL | Rs. 77,000.00 (Rupees seventy seven thousand Only) | 24.06.2019 upto 04.00 P.M. |
1. In the event of e-filling intending bidder may download the tender documents from the websites hhhhttttttttpppps:/ s:/ s:///// wb wbtttten en enddddeeeersrsrsrs....gov. gov. gov.iiiinnnn directly with the help of Digital Signature Certificate and ww wwwwww.w .w .wbbbbm m msssscccc....ggggoooovvvv....iiiinnnn . TTTThe he he bbbbiiiiddddddddeeeerrrrssss sssshhhhou ou oulllld d d pppprrrrodu odu oducccce e e e aaaalllll l l l tttthe he he ccccrrrreeeeddddeeeennnntitititiaaaal l l l iiiin n n ooooririririggggiiiinal nal nal tttto o o tttthhhhe e e e ooooffi ffiffi fficccce e e e oooof f f f unde underrrrssssiiiiggggned ned ned ffffoooorrrr vvvveeeerrrriiiiffffiiiiccccaaaatititition on on aaaatttt W W Wes es est t t t BBBBeeeennnnggggaaaal l l l M M Meeeeddddiiiiccccaaaal l l l SSSSeeeerrrrvvvviciciciceeees s s s CCCCoooorrrrppppoooorrrraaaattttiiiioooon n n LLLLiiiim m miiiitttteeeed, d, d, Swa Swa Swaststststhhhhyyyya a a a SSSSaaaatttthhhhi i i i BBBBuuuuililililddddiiiinnnngggg,,,, GGGGNNNN----22229999, , , , Se Se Seccccttttoooor r r r ––––V, V, V, Sa Sa Sallllttttllllake, ake, ake, KKKKoooollllkkkkaaaattttaaaa----777700000091. 0091. 0091.
2. Eligibility Criterion for participation in the tender/ Quotation.
i) Intending bidders should produce credentials of o1 (one) similar nature of works i.e. any type of supply work during the last 5 (five) years viz. 31st May 2014. The value of work should be minimum Rs. 8,00,000/- (Rupees eight lakh only) for single work or two supply work totalling Rs. 8,00,000/- from which the minimum value of one work shall be Rs. 5,00,000/-.
ii) Credential certificate issued by the competent authority of any State / Central Govt., State / Central Govt. Undertaking, Statutory / Autonomous bodies/Reputed Company, on the executed value of completed / running work will be taken as credential. The amount of credential will considered as 50% (fifty percent) of the quoted rate of this tender.
iii) All intending Bidders are required to produce current Tax return (for the assessment year as applicable) as submitted along with PAN, GST Registration Certificate as applicable (to be documented through e-filing).
iv) Registered Partnership deed should be furnished (for partnership firm only) along with Power of Attorney to sign on the tender documents (if required) and the company shall furnish the Article of Association and Memorandum (to be documented through e-filing).
vii) Joint Venture/Consortium will not be allowed.
3. The rate quoted by the Bidders will remain valid for a period of 12(twelve) months, it means 1(one) year from the date of issuing of Work Order for the above mentioned job. If the Bidder withdraws and change the quoted rate during this period, his Earnest Money Deposited will be forfeited.
4. No Mobilization Advance / Secured Advance will be allowed.
5. Prospective applicants note carefully the minimum qualification criteria as mentioned in instruction to bidders before submitting the bid.
6. No Conditional Bid will be accepted under any circumstances.
7. Before uploading tender document through e-filing each page of the documents are to be signed by the Bidder/ owner/ partner / authorized signatories having legal authority to do so, failing which the Bid will be treated as informal.
8. The employer reserves the right to accept or reject any / all offer without assigning any reason whatsoever and is not liable for any cost that might have incurred by the Bidder at the stage of Bidding.
9. The lowest bidder will be ascertained on the basis of lowest total rate quoted considering all the items of electromechanical consumables as mentioned in the BOQ and work order will be issued to the lowest bidder accordingly.
10. IIIIM M MPPPPO O ORT RT RTAAAANNNNTTTT IIIINF NF NFO O ORRRRM M MAAAATTTTIIIIO O ONNNN:-
DATE & TIME SCHEDULE:
| SSSSllll.... NNNNoooo.... | PPPPAAAARRRRTTTTIIIICCCCUUUULLLLAAAARRRR |
|---|---|
| i) | Date of uploading of N.I.Q and Quotation Documents. |
| ii) | Documents Sell / download start date (online) |
| iii) | Pre-bid Meeting |
| iv) | Bid Submission Upload Start date (online) |
| v) | Bid Submission Upload End date (online) |
| vi) | Hard copy submission End date |
| vi) | Date for Opening of Technical bid (online) for the Bidders. |
| vii) | Date & place for opening of financial proposal |
LOCATION OF CRITICAL EVENTS:
BBBBiiiidddd O O Oppppeeeennnniiiinnnngggg:::: """"W W Weeeesssstttt BBBBeeeennnngal gal gal M M Meeeeddddiiiiccccalalalal SSSSeeeerrrrvvvviiiicccceeeessss CCCCoooorrrrppppoooorrrraaaattttiiiioooonnnn LLLLiiiim m miiiitttteeeedddd,,,, SSSSwwwwaaaaststststhhhhyyyyaaaa Sa Sa Satttthhhhiiii BBBBuuuuililililddddiiiinnnngggg,,,, GGGGNNNN---22229999,,,, SSSSeeeeccccttttoooorrrr ––––VVVV,,,, SSSSaaaallllttttllllaaaakkkke,e,e,e, KKKKoooollllkkkkaaaattttaaaa----70 70 700000091" 091" 091" Interested Bidders may be presented at West Bengal Medical Services Corporation Limited, Swasthya Sathi Building, GN-29, Sector –V, Saltlake, Kolkata700091, during opening of bid.
11. If any dat e as m entioned above happens t o be holi day, t he next working day wil l be considered as the sti pul ated d at e.
12.
(A) The process of deposit of earnest money through offline instruments like Bank Draft, Pay Order etc. will be stopped for e–tender procurement of this office.... NNNNeeeecccceeeessssssssaaaarrrryyyy Ea Ea Earrrrnnnneeeesssstttt M M Money oney oney wil wil willlll be be be de de deppppoooossssiiiitttted ed ed bbbby y y tttthe he he BBBBiiiidder dder dder/Quo /Quo /Quotatatatationer tioner tioner eeeelllleeeecccctrtrtrtroooonnnniiiica ca calllllllly:y:y:y: on on onlilililine ne ne –––– tttthhhhrrrroooough ugh ugh hhhhiiiis s s nnnneeeet t t bank bank bankiiiing ng ng enab enab enablllled ed ed bank bank bank acc accooooun un untttt, , , , m m maaaaiiiinnnnttttaaaaiiiined ned ned at at at any any any bank bank bank oooorrrr: : : : ooooffl fflffl ffliiiine ne ne –––– tttthhhhrrrrou ou ouggggh h h any any any bank bank bank by by by ggggeeeene ne nerrrraaaattttiiiing ng ng NNNNEEEEFT/ FT/ FT/ RRRRTTTTGGGGS S S S cha challllllllan an an ffffrrrroooom m m tttthe e he e he e––––tttteeeennnnddddeeeerrrriiiing ng ng ppppoooorrrrttttaaaallll. Intending Bidder will get the Beneficiary details from e– tender portal with the help of Digital Signature Certificate and may transfer the EMD from their respective Bank as per the Beneficiary Name & Account No., Amount, Beneficiary Bank name (ICICI Bank) & IFSC Code and e– Proc Ref. No. Earnest Money of Rs. 77,000.00 (Rupees seventy seven thousand only) has to be submitted. The earnest money of the successful bidder (being converted to security deposit) deposited, will remain under the custody of the department till satisfactory completion of the work in full including extended quantity if ordered for. Besides this, necessary percentages shall be deducted from the progressive bill or bills so as to make it 10% (Ten percent) of the value of work billed for.
(B) Intending bidder who wants to transfer EMD through NEFT/RTGS must read the instruction of the Challan generated from E–Procurement site.
C) Bidders are also advised to submit Hard copies of Documents of their Bid, on or before 26.06.2019 up to
04.00 P.M
13. The successful Bidder shall have to execute Formal Agreement with Managing Director, West Bengal Medical Services Corporation Limited within 7(Seven) days from the date of issuance of Provisional Work order.
14. The Bidder has to visit and examine the site of works and its surroundings and obtained all information that may be necessary for preparing Bid and entering into an agreement for the work / works as mentioned in the NIQ. The costs for visiting the working site shall be at the bidders own expense.
15. If more than one Bidders, quoted the same rate and which are found lowest at the time of opening, such similar multiple rates will not be entertained / accepted. Lowest offer will be ascertained by sealed bid amongst the lowest Bidders.
16. At any stage during scrutiny, if it is found that the credential or any other papers which the Bidders uploaded during Bidding process, found incorrect / manufactured / fabricated, that Bid will be considered as non- responsive and outright rejected with forfeiture of Earnest Money and action will be taken as per stipulation of IT Rules in force.
17. List of "Technically Qualified Bidders" will be published in the web portal only. Financial Bid will be opened within a short period after such publication. Therefore, Bidders are requested to view the tender status on a regular basis. In case of there be any objection regarding Pre-qualification / list of "Technically Qualified Bidders", that objection should be lodged to the Managing Director, WBMSCL within 48 hours from the date of publication of list of qualified Agency and beyond that time schedule no objection will be entertained by the Tender Evaluation Committee.
18. Before issuance of Letter of Acceptance / Provisional Work order, the tender accepting authority may verify the credential & other documents of the lowest bidder so uploaded online if found necessary. If it is found such document incorrect / manufactured / fabricated, Letter of Acceptance/Provisional Work order will not be issued in favour of the bidder under any circumstances and action will be taken accordingly.
19. In case of Ascertaining of Authority at any stage of application or execution of work, necessary registered Power of Attorney is to be produced.
20. The Earnest Money may be forfeited if:-
a) If the Bidder withdraws the Bid during the period of Bid validity.
b) In case of successful Bidder, if the Bidder fails to execute formal agreement within the stipulated time period.
c) During scrutiny, if it is come to the notice of tender inviting authority that the credential or any other document which were uploaded & digitally signed by the Bidder are incorrect/ manufactured/fabricated.
21. If any discrepancy arises between two similar clauses on different notifications, the clause as stated in later notification will supersede former one in following sequence:-
a) Notice Inviting Tender
b) Financial Bid
22. WBMSCL may at any time by written instruction vary the quantity by 40% (forty percent) above or 20% (twenty percent) below the original Contract quantity of individual goods at the accepted terms & conditions. The price for the additional quantity of individual goods will be as per the contracted price of this bid
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IN INSSSSTTTTRRRRUUUUCT CT CTIO IO IONNNN TTTTO O O BBBBIDD IDD IDDEEEERS RS RS
SECTION – A
General guidance for e-Tendering
Instructions/ Guidelines for bidders for electronic submission of the tenders online have been annexed for assisting the contractors to participate in e-Tendering.
1. Registration of Contractor Any contractor willing to take part in the process of e-Tendering will have to be enrolled & registered with the Government e-Procurement system, through logging on to hhhhttttttttpppps:/ s:/ s:///// wb wbtttten en enddddeeeersrsrsrs....gov. gov. gov.iiiinnnn The contractor is to click on the link for e-Tendering site as given on the web portal.
2. Digital Signature certificate (DSC) Each contractor is required to obtain a class-II or Class-III Digital Signature Certificate (DSC) for submission of tenders, from the approved service provider of the National Information's Centre (NIC) on payment of requisite amount details are available at the Web Site stated in Clause-2 of Guideline to Bidder DSC is given as a USB eToken.
3. The contractor can search & download NIQ & Tender Documents electronically from computer once he logs on to the website mentioned in Clause 2 using the Digital Signature Certificate. This is the only mode of collection of Tender Documents.
4. SSSSuuuubbbbm m miiiiss ssss ssiiiion on on of of of TTTTeeeend nd ndeeeerrrrssss/G /G /Gen en ener er eraaaal p l p l prrrrooooce ce cesssss s s s oooof f f f ssssub ub ubm m miiiiss ssss ssiiiion: on: on: Tenders are to be submitted through online to the website stated in Cl. 2 in two folders at a time for each work, one in Technical Proposal & the other in Financial Proposal before the prescribed date & time using the Digital Signature Certificate (DSC) The documents are to be uploaded (virus scanned copy) duly Digitally Signed. The documents will get encrypted (transformed into non readable formats). A. Technical & Financial proposal: The proposal should contain scanned copies of the following in two covers (folders).
AAAA----1. 1.1. 1. SSSSttttaaaattttuuuuttttoooorrrryyyy Cov Cov Coveeeerrrr fil filfil fileeee Con Con Conttttaaaaiiiinnnniiiing ng ng.
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i) Earnest money (EMD) (online mode)
ii) NIQ
iii) Forms (As mentioned in the NIQ, Section-B)
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i) The summation rate of all consumable items will be quoted in the given format of Item rate BOQ (as per Annexure-I in the Section-B) will be encrypted in the B.O.Q. under Financial Bid.
ii) Annexure-I (As mentioned in the NIQ, Section-B)
iii) The bidder should be quoted the rate (Inclusive of all taxes, charges, labour charges, transportation cost etc.) of all items specified site wise in Annexure-I Section-B, otherwise the bid will be treated as cancel.
iv) The total quoted rate as specified in Annexure-I, Section-B should be put in BOQ.
AAAA----2. 2.2. 2. Non Non Non ssssttttaaaattttuuuuttttoooorrrryyyy //// TTTTeeeecccchhhhnnnniiiiccccaaaallll DDDDoc oc ocuuuum m meeeennnnttttssss
i) Current Income Tax return (for the assessment year as applicable), PAN, GST & Professional Tax receipt challan.
ii) Registered Deed of partnership Firm.
v) Trade License from the respective Municipality/Panchayet etc.
vi) Requisite Credential Certificate as mention in Clause [2(i)] of this N.I.T.
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TTTTHHHHEEEE AAAABBBBO O OVE VE VE SSSSTTTTAAAATTTTED ED ED NNNNON ON ON----SSSSTTTTAAAATTTTUUUUTTTTO O ORRRRYYYY////TTTTEEEECHN CHN CHNIIIICCCCAAAALLLL DDDDO O OCCCCUUUUM M MEEEENNNNTS TS TS SSSSHHHHO O OUUUULD LD LD BE BE BE ARR ARR ARRAAAANNNNGGGGED ED ED IIIIN N TTTTHHHHE F E F E FO O OLLLLLLLLO O OW W WIN IN INGGGG M M MAN AN ANNNNNEEEERRRR
Click the check boxes beside the necessary documents in the My Document list and then click the tab "Submit Non Statutory Documents' to send the selected documents to Non-Statutory folder. Next Click the tab "Click to Encrypt and upload" and then click the "Technical" Folder to upload the Technical Documents.
| SSSSllll.... NNNNoooo.... | CCCCaaaatttteeeeggggoooorrrryyyy NNNNaaaammmmeeee | SSSSuuuubbbb CCCCaaaatttteeeeggggoooorrrryyyy DDDDeeeessssccccrrrriiiippppttttiiiioooonnnn |
|---|---|---|
| A. | CERTIFICATES | CERTIFICATES |
| B. | Company/Firm Details | Company/Firm Details – I |
B. B. TTTTeeeecccchhhhnnnniiiical cal cal pppprrrro oooppppoooossssalalalal
i. Opening of Technical proposal: - Technical proposals will be opened by the Managing Director, West Bengal Medical Services Corporation Limited and his authorized representative electronically from the web site stated using their Digital Signature Certificate.
ii. Intending bidders may remain present if they so desire.
C. C. FFFFiiiinnnnaaaanc nc nciiiialalalal pppprrrrooooppppoooossssalalalal
i) The financial proposal should contain the following documents in the online financial cover i.e. Bill of quantities (BOQ) & Annexure I. The contractor is to quote the rate online through computer in the space marked for quoting rate in the BOQ and quote the rate item wise in annexure I. Annexure I show separately breakup cost for each item which will be valid for 365 days. WBMSCL reserves the right to purchase the above mentioned items either in phase wise manner or as a whole whichever is required throughout the whole year during bid validity days in the same rate and same terms & condition.
ii) Only downloaded copies of the above documents are to be uploaded virus scanned & Digitally Signed by the contractor.
PE PENNNNAAAALLLLTY TY TY FFFFO O OR R R SU SU SUPPPPPPPPRE RE RESS SS SSIO IO ION N N / / / / DDDDIIIIST ST STO O ORT RT RTIO IO ION N N O O OF F F FA FA FACCCCTS TS TS O O OR R R SUB SUB SUBMI MI MISSSSSSSSIO IO ION N N O O OF F F F IN IN INCCCCO O ORR RR RREEEECCCCT T T T IN INFFFFO O ORRRRM M MAAAATTTTIIIIO O ONNNN::::
If any bidder fails to produce the original hard copies of the documents (specially Completion Certificates and audited balance sheets), or any other documents on demand of the Tender Opening Authority within a specified time frame or if any deviation is detected in the hard copies from the uploaded soft copies or if there is any suppression of facts, the bidder will be suspended from participating in the tender on e- Tender platform for 3 (three) years. In addition, his user ID will be deactivated and Earnest M o n e y D e p o s i t w i l l stand forfeited. Besides, WEST BENGAL MEDICAL SERVICES CORPORATION LIMITED may take appropriate legal action against such bidder.
AAAAW W WARD ARD ARD O O OF CO F CO F CONNNNTTTTRA RA RACCCCTTTT
The Tender Inviting Authority reserves the right to accept or reject any bid and to cancel the tender inviting process and reject all bids at any time and prior to the Award of Contract without thereby incurring any liability to the affected bidder or bidders or any obligation to inform the affected Bidder or Bidders of the ground for Employer's action.
The Bidder whose Bid has been accepted will be notified by the Tender Inviting & Accepting Authority through acceptance letter/email.
The notification of award will initiate the execution of agreement.
The Agreement in prescribed composite Tender Form will incorporate all agreements between the Tender Accepting Authority and the successful Bidder.
Liquidated Damages: : : :
If the Contractor fails to complete the Works within the time of completion, the Corporation shall, without prejudice to other rights and remedies available to the Corporation under the Contract, deduct from the Contract Price, as Liquidated Damages, a sum equivalent to 0.5% per week of delay or part thereof until the date of successful completion of the Works to the satisfaction of Engineer-in-Charge, subject to a maximum of 10% of the total Contract Price. Once the maximum delay has been committed by the Contractor, the Corporation may proceed for termination of the Contract, in accordance with the STC without prejudice to the Corporation's right to terminate the Contract even prior thereto for breach by the Contractor.
No Liquidated Damages shall be imposed on the Contractor by the Corporation, without giving a reasonable opportunity to the Contractor to explain the reason behind its delay.
Gene Generrrralalalal TTTTeeeerrrrm m ms and s and s and Cond Cond Condiiiittttiiiion on onssss::::
1. The Earnest Money may be forfeited if:-
a) If the Bidder withdraws the Bid during the period of Bid validity.
b) In case of successful Bidder, if the Bidder fails to execute formal agreement within the stipulated time period.
c) During scrutiny, if it is come to the notice of tender inviting authority that the credential or any other document which were uploaded & digitally signed by the Bidder are incorrect/ manufactured/fabricated.
2. WBMSCL may at any time by written instruction vary the quantity by 40% (forty percent) above or 20% (twenty percent) below the original Contract quantity of individual goods at the accepted terms & conditions. The price for the additional quantity of individual goods will be as per the contracted price of this bid.
3. The Earnest money of successful bidder shall be retained and for others, Earnest money will be returned within 30 (thirty) days of completion of bid evaluation. No interest is payable on this deposit. The earnest money deposited by successful bidder will be converted to Security deposit. Balance security deposit to cover 10% of the bill amount will be recovered from each running bill & final bill. 75% of 75% of secu securrrritititity y y y de de deppppoooossssiiiit amount t amount t amount ssssha ha halllll be l be l be rrrreeeeffffund und undeeeed d d tttto o o o the agency the agency the agency aaaaftftftfter er er 6(six) months from the date of 6(six) months from the date of completion of the work and balance 25% Security deposit amount shall be refunded after successful completion of 1(one) year. completion of 1(one) year. No interest is payable on this deposit. If the approved party fails to execute the agreement deed within the specified date, the earnest money will be forfeited. The Managing Director of the WBMSCL or any other person(s) authorized by him on his/her behalf reserves the right to accept any tender, in full or in part, or reject any or' all the bids without assigning any reasons thereof and no correspondence in this respect will be entertained.
4. The price to be quoted in Indian Rupee only.
5. No interest will be payable against Earnest money or Security Deposit.
6. WBMSCL will evaluate and compare the tenders/ Quotations determined to be substantially responsive i.e.
which
(a) Are properly signed.
(b) Conform to the terms and conditions, and specifications.
7. WBMSCL reserves the right to accept or reject any tenders/ quotations and to cancel the bidding process and reject all tenders, and does not bind to accept the lowest rate.
8. The Bidder/ Quotationer whose bid / Quotation is accepted will be notified of the award of contract. The
terms of accepted offer shall be incorporated in the work order.
9. Payment shall be made within 30(thirty) days after ea c h delivery of the con s uma bl e i t em s as me nti o ne d i n t he Annexure-I,II & III an d against submission of chal lan as well as bills with certification from the site in charge of WBMSCL for the satisfactory completion of supply& delivery of all consumable items as per B.O.Q.
10. All consumable items as mentioned in the Annexure-I, Section B should be reached in SEALED / Packed condition.
11. All consumable items as mentioned in the Annexure-I, Section B to be supplied by the Agency/ vendor at his own risk and including of all applicable taxes, charges, transportation, labour charges etc.
12. Enclosure: ANNEXURE –I & Section – C(Forms I to IV)
13. The work will have to be completed within 45 (forty five) days from the date of issue of the work order.
14. After opening of financial bid, seal bid may be called offline for negotiation of rate quoted by bidders (if required).
Sd/ Sd/----
M Manag anag anagiiiing D ng D ng Diiiirrrrec ec ecttttor, WBMSCL or, WBMSCL or, WBMSCL
SECTION SECTION SECTION SECTION----BBBB UANTIIIITY TY TY TY
ANNEXURE ANNEXURE ---- I I I I SC SCO O OPE PE PE O O OFFFF W W WO O ORK RK RK, , , , BBBBIIIILL LL LL O O OFFFF Q Q QUANT UANT
| SSSSllll.... NNNNoooo.... | DDDDeeeessssccccrrrriiiippppttttiiiioooonnnn ooooffff IIIItttteeeemmmmssss ((((IIIInnnncccclllluuuuddddiiiinnnngggg mmmmaaaakkkkeeee &&&& MMMMooooddddeeeellll)))) | QQQQuuuuaaaannnnttttiiiittttyyyy | | | | | | | | | | | | UUUUnnnniiiitttt | TTTToooottttaaaallll QQQQuuuuaaaannnnttttiiiittttyyyy | RRRRaaaatttteeee (((( IIIInnnncccclllluuuussssiiiivvvveeee ooooffff aaaallllllll ttttaaaaxxxxeeeessss &&&& dddduuuuttttiiiieeeessss)))) |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | | | CCCChhhhaaaannnncccchhhhoooollll | | JJJJaaaannnnggggiiiippppuuuurrrr | | DDDDuuuummmmkkkkoooollll | | RRRRaaaammmmppppuuuurrrrhhhhaaaatttt | | AAAAssssaaaannnnssssoooollll | | SSSSuuuurrrriiii | | | |
| 1 | Health Faucet Make: Jaquar or its equivalent Model: AHR 585/ CHR 585 or its equivalent | 25 | | 25 | | 25 | | 25 | | 25 | | 50 | | Nos. | 175 | |
| 2 | Stainless Steel(SS) Health Faucet Holder Make: Any reputed Model: N.A. | 50 | | 50 | | 50 | | 50 | | 50 | | 100 | | Nos. | 350 | |
| 3 | PVC Health Faucet Make: Watertec/ Prayag/ SHAKTI or its equivalent | 25 | | 25 | | 25 | | 25 | | 25 | | 50 | | Nos. | 175 | |
| 4 | PVC Connector Pipe Make: SHAKTI or its equivalent Model/Size: 2' x ½” | 50 | | 50 | | 50 | | 50 | | 50 | | 100 | | Nos. | 350 | |
| 5 | PVC Connector Pipe Make: SHAKTI / or its equivalent Model/Size: 3' x ½” | 50 | | 50 | | 50 | | 50 | | 50 | | 100 | | Nos. | 350 | |
| 6 | Pillar Cock Make: Ess Ess or its equivalent Model: T-100 or its equivalent | 10 | | 10 | | 10 | | 10 | | 10 | | 20 | | Nos. | 70 | |
| 7 | 2 way Bib Cock Make: Ess Ess Model: T-103A or its equivalent | 10 | | 10 | | 10 | | 10 | | 10 | | 20 | | Nos. | 70 | |
| 8 | PVC Pillar Cock Make: Watertec/ Prayag/ SHAKTI | 50 | | 50 | | 50 | | 50 | | 50 | | 100 | | Nos. | 350 | |
9 Elbow Action Pillar
Cock
Make: Jaquar or its
| 10 | Sink Cock with casted spout Make: Ess Ess / ESSCO Model: T114 or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
|---|---|---|---|---|---|---|---|---|---|
| 11 | Bottle Trap Make: Jaquar or its equivalent Model: ALD769L or its equivalent | 15 | 15 | 15 | 15 | 15 | 30 | Nos. | 105 |
| 12 | Bottle Trap Make: Ess ess / ESSCO Model: C231C or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 13 | Teflon Tape Make: M-seal | 40 | 40 | 40 | 40 | 40 | 80 | Nos. | 280 |
| 14 | M-seal sealant Make: M-seal Model: 250gm./Packet | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 15 | CPVC solvent Make: Pidilite Model: 100 ml/container | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 16 | PVC Urinal Waste cap Make: Any Reputed Model/Size: 40mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 17 | CP Extension Nipple Make: Any reputed Model/Size : 1”(One inch) | 25 | 25 | 25 | 25 | 25 | 50 | Nos. | 175 |
| 18 | CP Extension Nipple Make: Any reputed Model/Size : 2”(Two inch) | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 19 | CP Extension Nipple Make: Any reputed Model/Size : 3”(Three inch) | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
20 CP Hex Nipple
Make: Any reputed
Model/Size : ½"
| 21 | CP Hex Nipple Make: Any reputed Model/Size : 4” | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
|---|---|---|---|---|---|---|---|---|---|
| 22 | Push Bib Cock Make: Jaquar or its equivalent Model/Size : PRS- 077 or its equivalent | 15 | 15 | 15 | 15 | 15 | 30 | Nos. | 105 |
| 23 | Butterfly valve Make: Any reputed Model/Size : 125mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 24 | Gate valve Make: Any reputed Model/Size : 25mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 25 | G.I. Flange Make: Any reputed Model/Size : 125mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 26 | G.I. Flange Make: Any reputed Model/Size : 110mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 27 | G.I. Flange Make: Any reputed Model/Size : 100mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 28 | G.I. Flange Make: Any reputed Model/Size : 80mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 29 | G.I. Flange Make: Any reputed Model/Size : 65mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
| 30 | Bib cock spindle(Half-Turn) Make: Ess Model/Size : 15mm | 25 | 25 | 25 | 25 | 25 | 50 | Nos. | 175 |
| 31 | Flexible pipe Make: Any reputed Model/Size : 25mm | 2 | 2 | 2 | 2 | 2 | 4 | Role | 14 |
| 32 | CPVC elbow Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 30 | 30 | 30 | 30 | 30 | 60 | Nos. | 210 |
34 CPVC elbow
Make: Ajay /
| 35 | CPVC elbow Make: Ajay / Supreme / Oriplast Model/Size : 32mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
|---|---|---|---|---|---|---|---|---|---|
| 36 | CPVC elbow Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 37 | CPVC elbow Make: Ajay / Supreme / Oriplast Model/Size : 50mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 38 | CPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 39 | CPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 20mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 40 | CPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 25mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 41 | CPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 32mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 42 | CPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 43 | CPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 50mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 44 | CPVC pipe bend (90 degree) Make: Ajay / Supreme / Oriplast Model/Size : 50mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 45 | CPVC pipe bend (90 degree) Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
46 CPVC pipe bend (90
degree)
| 47 | CPVC pipe bend (90 degree) Make: Ajay / Supreme / Oriplast Model/Size : 25mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
|---|---|---|---|---|---|---|---|---|---|
| 48 | CPVC pipe bend (90 degree) Make: Ajay / Supreme / Oriplast Model/Size : 20mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 49 | CPVC pipe bend (90 degree) Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 50 | CPVC coupler Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 51 | CPVC Pipe Make: Ajay / Supreme / Oriplast Model/Size : Class II, 15mm | 30 | 30 | 30 | 30 | 30 | 60 | meter | 210 |
| 52 | CPVC Pipe Make: Ajay / Supreme / Oriplast Model/Size : Class II, 20mm | 24 | 24 | 24 | 24 | 24 | 48 | Meter | 168 |
| 53 | CPVC Pipe Make: Ajay / Supreme / Oriplast Model/Size : Class II, 25mm | 12 | 12 | 12 | 12 | 12 | 24 | Meter | 84 |
| 54 | CPVC Pipe Make: Ajay / Supreme / Oriplast Model/Size : Class II, 40mm | 12 | 12 | 12 | 12 | 12 | 24 | Meter | 84 |
| 55 | CPVC Pipe Make: Ajay / Supreme / Oriplast Model/Size : Class II, 50mm | 12 | 12 | 12 | 12 | 12 | 24 | Meter | 84 |
56 CPVC Pipe
Make: Ajay /
| 57 | UPVC pipe Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 24 | 24 | 24 | 24 | 24 | 48 | meter | 168 |
|---|---|---|---|---|---|---|---|---|---|
| 58 | UPVC pipe bend (90 degree) Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 59 | UPVC tee Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 60 | CPVC Union Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 61 | CPVC Union Make: Ajay / Supreme / Oriplast Model/Size : 25mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 62 | CPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 63 | CPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 20mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 64 | CPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 25mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 65 | CPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 32mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 66 | CPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 67 | UPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
68 UPVC Socket
Make: Ajay /
Supreme / Oriplast
| 69 | UPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 25mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
|---|---|---|---|---|---|---|---|---|---|
| 70 | UPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 32mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 71 | UPVC Socket Make: Ajay / Supreme / Oriplast Model/Size : 40mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 72 | UPVC Union Make: Ajay / Supreme / Oriplast Model/Size : 15mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 73 | UPVC Union Make: Ajay / Supreme / Oriplast Model/Size : 25mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 74 | PVC End cap/Plug Make – Any reputed Model/size – 15 mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 75 | PVC End cap/Plug Make – Any reputed Model/size – 20 mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 76 | PVC End cap/Plug Make – Any reputed Model/size – 25 mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 77 | PVC End cap/Plug Make – Any reputed Model/size – 32 mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 78 | PVC End cap/Plug Make – Any reputed Model/size – 40 mm | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 79 | CPVC MTA Make – Ajay / Supreme / Oriplast Model/Size – ½” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 80 | CPVC MTA Make – Ajay / Supreme / Oriplast Model/Size – ¾ ” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
81 CPVC MTA
Make – Ajay /
Supreme / Oriplast
| 82 | UPVC MTA Make – Ajay / Supreme / Oriplast Model/Size – ½” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
|---|---|---|---|---|---|---|---|---|---|
| 83 | UPVC MTA Make – Ajay / Supreme / Oriplast Model/Size – ¾ ” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 84 | UPVC MTA Make – Ajay / Supreme / Oriplast Model/Size – 1” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 85 | UPVC Reducing Socket Make – Ajay / Supreme / Oriplast Model/Size – ¾”x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 86 | UPVC Reducing Socket Make – Ajay / Supreme / Oriplast Model/Size – 1” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 87 | UPVC Reducing Socket Make – Ajay / Supreme / Oriplast Model/Size – 1” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 88 | CPVC Reducing Socket Make – Ajay / Supreme / Oriplast Model/Size – ¾”x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 89 | CPVC Reducing Socket Make – Ajay / Supreme / Oriplast Model/Size – 1” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
90 CPVC Reducing
Socket
Make – Ajay /
| 91 | CPVC Reducing Elbow Make – Ajay / Supreme / Oriplast Model/Size – ¾”x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
|---|---|---|---|---|---|---|---|---|---|
| 92 | CPVC Reducing Elbow Make – Ajay / Supreme / Oriplast Model/Size – 1” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 93 | UPVC Reducing Elbow Make – Ajay / Supreme / Oriplast Model/Size – ¾”x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 94 | UPVC Reducing Elbow Make – Ajay / Supreme / Oriplast Model/Size – 1” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 95 | UPVC Reducing Tee Make – Ajay / Supreme / Oriplast Model/Size – ¾” x ¾” x ½” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 96 | UPVC Reducing Tee Make – Ajay / Supreme / Oriplast Model/Size –½” x ½” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
| 97 | UPVC Reducing Tee Make – Ajay / Supreme / Oriplast Model/Size – 1” x ¾” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
99 CPVC Reducing Tee
Make – Ajay /
Supreme / Oriplast
| 100 | CPVC Reducing Tee Make – Ajay / Supreme / Oriplast Model/Size – 1” x ¾” x ¾” | 20 | 20 | 20 | 20 | 20 | 40 | Nos. | 140 |
|---|---|---|---|---|---|---|---|---|---|
| 101 | EWC S trap type Make: Parryware or its equivalent Model/Size : C0287 or its equivalent | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 102 | EWC cistern (10 litter) Make: Parryware or its equivalent Model/Size : C8090 or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 103 | EWC Plastic seat cover Make: Parryware or its equivalent Model/Size : C8071 or its equivalent | 25 | 25 | 25 | 25 | 25 | 50 | Nos. | 175 |
| 104 | IWC Make: Hindware or its equivalent Model/Size : Orissa Pan comfort (580 x 430 x 260mm) 20070 or its equivalent | 3 | 3 | 3 | 3 | 3 | 6 | Nos. | 21 |
| 105 | Urinal Make: Hindware or its equivalent Model/Size : 60002 or its equivalent | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 106 | Urinal Partition Make: Hindware or its equivalent Model/Size : 61001 or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 107 | White cement Make: Birla/JK Model/Size : 1kg./Packet | 5 | 5 | 5 | 5 | 5 | 10 | Kg. | 35 |
| 108 | Emery Paper Make – Any reputed | 24 | 24 | 24 | 24 | 24 | 48 | Nos. | 168 |
109 Angular Valve
Make – Ess
Model /Size – ½"
| 110 | Gratings Make – Any reputed Model /Size – 75 mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
|---|---|---|---|---|---|---|---|---|---|
| 111 | Gratings Make – Any reputed Model /Size – 150 mm. | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 112 | Jute Make – Any reputed Model –NA | 3 | 3 | 3 | 3 | 3 | 6 | Kg | 21 |
| 113 | PVC waste pipe with PVC coupler Make - Any reputed Mode/size – 32 mm dia 600mm long | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 114 | PVC waste pipe with PVC coupler Make - Any reputed Mode/size – 32 mm dia 750mm long | 25 | 25 | 25 | 25 | 25 | 50 | Nos. | 175 |
| 117 | EWC P trap type Make: Parryware or its equivalent Model/Size : C0287 or its equivalent | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 118 | CP Waste coupling Make: Jaquar or its equivalent Model/Size : ALD- 705 or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 119 | 2 in 1 wall mixer Make – ESS / ESSCO Model –Na | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 120 | 3 in 1 wall mixer Make – ESSCO or its equivalent Model – DLX-5178 or its equivalent | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
15 15 15 15 15 30 Nos. 105
122 Towel Rail
Make – Jaquar or its equivalent
| 125 | Flexible waste pipe Make – Any reputed Model/Size – 32 mm dia 600 mm long | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
|---|---|---|---|---|---|---|---|---|---|
| 128 | Ball valve Make - Any reputed Model / Size – 40 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 129 | Ball valve Make - Any reputed Model / Size – 50 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 130 | Ball valve Make - Any reputed Model / Size – 32 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 131 | Ball valve Make - Any reputed Model /Size – 20mm | 6 | 6 | 6 | 6 | 6 | 12 | Nos. | 42 |
| 132 | Vitreous China Wash Basin Make – CERA/HIDWARE Size – 450 x 300 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 133 | Vitreous China Wash Basin Make – CERA /HIDWARE Size – 550 x 400 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 134 | Vitreous China Sink Make – CERA/HIDWARE Size – 610 x 450 x 250 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 136 | Stainless sink Make – Kingston / Nirali /Anupam Size – 630 x 550 x 180mm | 2 | 2 | 2 | 2 | 2 | 4 | Nos. | 14 |
|---|---|---|---|---|---|---|---|---|---|
| 137 | PVC Bib Cock Make - Wetertec / SHAKTI Size - ½” | 40 | 40 | 40 | 40 | 40 | 80 | Nos. | 280 |
| 138 | Ball valve Make - Any reputed Model / size – 25 mm | 5 | 5 | 5 | 5 | 5 | 10 | Nos. | 35 |
| 139 | Sink cock/Pillar cock spindle Make – SHAKTI or its equivalent Mode/size – 15 mm | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 140 | Towel ring Make – Jaquar or its equivalent Mode/size – ACN- 1121 N or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 141 | Coat hook Make – Jaquar or its equivalent Mode/size – ACN- 1161 or its equivalent | 10 | 10 | 10 | 10 | 10 | 20 | Nos. | 70 |
| 142 | S. S. Soap dish Make – ESSCO or its equivalent Mode/size – NA | 15 | 15 | 15 | 15 | 15 | 30 | Nos. | 105 |
| | TTTToooottttaaaallll AAAAmmmmoooouuuunnnntttt | | | | | | | | |
Amount in words : Amount in words : Amount in words : Amount in words :
Note: The total Note: The total amount amount amount of this of this of this annexure annexure annexure should be quoted in the BOQ should be quoted in the BOQ should be quoted in the BOQ....
SE SECCCCTTTTIIIIO O ON N N –––– CCCC
FFFFO O ORRRRM M M––––IIII
De Dettttaaaailililils of s of s of tttthe B he B he Biiiidd dd ddeeeerrrr
1. Name of the Bidder/ Quotationer ..................................................:
2. Address of the Bidder/ Quotationer ...............................................:
3. Telephone Number ..................................................:
Land Line Number....................................................:
Mobile Number ........................................................:
4. Pan (Enclose Copy) ...................................................:
5. GST Registration (Enclose Copy)...............................:
6. Licence No. / Registration No. & Valid date .............:
7. Exp Exp Expeeeerrrriiiience De ence De ence Dettttaaaaililililssss :
| NNNNaaaattttuuuurrrreeee ooooffff JJJJoooobbbb | |
|---|---|
| | FFFFrrrroooommmm |
This is to certify that the information furnished above by me / us is true and correct. I / We also certify that I/We have carefully read and understood the terms and conditions of the tender document and undertake to abide by them in the event of being awarded the contract.
Date:……………………..
Place:……………………
SSSSiiiigna gna gnattttuuuurrrre of e of e of tttthe b he b he biiiidder dder dder/ Quotationer with / Quotationer with / Quotationer with Seal Seal
FFFFO O ORRRRM M M ––––IIIIIIII
BBBB....1111....PRE PRE PRE----Q Q QUUUUAAAALLLLIIIIFFFFIIIICCCCAAAATTTTIO IO IONNNN AAAAPPPPPPPPLLLLIIIICCCCAAAATTTTIO IO IONNNN:
To, Managing Director, West Bengal Medical Services Corporation Limited
Re Reffff: : : : ---- Tender for work
NNNN....IIII....TTTT.... NNNNo: o: o: o: ,,,, DDDDaaaatetetetedddd –––– ooooffff W W Weeeesssstttt BBBBeeeennnngal gal gal M M Meeeeddddiiiical cal cal Se Se Serrrrvvvviiiicccceeees Co s Co s Corrrrppppoooorrrraaaatitititioooonnnn LLLLiiiim m miiiitttted ed ed
Dear Sir,
Having examined the Statutory, Non statutory, Instruction to Bidders/ Quotationers & NIT/ NIQ documents along with its Agenda &Corrigendum(if any), I /we hereby submit all the necessary information and relevant documents for evaluation
The application is made by me / us on behalf of In the Capacity
duly authorized to submit the order.
The necessary evidence admissible by law in respect of authority assigned to us on behalf of the group of firms for application and for completion of the contract documents is attached herewith. We are interested in bidding for the work(s) given in Enclosure to this letter.
W Weeee uuuunde nde nderrrrssssttttaaaannnndddd ttttha ha hatttt::::
(a) Tender Inviting & Accepting Authority/Engineer-in-Charge can amend the scope & value of the contract bid under this project.
(b) Tender Inviting & Accepting Authority/Engineer-in-Charge reserve the right to reject any application without assigning any reason.
Enc Encllllo: o: o: ---- eeee----FFFFiiiilllllilililinnnngggg::::----
1. Statutory Documents.
2. Non Statutory Documents.
SSSSiiiign gn gnaaaattttuuuurrrre of e of e of aaaapppppppplilililiccccant ant ant iiiinc nc ncllllud ud udiiiing ng ng ttttiiiitltltltleeee
Date:- and capacity in which application is made.
FO FORRRRM M M---- IIIIIIIIIIII
BBBB....3333.... SSSSTTTTRRRRUUUUCT CT CTUUUURE RE RE AAAANNNNDDDD O ORRRRGGGGAAAANNNNIIIISSSSAAAATTTTIIIIO ONNNN....
BBBB....3333....1. 1. 1. Na Na Nam m me of e of e of aaaapppppppplilililiccccaaaannnntttt:: ::: : ::
BBBB....3333....2222.... O Offffffffiiii cccceeee AAAA dd rrrreeeessssssss ::::
::::
Telephone No.:::::
Fax No. :::::
BBBB....3333....3333.... Na Nam mm meeee &&&& aaaadd rrrreeeessssssss oooo ffff BBBBaaaannnnkkkkeeeersrsrsrs ::::::::
BBBB....3. 3. 3.4. 4. 4. AAAAttttttttach ach ach aaaan n n n oooorg rg rgan an aniiiizzzzaaaatititition on on cha cha charrrrtttt sssshhhhoooowwwwiiiinnnngggg tttthe he he ssssttttrrrruuuuccccttttuuuurrrreeee of of of tttthe he he ccccoooom m mppppaaaannnnyyyy wwwwitititithhhh na na nam m mes es es of of of KKKKeeeeyyyy ppppeeeerrrrssssoooonnnnnnnnelelelel and and and ttttechn echn echniiiiccccaaaallll ssssttttaaaaffffffff wwwwiiiitttthhhh BBBBiiiioooo----da da dattttaaaa....
NNNNooootttte:e:e:e: Application covers Proprietary Firm, Partnership, Limited Company or Corporation,
DDDDaaaatttteeee: :
: : SSSSiiiigna gna gna gnattttuuuurrrreeee of of of aaaapppppppplilililican can cantttt....
Including title and capacity in which application is made.
FFFFO O ORRRRM M M---- IIIIVVVV
PPPPrrrriiiint nt nt out out out iiiinnnn Agen Agen Agenccccyyyy''''s L s L s Leeeetttttttter er er hhhheeeead ad ad &&&& up up uplllload oad oad tttthe he he fill fill filled ed ed pppprrrrooooffffoooorrrrma ma ma wwwwitititithhhh ddddiiiiggggititititaaaallllllllyyyy ssssiiiigned gned gned aaaas s s s ssssttttaaaatttteeeedddd bbbbeeeellllow ow
DDDDEEEECCCCLLLLAAAARA RA RATTTTIO IO IONNNN BY BY BY TTTTHHHHEEEE TTTTEEEENNNNDDDDEEEERRRRER ER ER/ QUOTATIONER / QUOTATIONER
I/We have inspected the site of work and have made myself/ourselves fully acquainted with local conditions in and around the site of work. I /We have carefully gone through the Notice Inviting Tender and other tender documents mentioned therein along with the drawing attached. I/We have also carefully gone through the 'Priced schedule of Probable Items and Quantities'.
My/Our tender is offered taking due consideration of all factors regarding the local site conditions stated in this Detailed Notice Inviting Tender to complete the proposed work referred to above in all respects.
I/We promise to abide by all the stipulations of the contract documents and carry out and complete the work to the satisfaction of the department.
We declare that I/We in the capacity of individual/ as a partner of a firm not debarred in the last financial year.
I/We also agree to procure tools, plants and others as per requirement, at my/our cost required for the work.
DDDDaaaatttteeee::::
Signature of Bidder/ Quotationer
Postal address of the Tenderer/Quotationer
NNNNaaaam m meeee of ofof of tttthe he he FFFFiiiirrrrm m m wwwwitititithhhh Seal Seal Seal
|
HHHHARLEQUIN HAVEN GREAT DANE RESCUE
NEWSLETTER
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The winners are decided by the number of people who do donate, not the size of the donation. Of course,
UUUUNADOPTABLE
Remember—we are all connected!
http://www.networkforgood.org/pca/ Badge.aspx?BadgeId=106392
I am unadoptable. Why you ask? Because a dumb human stuck his hand in the middle of a fight and I was blamed. I got into a fight with another dog and when the human tried to break it up he got bit. Of course during all the commotion he knew it was me and not the other dog. Yeah, right!
Why me? Why am I to blame for a human mistake? Why must I live with a "bite history" and not the other dog? Because the other dog was his favorite! They say I am dangerous but am I really? If two humans get into a fight they are not doomed to a life of exile! I did not kill the other dog; I was only fighting to protect myself, yet now I am doomed. How is this fair?
Why do I not have any rights? Why am I not innocent until proven guilty, as in a human court of law? Why do people only listen to other people and not listen to us dogs?
My owners knew me. They knew I was not aggressive, yet they did not love me enough to stand up for me—it was easier to dump me than to protect me!
continued on p. 2
Visit our Web site often Visit our Web site often———— your next best friend may be waiting there for you! waiting there for you!
Fall 2007
Fall 2007
Fall 2007
Fall 2007Vol. x, No. 3
Vol. x, No. 3
Vol. x, No. 3
Vol. x, No. 3
Harlequin Haven Great Dane Rescue Harlequin Haven Great Dane Rescue
Inside this issue:
| Click to Donate | 1 |
|---|---|
| Unadoptable | 1–2 |
| Bert’s Books | 2 |
| Bonding | 3 |
| Volunteer News | 4 |
| Rainbow Bridge & New Adoptions | 5 |
| Donor & Sponsor News | 6 |
| How To Help | 7 |
| Mozart’s Paintings | 7 |
M M ark your ark your ark your ark your calendars for Mo- for Mo- for Mo- for Mozart's art gallery zart's art gallery zart's art gallery zart's art gallery show in December! show in December!
HHGDR is a non HHGDR is a non----profit profit 501(c)(3) all 501(c)(3) all----volunteer volunteer volunteer---run organization. run organization. Donations are tax Donations are tax---deductible! deductible!
CCCCHECK THE W WW WEB SITE FOR UPCOMING AWARENESS EVENTS IN YOUR AREA! ! ! !
Don't fool yourself: if you yell at your dog for something he did twenty seconds ago, you're not training him; you're merely expressing your own anger.
—Patricia B. McConnell
The Harlequin Haven Great Dane Rescue Newsletter is published four times a year by the Rescue.
Submit items of interest to Newsletter Editor Janet Carleton at email@example.com.
Current and back issues are available from the Web site and by request.
http://www.hhdane.org/
Harlequin Haven Great Dane Rescue
"UNADOPTABLE""""
continued from page 1
Yet IIII would have given my life for them— how sad is that?
I was a lucky one; I had the Rescue to fall back on. I am now at the Rescue where I will be safe and loved for the remainder of my life. I will never again be eligible to look for a forever home of my own. But there is something to be said for living at the Rescue. Here we are allowed to tell our side, here we are innocent until proven guilty, here we are loved as much as we love.
For more information see "Tips To Bite Proof Your Family" under "Canines & Humans"
http://www.hhdane.org/caninehuman/ caninehuman.htm
BBBBERT''''SSSS BOOKS
Great News! Ruby now has a forever home, so she has passed her "Ruby Reads" column over to me. I hope no one will mind my renaming it. Ruby and I came to the Rescue together from the Pickaway County Cruelty Case. I hope I get adopted too, but while waiting I've been doing some reading. Here are two of my latest finds, both showing the similarities between two- and fourlegged folk. Visit my page: http://www.hhdane.org/danes/bert.htm
For the Love of a Dog by Patricia B. McConnell is just what I've been looking for to help figure people out!
This book even has photo illustrations comparing the faces and body postures of
dogs and humans. (I found the part about "tongue flicks" particularly interesting.) We are much more similar than I ever dreamed!
Dr. McConnell has made her career helping people and animals communicate, working in her clinic, on Animal Planet, and as a radio talk show host on Calling All Pets.
She offers thoughtful down-to-earth information and advice, disavowing the "dominance" theories of the hot trainer of the moment.
Temple Grandin's Animals in Translation: Using the Mysteries of Autism to Decode Animal Behavior is not a book about training or dogs (although we canines are mentioned).
Rather it's a book about Dr. Grandin's life as an autistic person, and the way she sees the world. Dr. Grandin believes the way her autistic brain works is more similar than regular humans to the way us four-legged folk's brains work.
Grandin is a prolific author and lecturer on both autism and humane slaughter (she loves cows and wants to make their lives— and death—better).
If you'd like to read an unusual book, and do some thinking, then give this one a try!
The whole R a d e r family gets into the act, accompanied by TOBY, while working the H H D G R booth at the Doggie Dive-In at Washington Court H o u s e , Ohio.
BBBBONDING WITH YOUR NEWLY----AAAADOPTED DOG
D ogs are pack animals and need to be part of a pack. Your new dog needs to be part of your family. He considers your family to be his pack he
and needs to find where he stands in the pack/family.
Consider your rescue dogs as adopted children. They need extra understanding, love, and patience. To have a loving pet, you need to bond with your pet just as you would with an adopted child. Remember that you don't know all that your pet has been through prior to your adopting him. Like most children he won't tell you everything.
It is incorrect that only a young puppy will bond with a human family. Research shows us that dogs under four years old will bond easily to a new family. Dogs from four to eight years of age will take longer depending on the personality and experiences of each dog. We have found that no matter the personality or experiences, the Dane or Saint will bond if given love, patience, and understanding.
A good obedience course is a very valuable bonding tool with the added bonus of training your dog to be a good citizen.
Companionship means allowing the dog lie as
near to you as possible while you are sitting somewhere, doing anything. Repeat several times a day. (An outside dog, or a dog on a chain, can become aggressive. They are unhappy when they are not part of the family.)
Sleeping close to any family member is important to the dog. Having him sleep close-by maximizes the bonding.
Tools for Bonding Tools for Bonding
Experienced rescue folk have shown that the following methods influence bonding and ease the transition when the dog is introduced into your family. Each is a positive influence.
Maximum time together is very important. Adopt the dog on the first day of a long weekend or vacation and spend the maximum time with her. After that, the more time that you spend with her, the stronger the bond.
Quality time works just as well with dogs as it does with children, friends, and spouses. Play any fun game with her while paying attention to only her and nothing else. Do this for a few minutes at a time and repeat several times a day.
A regular schedule is the easiest on both people and dogs. Get up each morning at the same time, feed the dog at the same time, go to bed at the same time. This is normal for calm people and calm dogs.
Patience is the most important tool. Remember that your dog is in new surroundings with new people. He needs time to adjust. Don't push! In most cases the dog has been abandoned by his original family. He will need to learn to trust and feel secure again.
All of these tools are positive influences. Do as many as are reasonable. No one method is guaranteed.
All images are of adopters with their HHGDR dogs and can be found on the "Success" page of the Web site.
For more tips, see "Canines & Humans"
http://www.hhdane.org/caninehuman/caninehuman.htm
HHGDR is a non HHGDR is a non---profit 501(c)(3) all all----volunteer volunteer volunteer----run run organization. Donations are tax tax----deductible! deductible! deductible!
See "How to Help How to Help How to Help" on the HHGDR site to contribute to the care and welfare of the homeless dogs. http://www.hhdane.org/
Harlequin Haven Great Dane Rescue
VVVVOLUNTEERS————our most sincere thanks! our most sincere thanks!
VVVVOLUNTEERS at work!
Volunteers worked awareness events around Ohio including those in Columbus, Dayton, and Washington Court House.
Check the Web site for events in your area! http://www.hhdane.com/events/events.htm
Harlequin Haven Great Dane Rescue
RRRRAINBOW BRIDGE————our deepest sympathy our deepest sympathy
Abby—Lisa Wahoff
Calley—Tim, Jennifer, Tom & Judy Yacks
Dottie Schira—her family
Opal and Pearl—Dale & Tom Bath
Phoenix—Rebecca & James Klabusich
Santana—Sandy Suarez
Sibia Hopper—Jerry Hopper
Willie—Patty & Dan Evans
RRRRECENT A A A ADOPTIONS————congratulations! congratulations!
M M ark your ark your ark your ark your calendars for Mo- for Mo- for Mo- for Mozart's art gallery zart's art gallery zart's art gallery zart's art gallery show in December! show in December!
Seth—David & Laura Fate
Dana—Stacey & Joe Dean
Tony—Ed Firth & Cindy Orlasky
Sterling—Brenna & Alex Wright
Emmy—James & Judy Downs
Alex—Melinda Villao & Timothy Goings
Justice—Victory & Frank Dorrian (not pictured)
Mimi—Kenneth & Cecilia Williams (not pictured)
Clockwise from top
Harlequin Haven Great Dane Rescue
DDDDONORS AND SPONSORS————A huge thank you! A huge thank you!
Randy & Becky Adams
Anonymous
Julia Archer
Annette Balyeat
BarkPark
Merrilee Bauman
Marcie Bayman
Andy & Wendi Beauseau
Karin Bergquist, Over the Rhine
Celesta Black
Daniel Blankenship
Donald & Patricia Blum
David Bodi
Tiffany Brown
Kellie Cain
Janet Carleton, in memory of
Natasha
Ray Chesnick
Pellegrino Ciccarello
Joseph & Kimberly Coffey
Annette & Robert Condon
Julee Cope
Don Corsmeier
Jack Corsmeier
Mame & Craig Corson
Summer & Bentley Corson
Stacey & Joe Dean
Linford Detweiler, Over the Rhine
Jane & Ken Dickinson
Karen Dorn
Victory & Frank Dorrian
Beth Dotson
Tom & Judith Douglas
Debbie Eades
Ken & Kelly Eiker
Patty & Dan Evans, in memory of
Willie
Donna & Wayne Fanta
Ed Firth
Amanda Fox
Ruth Friscoe
Mary Beth Gettins
Timothy Goings
Thelma Goris
Sherrie Gowins-Sims
Great Dane Enterprises, Inc.
Randall Gross
Jeffrey & Barbara Hale
Alexine & John Hasselbeck
Suzanne Heller
Michele Hengle, in honor of the wedding anniversary of Ken & Kelly Eiker
Juliana Hoetjes
Kenny Honaker
Joanna Hovan
Elizabeth Howard
Lisa Huelskamp
Karen & James Hunter
Alba & Rachel Hurlbut
Jean & Chuck Inwood
Jennifer Jones
Pam Kassner
James King
Jennifer Kisker
Theresa & Brent Kraus
Kevin Kremer
Steve and Betty Lane
Sabrina Lefever
Jillian Lenczicki
Nancy Marconett
Thomas Mattingly
Sara & Kevin McDaniel
Christe McGarry
Susan Meyer
Robert Middlebrooks
Amy & Steven Miller
Laurice Miller
Lisa Minklei
Michelle Minnich
Marianne & John Moots
Mt. Healthy Animal Hospital & Clients
Sara Neumann
Stephen & Sandra Nichols
Dan Nusbaum
Cindy Orlasky
Brian & Kelly Owens
Danette Patrick
Pam Paul
Louise Peterson
David Pucci, in honor of the wedding anniversary of Ken & Kelly Eiker
Polly Pyles
Ronnie Rathgens
Carolyn & Robert Reis
Stephanie Richards
Jess Robel
Larry Roberts
Rylee-Ann Romero, in memory of Jack
Sams Club, Eastgate
Sandra & Gabriel Seidman, in memory
of Alex Ashepa
Betty Shonebarger
Elena Skov
Charles Smith
Sharron Springer
Erin Stiffler
Rena Tipton
Jim Tomaszewski
Whitney & Brian Townsend
Monica Treta
Sonja & Gabriel Venzin
Melinda Villao
Christine Vrooman
Judith Weiss
John & Melodie Whitacre
Ken & Cecilia Williams
Holly Homan Witte
Brenna & Alex Wright
Judy & Tom Yacks
Jodi Zimmerman-Luce
Harlequin Haven Great Dane Rescue
OOOOUR WISH L L L LIST
DDDDOG
Bedding: blankets, crocheted/knitted afghans & throws****, sheets (all sizes, fitted & flat)
Beds: dog beds, futon frames & mattresses, mattresses (all sizes), rugs/floor mats
Dog food bowls (stainless steel)
Dog toys****
Dog treats****
Grooming products: cotton balls, ear cleaner, flea control (spray, dip, powder), shampoos (any & all types)
Medical supplies, including heartworm preventative Money for vet bills (payable to All Creatures Animal Hospital but mailed to HHGDR so you will be given proper credit for tax deduction)
Slip leads
Stall rakes (apple pickers) & pooper scoopers (scoop & rake or spade style)
CCCCLEANING
Bleach
Carpet Fresh
Cleaning liquids (Simple Green****, window cleaner, & others)
NNNNOOOO MORE P P P PUPPY MILLS MAGNETS
Magnets similar to bumper stickers a r e a v a i l a b l e through the Rescue. 8 1/2" x 3 1/2", they are free with $2 S/H. Contact firstname.lastname@example.org to order.
Your financial support is what keeps us going.
Without you, we would not be able to save them.
Thank you one and all, and if we have omitted anyone from our lists, we sincerely apologize.
Clorox Outdoor bleach cleaner**** Deck/siding scrub brushes Dish soap (dishwasher and liquid) Garbage bags (15–20 & 55 gal) Gravel or blacktop for grounds**** Industrial squeegees Laundry soap Mop buckets with wringers Mop heads (commercial type) Paper towels
SSSSPECIAL
Minivan*
Gift certificates to pet stores, grocery stores, & department stores
Medical supplies (human)
Money for buying supplies & bills (electric bill, water bill, gas, etc.)
*Highest need
For the most current Wish List, see "How To Help" on the HHGDR Web site.
http://www.hhdane.org/howtohelp/howtohelp.htm
M MM MOZART''''SSSS P P P PAINTINGS A A A AVAILABLE
Mozart, HHGDR spokesdog and resident artist, will be having a gallery show in December at the Mac Worthington Gallery, in Columbus.
In the meantime, Mozart's acrylic on canvas paw paintings can be viewed and purchased on the Mac Worthingt o n W e b s i t e a t
http://macworthington.com/featuredartist15.htm; also on the Rescue Web site under "How to Help." And remember all proceeds go to help the dogs!
Visit our Web site often Visit our Web site often————your next best your next best friend may be waiting there for you! friend may be waiting there for you!
Harlequin Haven Great Dane Rescue Harlequin Haven Great Dane Rescue 11567 State Route 774 11567 State Route 774 Bethel, Ohio 45106 Bethel, Ohio 45106----8634 8634 8634
937 937 937 937----379 379 379 379----2231 2231 2231
email@example.com http://www.hhdane.org/
LLLLOOKING FOR F F F FOREVER HOMES L L L LIKE Y Y Y YOURS............
We have 50 Great Danes, 8 Saint Bernards, 1 other breed, and 4 mixed breed dogs waiting for new homes. To date we have adopted out 1225 Great Danes and other dogs.
See "How to Help How to Help How to Help" on the HHGDR site to contribute to the care and welfare of the homeless dogs. http://www.hhdane.org/
HHGDR eBay Fundraising Auctions
Keep an eye o n t h e HHGDR eBay fundraising auctions!
We have many items large and small that would make fabulous gifts!
New items usually go up every week, however the auction is currently on summer vacation on summer vacation on summer vacation on summer vacation but will return soon.
Visit http://www.hhdane.org/ to see all our auctions.
Alongwith "pawtographing" clothing and accessories, Mozart Mozart Mozart continues to paint ab-
A sincere thanks to our supporters who both donated and purchased items!
stract art works. Watch for Mozart's gallery show in December!
|
2011 Liberty Flames Baseball Quick Facts
General Information
Baseball Information
History
Stadium
............
Home Field............
Worthington Stadium Worthington Stadium
Capacity.........................................
Field Dimensions
1,000
..... 325 (LF), 375 (LC), 325 (LF), 375 (LC),
................. 390 (CF), 375 (RC), 325 (RF)
Athletics Communications Info.
Asst. AD - Communications.....................
Game 13 - March 8, 2011
THE TRIBE OF WILLIAM & MARY (2-11, 0-3 CAA)
at
LIBERTY FLAMES (5-7, 0-0 Big South)
Worthington Stadium - Lynchburg, Va.
The Game
The Liberty Flames (5-7, 0-0 Big South) complete their fi rst homestand of the season by hosting the Tribe of William & Mary (2-11, 0-3 CAA), Tuesday afternoon at Worthington Stadium. First pitch is scheduled for 3 p.m.
The contest will close out a fi ve-game homestand, which was shortened by a game due to rain on Sunday.
Last Time Out
The Flames split a doubleheader with the Binghamton Bearcats at Worthington Stadium, 7-12 and 9-6, Saturday.
Despite catcher Casey Rasmus having three hits, Liberty fell in the fi rst game of the doubleheader, 12-7. Rasmus hit his second home run of the season in the fi fth inning and added a RBI double in the sixth inning. After six innings of the seven-inning game, the Flames rallied to close within 8-7 in the contest. However, the rally fell short, as the Bearcats held on for the win.
In game two of the twinbill, second baseman Austin Taylor hit his second home run of the season and drove in four runs, pacing the Flames in a 9-6 victory. Right-hander Patrick Eckelbarger recorded his fi rst win of the year for the Flames in the game.
On Deck
Liberty travels to Greenville, N.C., for the 2011 Keith LeClair Classic, Friday-Sunday at Clack-LeClair Stadium. The Flames will open the four-team tournament on Friday at 1 p.m. against the Rutgers Scartlet Knights. Saturday, Liberty will square off with the Monmouth Hawks at 11 a.m. Sunday, the Flames will face the host team, the East Carolina Pirates in their tournament fi nale. First pitch is scheduled for 2 p.m.
Following the Flames
Tuesday's game between the Tribe and Flames may be heard LIVE on WWMC "The Light" 90.9 FM and the World Wide Web at LibertyFlames.com. Nick Pierce will handle the play-by-play and Doug Wallace color duties for the broadcast.
Liberty University 2011 Baseball Schedule
Record: 5-7
Big South: 0-0
Championship - Lexington, Va.
June 3-6 at NCAA Regionals
Home Games in Bold
^- Keith LeClair Classic - Greenville, N.C.
+ - Liberty Tournament - Lyncnburg, Va.
* - Big South Game (DH) - Doubleheader
All Times Eastern Standard Time
Head Coach Jim Toman
Record at Liberty: 115-73-1 (Fourth Year)
Career Record: Same
After leading his team to a school-record 42 victories in 2010, Jim Toman enters his fourth year at Liberty with the best mark of any Flames head coach over his fi rst three years.
Since taking over the program for the 2008 season, Liberty has won 35 or more games twice and last season posted only the second 40-win campaign in the 37-year history of the program. The Flames notched a 110-66-1 record during his fi rst three seasons on Liberty Mountain.
On May 2, 2010, Toman recorded his 100th career victory, as the Flames defeated GardnerWebb, 10-7, at Worthington Stadium. The sixth coach in program history, Toman became the fastest Liberty baseball head coach to amass the milestone, passing fi rst coach Al Worthington, by reaching his 100th win in 160 games, six fewer than Worthington.
The impressive strides made by the program have not gone unnoticed. This past November, Rivals.com cited Liberty as one being one of college baseball's top 10 rising programs.
Last season, the Flames had their best season under Toman, posting a school record for wins in a single season with a 42-19 record. The team's ledger was boosted by a 21-8 road mark, the nation's 10th-best road record in 2010.
In addition, Liberty recorded a 19-7 mark in Big South play, eclipsing its record of the previous season for most victories by the school since joining the conference in 1992. The Flames fi nished second in the league's regular season and were conference runner-up at the Big South Baseball Championship.
Pitcher Shawn Teufel became the fourth player from one of Toman's Liberty squads to be taken in the MLB Draft. The two-time Big South all-conference fi rst team pitcher and National Pitcher of the Year Watch list member capped a strong senior campaign by being selected by the Detroit Tigers.
In 2009, Liberty recorded a 33-21 overall record, while posting a 17-9 mark in Big South Conference play. Liberty set a new fi elding standard in 2009, committing the fewest errors, 53, and fi nishing the year with the highest fi elding percentage, .974, in team history. From that infi eld, third baseman Tyler Bream was named a Freshman All-American by the Collegiate Baseball News.
Pitcher Andrew Wilson became the third player during Toman's time at Liberty to be taken in the MLB draft (Atlanta Braves).
In 2008, the Flames fashioned a 13-3-1 record in the month of May to fi nish Toman's fi rst season at Liberty with a 35-26-1 mark. The record made Toman the winningest fi rst-year coach in the program's history. He guided the Flames to their third straight Big South Championship title game appearance, claiming the conference's runner-up position in 2008. Liberty's May record was the best ever by a Flames team.
In addition, the Liberty pitching staff set a new season strikeout record, fanning 508 opposing batters during the year. The Flames' strikeout total led the Big South Conference and their 8.2 strikeouts per nine innings ranked 22nd nationally at season's end. Two pitchers from the staff, Ryan Page and David Stokes, went on to be drafted and play in the professional ranks. Page was taken in the 20th round of the MLB Draft by the Toronto Blue Jays, while Stokes was picked in the 28th round by the Detroit Tigers.
Liberty fi nished its season with a 14-7 record in conference play. The mark allowed the Flames to claim the No. 2 seed for the Big South Championship, their highest seed for the Big South Baseball Championship since a No. 1 seed in 2000. Liberty would go on to post four consecutive doubledigit victories during six games in the Big South Championship to set a championship record with 55 runs scored.
Toman was named the sixth head coach in the history of the Liberty Baseball program in June 2007, after 11 seasons as the senior member of Ray Tanner's coaching staff at South Carolina. Toman worked a total of 18 years alongside Tanner, dating back to the 1990 season at N.C. State.
During his time at South Carolina, Toman served as recruiting coordinator and coached the catchers. Known as one of the top recruiters in college baseball, the 22-year college coaching veteran was named the 2002 Baseball America/American Baseball Coaches Association Assistant Coach of the Year. Before joining the Gamecock staff in 1996, Toman served under Tanner for seven years at N.C. State.
Toman has recruited 15 top 25 classes, including all 11 of his seasons at South Carolina. During his fi nal years with the Gamecocks, he recruited many of the players who were members of the 2010 South Carolina National Championship team. From 2003-2006, three of the four Gamecock recruiting classes were ranked fi rst in the nation by Collegiate Baseball.
During his time on the staff in Columbia, S.C., Toman and the Gamecocks made nine NCAA Regional appearances, including eight straight between 2000 and 2007, and three consecutive trips to the College World Series (2002-04). Add in his seven seasons at N.C. State, and Toman has helped lead 14 teams to NCAA Regional appearances.
Toman was a four-year letterwinner at N.C. State from 1981-84, and served as team captain of the Wolfpack his junior and senior seasons.
2011 Liberty Flames Roster
Coaches
37 Jim Toman
47
35
Garrett Quinn
Jason Murray
25 Adam Ward
The Coaches
Liberty Head Coach Jim Toman is in his fourth year at the helm of the Flames. During his time at Liberty, he has guided the Flames to a 113-72-1 record. He led the Flames to the best mark of any Liberty head coach over his fi rst three seasons on Liberty Mountain.
Last season, the Flames had their best year under Toman, posting a school record for wins in a single season with a 42-19 record. The team's ledger was boosted by a 21-8 road mark, the nation's 10th best road record in 2010.
In addition, Liberty recorded a 19-7 mark in Big South play, eclipsing its record of the previous season for most victories by the school since joining the conference in 1992. The Flames fi nished second in the league's regular season and were conference runner-up at the Big South Baseball Championship.
In 2009, Liberty posted the most victories in Big South Conference play with a 17-9 mark, since joining the conference in 1992. The Flames recorded an overall record of 33-21 in Toman's second year.
A 20-year member of the college coaching ranks, he served 18 years as a member of Ray Tanner's staffs at South Carolina and N.C. State. Toman was named the 2002 Baseball America/American Baseball Coaches Association Assistant Coach of the Year and recruited 15 top 25 classes, including all 11 of his seasons at South Carolina.
William and Mary head coach Frank Leoni enters his sixth season at the helm of the program. Last season, Leoni's Tribe posted a 27-24 overall record and fi nished 10-14 in the CAA. One of the highlights of last season for the coach was capturing his 400th career win, with a 10-9 victory over Longwood on April 20, 2010.
Leoni is 141-135 during his six years at William & Mary and 407-478-4 over his 19year head coaching career. Before leading the Tribe, he guided Rhode Island for 13 years and is still the winningest coach in school history. This past year, Leoni was inducted into the Rhode Island Baseball Coaches Association Hall of Fame. At the induction, Leoni was presented with the Ben Mondor Award, recognizing his lifetime service to Rhode Island baseball.
Toman Reaches 100 Coaching Wins
With a 10-7 win over Gardner-Webb on May 2, 2010, Liberty head coach Jim Toman recorded his 100th career coaching win.
Of the six head coaches in Liberty history, Toman becomes the fastest to reach 100 coaching victories. Toman reached the milestone in 160 games, eclipsing program founder and fi rst head coach Al Worthington, who reached his 100th win in 166 games.
All-Time Series Against William & Mary
After a year hiatus, the Flames and Tribe resume their Commonwealth series, meeting for the 46th time on the diamond, Tuesday.
William & Mary holds a 24-21 advantage in the all-time series. The last time the two teams met in 2009, they split a pair of contests with each team winning on its home fi eld. The Tribe won 2-1 on April 7 at Pulmeri Park in the last contest between the two, while the Flames took a wild, 18-13 victory on March 11 at Worthington Stadium.
A Look at William & Mary
Location : Williamsburg, Va.
Founded: 1693
Enrollment : 7,625
Nickname: Tribe
Colors: Green, Gold and Silver
Conference: Colonial Athletic
STADIUM INFORMATION
Home Field (Capacity): Plumeri Park
(1,000)
Dimensions: 325-400-325
Press Box Phone: (757) 221-3475
COACHING INFORMATION
Head Coach: Frank Leoni (Rhode Island, '90)
Record at School: 141-135 (Six Years)
Overall Record: 407-478-4 (19 Years)
Offi ce Phone: (757) 221-3344
Assistants: Jad Prachniak, Kyle
Padgett, George Fisher
TEAM INFORMATION
2010 Overall Record: 27-24
2010 Conference Record/Finish:
10-14/T-8th
Lettermen Returning/Lost: 23/8
Position Starters Returning/Lost: 11/4
Pitchers Returning/Lost: 12/4
SPORTS INFORMATION
Baseball Contact: Scott Burns
Offi ce Phone: (757) 221-3344
Email: email@example.com
Fax Number: (757) 221-2989
Web Site: TribeAthletics.com
RECENT RESULTS
March 4 James Madison L, 4-5
March 5 James Madison - Gm. 1 L, 4-6
March 5 James Madison - Gm. 2 L, 3-5
UPCOMING SCHEDULE
March 9 Duke
March 11 at Old Dominion
March 12 at Old Dominion
March 13 at Old Domiion
March 15 Richmond
A Look at the Tribe
One of the teams expected to contend for the CAA title this season with its entire starting line-up returning from last season, William & Mary has gotten off to a tough start this season at 2-11. The Tribe will enter Tuesday's game looking to snap a six-game losing streak. William & Mary was swept by James Madison its fi rst three-game confernce series of the year over the weekend.
The Tribe has hit .238 as a team and averaged four runs per game this season. First baseman Tadd Bower leads William & Mary with a .317 batting average and has driven in fi ve runs. Right fi elder Ryan Williams and shortstop Derrick Osteen are tied for the team lead with eight RBIs. Williams has also hit two home runs.
William & Mary has a 5.65 team ERA. Opponents have hit .304 against the Tribe this season.
Left hander Matt Wainman is slated to get the start for the Tribe on Tuesday. He enters the week with a 0-2 record and a 6.10 ERA in 10 1/3 innings. Wainman has made six appearances with two starts this season.
In the bullpen, right handers, Reid Killen and Jay McCarthy, have been the most called upon relievers so far in 2011. Killen had made six apperances, recording a 1-0 record with a 4.00 ERA over nine innings. McCarthy lead the Tribe in appearances with seven. He is 0-2 with a 8.68 ERA over 9 1/3 innings.
March Musings
After taking two-of-three from Binghamton this past weekend, Liberty enters Tuesday's game with a 2-2 record in the month of March. Jim Toman's squad is scheduled to play 19 games during the month and will start Big South Conference play with three-game series at Worthington Stadium against Charleston Southern (March 18-20) and Winthrop (March 25-27).
Liberty posted a 10-8 mark in games during March last season, including a 1-2 start to Big South Conference play. The Flames are 349-277-2 (.557) all-time in program history during the month.
February Record
The Flames fi nished the the month of February with a 3-5 record. Since beginning play during the month of February in 1984, Liberty has posted an all-time mark of 73-37 for a .664 winning percentage for the month.
Over the past six years, the Flames are 31-14 (.689) during the month of February, while recording a 17-8 mark under head coach Jim Toman during his four years at Liberty.
Home Sweet Home
For the past 32 years, the Flames have called Worthington Stadium home. Named for program architect and the fi rst Liberty head baseball coach, Al Worthington, Liberty has compiled an impressive 526-239-5 record at the stadium for a winning percentage of .686 since the facility's inception in 1979.
The Flames opened the home portion of their 2011 schedule, this past Friday, defeating Binghamton, 12-2. The victory runs Liberty's record in home openers to 25-8 since the facility opened. The Flames have started 2-1 on the year at Worthington Stadium this season.
Liberty posted a 19-9 record at home in 2010. The Flames are 52-27-1 at home under four-year head coach Jim Toman's guidance.
Playing Under the Lights
Liberty fell in its fi rst night contest, 5-0 at North Florida, Feb. 25 to drop to 0-1 in night games this season. Liberty is scheduled to play 17 games under the stars this year.
The Flames' next night game is slated for March 18 against Big South opponent Charleston Southern at Worthington Stadium
Last season, Liberty posted a 5-6 record in night contests.
Big South Conference Update
Final 2010 Conference Standings
Upcoming Schedule
Tuesday, March 8
Road Warriors Again in '11?
The Flames have started the season, 3-6 away from home. Liberty is slated to play 29 regular-season contests away from home. The Flames will square off with 27 of their opponents on their home fi eld, while meeting two teams, Rutgers and Monmouth, on a neutral fi eld during the Keith LeClair Classic in Greenville, N.C., March 11-13.
The Flames went 21-10 away from their home, Worthington Stadium, in 2010. Liberty posted the 10th-best road mark in the nation during the year. The Flames went 18-8 in road games and 3-2 in neutral site contests during the year. Liberty won six consecutive road contests to open the 2010 season.
Liberty Versus the Big South
Liberty, a 20-year member of the Big South Conference, has compiled a 265-185 (.589) record against the Big South Conference's current membership. The Flames fi nished the regular season in second place in conference play with a 19-7 record in 2010. The victory total was the most wins by a Liberty team since joining the Big South in 1992.
Wednesday, March 9
Liberty Versus the CAA
William & Mary is a member of the Colonial Athletic Asociation (CAA). Liberty is also schedule to play CAA members James Madison and VCU. The Flames hold a 33-11 record all-time since 1976 against current CAA members.
Liberty's All-Time Record Against CAA
Season-long Road Trip Starts Year
The Flames completed a season-long nine game road trip to open the 2011 season. Durning the swing, Liberty traveled to Mercer, North Florida and Virginia Tech for games to begin the year. When completed,the Flames will have travel 2,314 miles for contests during the road swing. Its trip to Jacksonville, Fla., Feb. 25-27, for a four-game series with North Florida was the longest road trip of the year for head coach Jim Toman's squad.
When the Flames ...
Were at home .................................2-1
Were away ......................................3-6
Were at a neutral site .....................0-0
What's the RISP?
Liberty hitters batted .316 with runners in scoring position (RISP) in 2010. Doug Bream led the Flames with a .429 batting average with runners in scoring position, while catcher Nathan Thompson had 44 RBIs, the most with runners in scoring position.
Justin Richardson has also hit .438 with runners in scoring position and two outs to lead the team.
Over the fi rst nine games of the year, the Flames have hit .183 with runners in scoring position. Second baseman Zach Haley leads the team with a .500 batting average with runners in scoring position. All four of Haley's RBIs this season have come with two outs.
Flames Belt 20 in Game as Bats Come Alive vs. Binghamton
In its home opener on Friday, Liberty pounded out 20 hits, a season-high in a 12-2 win over the Bearcats in the fi rst game of the year at Worthington Stadium. The last time the Flames had 20 or more hits in a single game since Liberty belted 21 hits in a 16-9, 10-inning victory at Presbyterian College on April 25, 2010.
The Flames hit .396 as team during the three games and averaged 9.3 runs per game. Leading the way on the weekend was catcher Casey Rasmus, who hit .545 and tied for the team-high in hits with six. The junior ripped his fi rst home run of the season and scored four times during the three-game series.
Third baseman Tyler Bream and shortstop Matt Williams also had six hits. Williams hit his fi rst roundtripper of the year and had a double and triple among his hits.
In addtion, infi elders Austin Taylor and Justin Sizemore helped power the Liberty offense with a big offensive weekend. Taylor hit .444 (4/9) with a double and two home runs, driving in a team-high seven runs on the weekend. Sizemore belted his fi rst home run of the year and had fi ve RBIs for the Flames.
Linza and Niggli Come Up Big at UNF
Liberty right-handers Keegan Linza and John Niggli each picked up their fi rst win of the year, with strong outings Feb. 25-27 at North Florida.
Linza allowed two runs on eight hits over 7 1/3 innings in his second start of 2011, running his record to 1-0, in a 4-2 victory, Feb. 25 in game one of a doubleheader. The senior struck out seven batters and walked one. Designated hitter Jeff Jefferson backed the right-hander with a solo home run, his fi rst of the season in the seventh.
With a 9-1 victory on Feb. 26, Niggli won his fi rst start in a Liberty uniform. The junior gave up one run on four hits over six innings, moving to 1-0 on the year. He struck out fi ve batters and walked two.Third baseman Tyler Bream had four hits, driving in two runs and right fi elder Michael Robertson hit his fi rst home run of the year, powering the Flames past the North Florida Ospreys in the series fi nale.
Williams Starts Off Strong
Liberty shortstop Matt Williams started his year on a high note, Feb. 18-20 at Mercer. The junior hit a team-high .533 with a double, triple, two runs scored and three RBIs during the Flames' season-opening series.
Williams was one of two Flames to collect four hits in a contest during the four-game series. The shortstop went 4-for-5 in game two of a doubleheader on Feb. 19. Designated hitter Ian Parmley also had four hits in his fi rst game in a Liberty uniform in the team's season opener, Feb. 18.
Miscellaneous Stats
MULTIPLE HIT GAMES 2 3 4 5+ Tot
5 BREAM, Tyler
4 1 1 - 6
1 WILLIAMS, Matt
14 BREAM, Doug
20 RASMUS, Casey
4 TAYLOR, Austin
7 ROBERTSON, M.
24 SIZEMORE, Justin
15 PARMLEY, Ian
16 HALEY, Zack
17 SYPE, Dalton
3 - 2
4 1 -
2 1 -
3 - -
3 - -
3 - -
1 - 1
2 - -
1 1 -
-
-
-
-
-
-
-
-
-
5
5
3
3
3
3
2
2
2
TEAM
26 4 4 0 34
MULTIPLE RBI GAMES 2 3 4 5+ Tot
5 BREAM, Tyler 3 - - - 3
4 TAYLOR, Austin
14 BREAM, Doug
7 ROBERTSON, M.
16 HALEY, Zack
24 SIZEMORE, Justin
-
2
1
1
1 1
- -
- -
- -
- - 1
-
-
-
-
-
2
2
1
1
1
TEAM
8 1 2 - 11
HITTING STREAKS Longest Current
Baseball in the Commonwealth
Thirteen Division I baseball teams call the Commonwealth of Virginia home. This season, Liberty is scheduled to play 14 contests against Commonwealth foes. The Flames dropped their fi rst game against a state foe in Virginia Tech, last Wednesday. Liberty will look to even its record against "Old Dominion" state teams, Tuesday against William & Mary.
The Flames will also meet Radford and VMI in three-game Big South series and play James Madison, Virginia Tech, VCU and William & Mary in single games, once at home and once away this season.
In 2010, the Flames played a slate of 15 games against opponents from the "Old Dominion State," posting a 12-3 mark in games against Virginia foes. Head Coach Jim Toman's squad fi nished the year with 10 straight games against instate opponents.
Connections - Part I
Three Liberty Flames, catcher Casey Rasmus, third baseman Tyler Bream and infi elder Austin Taylor, each have connections to Major League Baseball through family members.
Rasmus, a junior, is in his fi rst season as a member of the Liberty roster. His brother Colby is a member of the St. Louis Cardinals and enters his third season as an outfi elder with the team in 2011.
Bream, also a junior, is the son of former major leaguer Sid Bream. Sid Bream, a Liberty standout during his collegiate days, played 12 seasons in the majors (1983-94)
with the Los Angeles Dodgers, Pittsburgh Pirates, Atlanta Braves and Houston Astros.
Taylor, a senior, is the nephew of former major leaguer Bill Taylor. Bill Taylor spent parts of eight seasons with the Oakland A's, New York Mets and Tampa Bay Rays.
Connections - Part II
Three Flames are carrying on a family tradition, as a member of their family formerly played baseball at Liberty.
First baseman/outfi elder Doug Bream's uncle Dave was a member of the Liberty baseball program from 1982-85.
Third baseman Tyler Bream's father, Sid, and two uncles, Dave and Sheldon, were members of the Flames. Sid, who went on to play in the major leagues, was a standout for Liberty on the diamond from 1979-81. The fi rst baseman and Liberty Athletics Hall of Fame member was named a NAIA and NABC All-American in 1981, as the Flames reached the NAIA National Tournament.
Bream's uncles, Dave and Sheldon, were also members of the Flames baseball team during their college days. Dave played infi eld for Liberty from 1982-85, while Sheldon was an outfi elder with the Flames from 1989-93. Tyler and Doug are second cousins.
Meanwhile, pitcher Garrett Baker begins his fi rst season at Liberty. The junior lefthander's brothers, Jason and Steve, played for the Flames. Jason patrolled the outfi eld for the Flames from 1993-95, earning fi rst team All-Big South honors in 1995. Steve was also an outfi elder at Liberty from 1999-02. He was named to the Big South all-conference second team in 2002.
Among Nation's Rising Programs
The Flames were one of 10 programs cited by Rivals.com, as one of College Baseball's Rising Progams in early November.
The Liberty program was mentioned along with Auburn, Oregon, Washington State, New Mexico, Connecticut, Pitt, Texas State, Florida International and Florida Atlantic.
California Dreaming
Six 2011 Flames hail from the Golden State, the second highest number on the roster next to Liberty's home state of Virginia. Seven members of the Liberty roster are natives of Virginia. Four Flames each hail from the states of Florida, Georgia, North Carolina and Washington, while three are Pennsylvania natives. States also represented on the Liberty roster are Alabama, Arizona, New York, South Carolina and Tennessee.
Batting
At bats:................................................ 40
Team Highs
MLB Draft Picks Dot Roster
A trio of players, who are on the Liberty roster for 2011, have been selected in the Major League Baseball Draft. Senior Austin Taylor and juniors Michael Robertson and Tony McClendon have each been selected in a Major League Draft.
Taylor, an infi elder, was drafted out of Thomas County Central High School by the Cincinnati Reds in 2007. The junior college transfer was taken in the 43rd round.
Robertson was also picked in the MLB Draft by the Cincinnati Reds in 2009. The outfi elder was selected in the 40th round of the draft.
McClendon, in his fi rst year as a Flame, has been selected in two different MLB Drafts. The outfi elder was taken in 2008 by the Houston Astros in the 40th round. Last year, McClendon was chosen by the Oakland A's in the 47th round.
Liberty Picked Second in Big South Preseason Poll
Liberty was tabbed to fi nish second in the Big South Conference standings this season in voting by the Big South Coaches. The Flames were selected second, behind fourtime defending conference champion Coastal Carolina.
The Flames received all 10 second-place votes in garnering 90 points, while the Chanticleers received all 10 fi rst-place votes for 100 total points.
Winthrop was tabbed third by the panel, followed by High Point. Radford and VMI tied for the fi fth spot. Gardner-Webb was picked seventh, while Charleston Southern was voted to fi nish eighth. UNC Asheville and Presbyterian Colllege round out the poll.
The 2011 Big South Championship will be held May 24-28 at Gray-Minor Stadium in Lexington, Va. The winner of the double-elimination tournament receives the conference's automatic bid to the NCAA Tournament.
Flames Set New Standard for Wins in a Season
The 2010 Flames fi nished the year with a 42-19 overall record, setting a new program standard for wins in a single season. The 42 victories eclipsed the previous school standard of 40 set by the 1983 Liberty team.
New Big South Victory Record Also
With 19 Big South victories, the 2010 Flames recorded the most conference wins ever by a Liberty baseball team since joining the Big South in 1992. The mark surpasses last season's 17 wins, which had eclipsed the 1995 Liberty squad's 15 conference wins.
The Flames posted a 19-8 record and fi nished in second place in the Big South regular-season standings, garnering the No. 2 seed for the conference tournament. Liberty was the No. 2 seed for the second time, having previously secured the No. 2 seed for the Big South Baseball Championship in 2008.
Longest Big South Win Streak
Propelling Liberty to its most victories in conference play was the longest Big South winning streak in program history, with 15-straight victories. The streak, which ran from March 27 to May 14, eclipsed the 2001 Liberty team, which won 10-straight Big South games.
Bream, Williams among Big South Honorees
2011 roster returnees, third baseman Tyler Bream and shortstop Matt Williams, were named to the 2010 Big South all-conference second team. Joining the infi eld duo was by catcher Nathan Thompson, who graduated in 2010.
Left-hander Shawn Teufel, who also graduated in 2010 and now pitches in the Detroit Tigers minor league system, was the Flames lone fi rst team All-Big South member.
Bream Sets New Season Hit Record
Third baseman Tyler Bream fi nished the 2010 season with 96 hits, setting a new school season record. The sophomore surpassed the previous Liberty program standard of 94 in 2006 by Michael Just. Bream led the Big South Conference in hits. Now a junior, Bream has been picked by Big South head coaches as one of the conference's best hitters in a 2011 preseason poll by College Baseball Insider.com.
2010 NCAA Rankings
Team (288 Ranked)
Category ...................................... Rank ....Actual
Batting Average ........................... 60 .........0.323
Bream's teammates P.J. Jimenez, Curran Redal and Matt Williams also fi nished their years in the program's Top 10 for hits during a single season. Jimenez, a senior in 2010, had 92 hits in his fi nal season with the Flames, tying him for third on the all-time list with Jason Benham, who had the same total in 1998. Redal completed his last season in a Flames uniform with 90 hits to tie for fi fth on the season list with Phillip Laurent (2006) and Jeremiah Boles (2004). Shortstop Williams, a sophomore in 2010, had 85 hits last season, placing him ninth on the all-time season list.
As a team, head coach Jim Toman's squad had 691 hits, the team's most since 2002. The Flames had a school-record 702 that season.
We Got Your Back
The Liberty relief corps recorded 16 saves in 2010, the second most in program history. Only the 2000 Flames team had more, posting 18 saves behind Liberty's all-time career saves leader Josh Brey (27), who had 16 during the year.
2011 returnee Josh Richardson tied for fourth in the Big South with six saves, while right-hander J.J. McLeod, in his fi rst season as a Flame, had fi ve saves. Bullpen workhorse Dane Beakler, who returns for his fi nal year in a Liberty uniform in 2011, led the Flames with 26 appearances and recorded two saves. Senior Carter Browning had three saves, all three coming with three coming or more innings of relief.
Turning Two
Liberty turned 62 double plays in 2010, fi nishing the year 19th nationally. The Flames' total eclipsed 2009's total of 36, recorded over 54 games. The program season record is 77 double plays, set by the 1998 squad.
In addition, the Liberty Flames turned fi ve ground balls into double plays during their 9-1 win over St. John's on March 12. The fi ve double plays turned by the Liberty infi eld are the most in a game by the Flames over the past 11 seasons. In 2008, the Flames turned four double plays in a game twice. The contests happened a week apart, as Liberty had four double plays in an 11-5 win over Army, March 8. A week later, the Flames recorded four double plays in a 5-0 loss at Southern Miss, March 15. Liberty also turned four double plays this season in a 6-3 victory over Lehigh on Feb. 27.
Taking One for the Team
In each of the previous two seasons, the Flames had set a new team record for being hit by a pitch, and 2010 was no different. A Liberty player was hit by a pitch 126 times in 2010, once again setting a new program standard. The total eclipses the 2009 season's team record of 95, which was set over 54 games.
The Flames tied for No. 1 in the nation with fellow Big South member High Point in the category. The total goes into the NCAA record book as second alltime, behind the 2005 Notre Dame team, which was hit by a pitch on 130 occasions.
Senior catcher Nathan Thompson was hit by a pitch 20 times to lead the Flames. The Liberty record for number of times being hit by a pitch in a season is 22, set by David Benham in 1998. Benham is also the school's career leader in the category, as the catcher was hit by a pitch on 55 occasions from 1995-98.
The Last Time
By Liberty
Back-to-Back Home Runs - Curran Redal and Doug Bream connected for back-to-back home runs to lead off the fi fth inning, putting Liberty in front 8-4 over Presbyterian at Worthington Stadium, March 29, 2009. The home runs were two of the Flames' three home runs in the frame, as fi rst baseman Trey Wimmer later hit a three-run home run. The Flames went on to defeat the Blue Hose, 14-7.
Five or More RBIs in a Game - Catcher Nathan Thompson had four hits, including a home run, and drove in seven runs in Liberty's 16-9, 10-inning victory over Presbyterian College, April 25, 2010 at the PC Baseball Complex in Clinton, S.C.
Inside the Park Home Run - Kenneth Negron belted a liner into the right fi eld gap which glanced off the Coastal Carolina right fi elder's glove to cash in two runners at Charles Watson Stadium in Conway, S.C. on April 28, 2007. When the ball rolled all the way to the wall, the Liberty second baseman came home and scored standing up for his fi rst home run of the season, knotting the back-and-forth contest with the No. 19 Chanticleers at 7-7. Coastal Carolina rallied in the bottom of the eighth inning to take the contest, 9-7.
Grand Slam Home Run - Trailing 9-5 in the seventh inning, catcher Errol Hollinger drove a 1-0 pitch over the left fi eld wall at Masters Field in Boiling Springs, N.C., tying the visiting Flames with the Gardner-Webb Bulldogs, April 26, 2009. Liberty was down 9-3 in the contest after six innings. The Flames later won the game in the 11th inning, 10-9, on a lead-off home run by fi rst baseman Trey Wimmer.
Cycle - Third baseman Chad Miller hit for the cycle in his fi rst four at bats as the Flames downed the Longwood Lancers, 8-0, April 18, 2006 in a non-conference contest at Worthington Stadium. Miller led off the home half of the fi rst inning with a home run and in the second, drove in a run with a double to the wall off the left fi eld wall. In the fourth, the third baseman singled and completed the cycle in the sixth inning with a triple. Miller had two RBIs and scored four runs in the contest.
No-Hitter - Dan Valentin pitched a seven-inning no-hitter against Elon on April 16, 2000, at Worthington Stadium, marking the fi rst no-hitter by a Flames pitcher in 20 years. Valentin walked seven batters and struck out eight in the game to give Liberty a 4-0 win. This game sparked three-consecutive shutouts for Valentin, during a span of 29-consecutive scoreless innings.
Shutout - Left-hander Shawn Teufel pitched his second complete game of the year in leading the Liberty Flames to a 13-0 shutout victory over the Presbyterian Blue Hose, April 24, 2010. Teufel scattered fi ve hits over nine innings, striking out eight and walking two. After the fi rst inning, he did not allow a runner to pass second base.
Triple Play - Liberty has never recorded a triple play.
By an Opponent
Back-to-Back Home Runs - Mercer catcher Travis Benn and left fi elder Derrick Workman led off the third inning with back-toback home runs during the second game of a doubleheader, Feb., 19, 2011 at Claude Smith Field in Macon, Ga. The Bears went on to take the contest from the Flames, 17-5.
Five or More RBIs in a Game - Binghamton fi rst baseman Dave Ciocchi drove in fi ve runs with a two-run double and a basesclearing double at Worthington Stadium in a 9-6 loss to Liberty in game two of a doubleheader this past Saturday. The Bearcat fi rst baseman went 3-for-3 in the contest.
Grand Slam Home Run - Winthrop fi rst baseman Patrick Gamblin capped a nine-run sixth inning with a grand slam in an 11-2 victory over the visiting Flames, on May 21, 2010 at Winthrop Ballpark in Rock Hill, SC. Gamblin hit his two-out home run to straight-away center fi eld.
No-Hitter - UNC Asheville's Jason Walker pitched a seven-inning no-hitter against the Flames on April 29, 2000, at Greenwood Field in Asheville, N.C. Walker allowed two walks and struck out four, leading the Bulldogs to a 3-0 win. The game marked the only shutout against the Flames on the season and the fi rst no-hitter thrown against Liberty since 1992.
Triple Play - Leading 6-4 with a runner on fi rst and second to open the fourth inning, Patrick Gaillard hit a line drive which High Point second baseman Dustin Hoffman caught. Hoffman then tagged second and threw quickly to fi rst to complete the triple play. The Flames went on to win the Big South Championship game, 9-7, on May 25, 2006 at Charles Watson Stadium in Conway, S.C.
Shutout - North Florida pitchers Casey Medlen and Tyler Moore combined to hold Liberty to three hits, to shut out the Flames, 5-0, Feb. 25 in the opening game of a four-game series between the two teams at Harmon Stadium in Jacksonville, Fla. Medlen, the starter, allowed two hits, striking out seven and walking one in the win.
The Automated ScoreBook Overall Statistics for Liberty (as of Mar 07, 2011) (All games Sorted by Batting avg)
Record: 5-7 Home: 2-1 Away: 3-6 Big South: 0-0
LOB - Team (93), Opp (82). DPs turned - Team (7), Opp (8). IBB - Team (2), RASMUS, C. 1, BREAM, T. 1, Opp (8). Picked off RASMUS, C. 2.
| Player | avg gp-gs | | ab r h 2b 3b hr rbi tb slg% | | | | | | | | | bb hp so gdp ob% | | | | | sf sh sb-att | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 5 BREAM, Tyler | . 4 1 7 12-12 | | 48 8 20 1 0 1 8 24 . 5 0 0 | | | | | | | | | 3 0 10 0 . 4 4 2 | | | | | 1 0 0-0 | | | | | |
| 1 WILLIAMS, Matt | . 3 8 0 | 12-12 | 50 | 9 | 19 | 3 | 2 | 1 | 5 | 29 | . 5 8 0 | 3 | 1 | 4 | 1 | . 4 2 6 | 0 | 0 | 1-3 | 18 | 37 | 1 |
| 20 RASMUS, Casey | . 3 5 6 12-12 | | 45 7 16 2 0 2 3 24 . 5 3 3 | | | | | | | | | 2 0 6 0 . 3 8 3 | | | | | 0 0 4-4 | | | | | |
| 14 BREAM, Doug | . 3 2 0 | 12-12 | 50 | 5 | 16 | 4 | 0 | 0 | 6 | 20 | . 4 0 0 | 1 | 0 | 4 | 3 | . 3 3 3 | 0 | 0 | 2-2 | 18 | 1 | 2 |
| 7 ROBERTSON, Michael | | | | | | | | | | | | | | | | | | | | | | |
| -------------------- | | | | | | | | | | | | | | | | | | | | | | |
| 4 TAYLOR, Austin | | | | | | | | | | | | | | | | | | | | | | |
| 16 HALEY, Zack | . 2 8 0 | 7-7 | 25 | 3 | 7 | 2 | 0 | 0 | 4 | 9 | . 3 6 0 | 0 | 1 | 5 | 0 | . 3 0 8 | 0 | 3 | 1-1 | 13 | 13 | 2 |
| 17 SYPE, Dalton | . 2 7 6 10-7 | | 29 3 8 0 0 0 6 8 . 2 7 6 | | | | | | | | | 1 0 3 0 . 2 9 0 | | | | | 1 0 1-2 | | | | | |
| 24 SIZEMORE, Justin | . 2 5 9 | 9-9 | 27 | 5 | 7 | 1 | 0 | 1 | 5 | 11 | . 4 0 7 | 2 | 2 | 5 | 0 | . 3 4 4 | 1 | 0 | 0-0 | 27 | 2 | 1 |
| 15 PARMLEY, Ian | . 2 3 3 8-7 | | 30 5 7 0 1 0 0 9 . 3 0 0 | | | | | | | | | 1 0 7 0 . 2 5 8 | | | | | 0 0 2-4 | | | | | |
| 11 THOMPSON, Joshua | . 1 0 0 | 8-7 | 20 | 2 | 2 | 2 | 0 | 0 | 1 | 4 | . 2 0 0 | 2 | 0 | 8 | 0 | . 1 8 2 | 0 | 0 | 2-2 | 15 | 0 | 1 |
| 9 JEFFERSON, Jeff | . 0 9 1 7-2 | | 11 2 1 0 0 1 1 4 . 3 6 4 | | | | | | | | | 1 1 2 0 . 2 3 1 | | | | | 0 0 0-0 | | | | | |
| 23 MCCLENDON, Tony | . 0 0 0 | 4-2 | 7 | 2 | 0 | 0 | 0 | 0 | 0 | 0 | . 0 0 0 | 1 | 2 | 6 | 0 | . 3 0 0 | 0 | 0 | 0-0 | 0 | 0 | 0 |
| 18 RICHARDSON, Justin | . 0 0 0 5-0 | | 7 0 0 0 0 0 0 0 . 0 0 0 | | | | | | | | | 0 0 3 0 . 0 0 0 | | | | | 0 0 0-0 | | | | | |
| 2 GRIMALDI, Marcus | . 0 0 0 | 7-1 | 5 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | . 0 0 0 | 2 | 0 | 2 | 0 | . 2 8 6 | 0 | 0 | 0-0 | 0 | 0 | 0 |
| 36 CORDELL, Ryan | . 0 0 0 1-0 | | 0 0 0 0 0 0 0 0 . 0 0 0 | | | | | | | | | 0 0 0 0 . 0 0 0 | | | | | 0 0 0-0 | | | | | |
| Totals | . 2 9 0 | 12 | 420 | 63 | 122 | 17 | 3 | 9 | 52 | 172 | . 4 1 0 | 25 | 9 | 75 | 5 | . 3 4 1 | 3 | 5 | 14-20 | 294 | 117 | 16 |
| Opponents | . 2 9 0 | 12 | 397 | 79 | 115 | 23 | 0 | 14 | 72 | 180 | . 4 5 3 | 38 | 12 | 71 | 6 | . 3 6 7 | 2 | 6 | 5-11 | 306 | 126 | 24 |
(All games Sorted by Earned run avg)
| 47 LINZA, Keegan | 3 . 0 5 2-0 3 3 0 0/0 0 | | | | | | | 20.2 20 8 7 4 15 | | | | | | 3 0 1 . 2 5 6 | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 25 NIGGLI, John | 5 . 1 1 | 1-1 | 4 | 2 | 0 | 0/0 | 0 | 12.1 | 12 | 7 | 7 | 4 | 5 | 3 | 0 | 0 | . 2 5 5 | 0 | 1 | 0 | 0 |
| 21 EVANS, Steven | | | | | | | | | | | | | | | | | | | | | |
| -------------------- | | | | | | | | | | | | | | | | | | | | | |
| 3 RICHARDSON, Josh | | | | | | | | | | | | | | | | | | | | | |
| 27 KEMMERER, Jacob | 0 . 0 0 | 0-0 | 2 | 0 | 0 | 0/0 | 0 | 3.1 | 2 | 1 | 0 | 2 | 2 | 0 | 0 | 0 | . 1 6 7 | 0 | 0 | 0 | 0 |
| 22 MCLEOD, J.J. | 0 . 0 0 0-0 3 0 0 0/0 0 | | | | | | | 2.2 1 0 0 1 1 | | | | | | 1 0 0 . 1 1 1 | | | | | | | |
| 12 BAKER, Garrett | 3 . 0 0 | 1-0 | 5 | 0 | 0 | 0/0 | 0 | 3.0 | 3 | 2 | 1 | 0 | 3 | 2 | 0 | 0 | . 2 5 0 | 0 | 0 | 0 | 0 |
| 29 ABRAMS, Andy | 4 . 5 0 0-0 4 0 0 0/0 0 | | | | | | | 4.0 5 3 2 0 1 | | | | | | 1 0 0 . 3 1 3 | | | | | | | |
| 13 BEAKLER, Dane | 7 . 1 1 | 0-0 | 5 | 0 | 0 | 0/0 | 1 | 6.1 | 10 | 5 | 5 | 3 | 6 | 3 | 0 | 0 | . 3 5 7 | 0 | 0 | 0 | 0 |
| 46 ECKELBARGER, Patrick | 7 . 2 7 1-1 5 1 0 0/0 0 | | | | | | | 8.2 14 9 7 3 5 | | | | | | 1 0 2 . 3 3 3 | | | | | | | |
| 26 BROWN, Daniel | 7 . 7 1 | 0-0 | 3 | 0 | 0 | 0/0 | 0 | 4.2 | 3 | 5 | 4 | 1 | 4 | 0 | 0 | 2 | . 1 7 6 | 0 | 0 | 0 | 0 |
| 36 CORDELL, Ryan | 9 . 0 0 0-0 1 0 0 0/0 0 | | | | | | | 1.0 2 1 1 2 1 | | | | | | 0 0 1 . 4 0 0 | | | | | | | |
| 8 FORSLUND, Blake | 12.91 | 0-2 | 2 | 2 | 0 | 0/0 | 0 | 7.2 | 11 | 12 | 11 | 9 | 9 | 2 | 0 | 1 | . 3 5 5 | 3 | 0 | 1 | 1 |
| 32 SWANSON, Mark | 30.86 0-1 2 1 0 0/0 0 | | | | | | | 2.1 6 8 8 2 1 | | | | | | 0 0 2 . 4 6 2 | | | | | | | |
| 19 MARTIN, Willi | 36.00 | 0-0 | 2 | 0 | 0 | 0/0 | 0 | 1.0 | 5 | 4 | 4 | 0 | 0 | 0 | 0 | 4 | . 6 2 5 | 0 | 0 | 0 | 0 |
| Totals | 6 . 1 5 | 5-7 | 12 | 12 | 0 | 0/0 | 3 | 98.0 | 115 | 79 | 67 | 38 | 71 | 23 | 0 | 14 | . 2 9 0 | 6 | 12 | 2 | 2 |
| Opponents | 4 . 1 5 | 7-5 | 12 | 12 | 0 | 1/1 | 1 | 102.0 | 122 | 63 | 47 | 25 | 75 | 17 | 3 | 9 | . 2 9 0 | 14 | 9 | 2 | 3 |
PB - Team (5), RASMUS, C. 4, JEFFERSON, J 1, Opp (2). Pickoffs - Team (1), EVANS, S. 1, Opp (2). SBA/ATT - RASMUS, C. (5-11), LINZA, K. (2-5), FORSLUND, B. (1-2), EVANS, S. (1-2), KEMMERER, J. (1-1), NIGGLI, J. (0-1).
The Automated ScoreBook
Overall Statistics for Liberty (as of Mar 07, 2011) (All games Sorted by Fielding pct)
| 4 TAYLOR, Austin | 44 37 7 0 1.000 | | | | | 3 0 0 - - - | | | | 0 0 | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 7 ROBERTSON, Michael | 26 | 25 | 1 | 0 | 1.000 | 0 | 0 | 0 | - - - | 0 | 0 |
| 15 PARMLEY, Ian | 10 10 0 0 1.000 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 9 JEFFERSON, Jeff | 8 | 8 | 0 | 0 | 1.000 | 0 | 0 | 0 | - - - | 1 | 0 |
| 25 NIGGLI, John | 5 3 2 0 1.000 | | | | | 1 0 1 . 0 0 0 | | | | 0 0 | |
| 47 LINZA, Keegan | 5 | 2 | 3 | 0 | 1.000 | 0 | 2 | 3 | . 4 0 0 | 0 | 0 |
| 26 BROWN, Daniel | 2 0 2 0 1.000 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 46 ECKELBARGER, Patrick | 1 | 1 | 0 | 0 | 1.000 | 0 | 0 | 0 | - - - | 0 | 0 |
| 27 KEMMERER, Jacob | 1 0 1 0 1.000 | | | | | 0 1 0 1.000 | | | | 0 0 | |
| 21 EVANS, Steven | 1 | 0 | 1 | 0 | 1.000 | 0 | 1 | 1 | . 5 0 0 | 0 | 0 |
| 13 BEAKLER, Dane | 1 0 1 0 1.000 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 1 WILLIAMS, Matt | 56 | 18 | 37 | 1 | . 9 8 2 | 6 | 0 | 0 | - - - | 0 | 0 |
| 20 RASMUS, Casey | 76 58 16 2 . 9 7 4 | | | | | 0 5 6 . 4 5 5 | | | | 4 0 | |
| 17 SYPE, Dalton | 63 | 52 | 9 | 2 | . 9 6 8 | 6 | 0 | 0 | - - - | 0 | 0 |
| 24 SIZEMORE, Justin | 30 27 2 1 . 9 6 7 | | | | | 1 0 0 - - - | | | | 0 0 | |
| 11 THOMPSON, Joshua | 16 | 15 | 0 | 1 | . 9 3 8 | 0 | 0 | 0 | - - - | 0 | 0 |
| 16 HALEY, Zack | 28 13 13 2 . 9 2 9 | | | | | 2 0 0 - - - | | | | 0 0 | |
| 14 BREAM, Doug | 21 | 18 | 1 | 2 | . 9 0 5 | 0 | 0 | 0 | - - - | 0 | 0 |
| 5 BREAM, Tyler | 33 7 21 5 . 8 4 8 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 2 GRIMALDI, Marcus | 0 | 0 | 0 | 0 | . 0 0 0 | 0 | 0 | 0 | - - - | 0 | 0 |
| 32 SWANSON, Mark | 0 0 0 0 . 0 0 0 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 18 RICHARDSON, Justin | 0 | 0 | 0 | 0 | . 0 0 0 | 0 | 0 | 0 | - - - | 0 | 0 |
| 3 RICHARDSON, Josh | 0 0 0 0 . 0 0 0 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 19 MARTIN, Willi | 0 | 0 | 0 | 0 | . 0 0 0 | 0 | 0 | 0 | - - - | 0 | 0 |
| 36 CORDELL, Ryan | 0 0 0 0 . 0 0 0 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 12 BAKER, Garrett | 0 | 0 | 0 | 0 | . 0 0 0 | 0 | 0 | 0 | - - - | 0 | 0 |
| 29 ABRAMS, Andy | 0 0 0 0 . 0 0 0 | | | | | 0 0 0 - - - | | | | 0 0 | |
| 22 MCLEOD, J.J. | 0 | 0 | 0 | 0 | . 0 0 0 | 0 | 0 | 0 | - - - | 0 | 0 |
| 8 FORSLUND, Blake | 0 0 0 0 . 0 0 0 | | | | | 0 1 1 . 5 0 0 | | | | 0 0 | |
| 23 MCCLENDON, Tony | 0 | 0 | 0 | 0 | . 0 0 0 | 0 | 0 | 0 | - - - | 0 | 0 |
| Totals | 427 | 294 | 117 | 16 | . 9 6 3 | 7 | 5 | 6 | . 4 5 5 | 5 | 0 |
| Opponents | 456 | 306 | 126 | 24 | . 9 4 7 | 8 | 14 | 6 | . 7 0 0 | 2 | 0 |
Hitting minimums - 75% of Games 3.0 TPA/Game
Pitching minimums - 1.0 IP/Game
The Automated ScoreBook
Game Results for Liberty (as of Mar 07, 2011) (All games)
() extra inning game
1
SINGLE-GAME HIGHS:
Innings pitched: 1.2, at Mercer, 2/19/11
Strikeouts: 1, at Mercer, 2/19/11
Batters faced: 10, at Mercer, 2/19/11
so
3
3
SINGLE-GAME HIGHS:
Innings pitched: 1.1, at Mercer, 2/19/11
Strikeouts: 2, at Mercer, 2/19/11
Batters faced: 5, at Mercer, 2/19/11
BEAKLER, Dane
SINGLE-GAME HIGHS:
Innings pitched: 7.0, Rutgers, Mar 18, 2006
Walks allowed: 3, Rutgers, Mar 18, 2006
Strikeouts: 15, at Presbyterian, 04-23-10
Batters faced: 29, Rutgers, Mar 18, 2006
Field chances: 2, Longwood, Feb 16, 2006; Richmond, May 16, 2006
Putouts: 1, at William and Mary, Apr 05, 2006; at Richmond, Apr 19, 2006; Rutgers, Mar 18, 2006
Assists: 2, Longwood, Feb 16, 2006; Richmond, May 16, 2006
Runners CS: 1, 7 times
SINGLE-GAME HIGHS:
Hits: 4, James Madison, 04-21-10
Doubles: 2, DUKE, 03-10-09; at HIGH POINT, 03-22-09
Home runs: 2, FORDHAM, 03-18-09
Total bases: 9, FORDHAM, 03-18-09
RBI: 4, Temple, 03-07-09; LAFAYETTE, 03-19-09; James Madison, 04-21-10
Runs scored: 3, FORDHAM, 03-18-09; at HIGH POINT, 03-22-09; HIGH POINT, 04-03-10
Walks: 2, 4 times
Hit by pitch: 1, 10 times
Struck out: 2, 4 times
Sac flies: 1, at Radford, 04-11-10; VMI, 04-16-10
Sac bunts: 1, at COASTAL CAROLINA, 05-01-09
At bats: 6, 4 times
Stolen bases: 1, at North Florida, 02/27/11; at UNC Asheville, 03-27-10; at VMI, 04-03-09
Field chances: 12, Charleston Southern, 03-15-09
Putouts: 11, Charleston Southern, 03-15-09
Assists: 2, James Madison, 04-21-10
BREAM, Tyler
SINGLE-GAME HIGHS:
Hits: 4, 6 times
Doubles: 2, 4 times
Triples: 1, Charleston Southern, 03-13-09; at VCU, 03-31-10; VIRGINIA TECH, 04-22-09
Home runs: 2, VCU, 05-18-10
Total bases: 10, VCU, 05-18-10
RBI: 9, at HIGH POINT, 03-22-09
Runs scored: 4, at HIGH POINT, 03-22-09; at NC STATE, 03-25-09
Walks: 2, 4 times
Hit by pitch: 1, 11 times
Struck out: 3, at VMI, 04-04-09
Sac flies: 1, 6 times
Sac bunts: 1, at HIGH POINT, 03-22-09; at GARDNER-WEBB, 04-25-09
At bats: 6, 6 times
Stolen bases: 1, at Presbyterian, 04-23-10
Field chances: 8, Winthrop, 05-28-10
Putouts: 3, at GARDNER-WEBB, 04-26-09; at COASTAL CAROLINA, 05-03-09; Winthrop, 05-28-10
Assists: 6, WILLIAM & MARY, 03-11-09
SINGLE-GAME HIGHS:
Innings pitched: 1.0, at Virginia Tech, 03/02/11; at Mercer, 2/19/11
Strikeouts: 2, at Virginia Tech, 03/02/11; at Mercer, 2/19/11
Batters faced: 4, at Mercer, 2/19/11
COLE, Bryan
SINGLE-GAME HIGHS:
Innings pitched: 2.2, at James Madison, 03-16-10
Walks allowed: 2, at James Madison, 03-16-10
Strikeouts: 1, at Kennesaw State, 02-21-10
Batters faced: 19, at James Madison, 03-16-10
CORDELL, Ryan
SINGLE-GAME HIGHS:
Innings pitched: 1.0, at Mercer, 2/19/11
Walks allowed: 2, at Mercer, 2/19/11
Strikeouts: 1, at Mercer, 2/19/11
Batters faced: 7, at Mercer, 2/19/11
DUDLEY, Tim
19
SINGLE-GAME HIGHS:
Innings pitched: 6.0, vs HIGH POINT, 05-29-10
Walks allowed: 6, vs HIGH POINT, 05-29-10
Strikeouts: 5, ELON, 04-13-10
Batters faced: 31, vs HIGH POINT, 05-29-10
Field chances: 5, ELON, 04-13-10
Putouts: 2, ELON, 04-13-10
Assists: 3, ELON, 04-13-10
Runners CS: 1, ELON, 04-13-10
ECKELBARGER, Patrick
SINGLE-GAME HIGHS:
Innings pitched: 4.0, Binghamton, 03/05/11
Walks allowed: 2, at Mercer, 2/18/11
Strikeouts: 2, Binghamton, 03/05/11; at Mercer, 2/19/11
Batters faced: 20, Binghamton, 03/05/11
Field chances: 1, at Virginia Tech, 03/02/11
Putouts: 1, at Virginia Tech, 03/02/11
EVANS, Steven
so
SINGLE-GAME HIGHS:
Innings pitched: 9.0, at HIGH POINT, 03-21-09; PRESBYTERIAN, 03-27-09; Winthrop, 05-26-10
Walks allowed: 4, 4 times
Strikeouts: 11, at Presbyterian, 04-25-10
Batters faced: 37, at HIGH POINT, 03-21-09
Field chances: 3, vs Mercer, 02-22-09; VMI, 04-18-10
Putouts: 1, ST. JOHN'S, 03-14-10; COASTAL CAROLINA, 05-14-10
Assists: 3, vs Mercer, 02-22-09; VMI, 04-18-10
Runners CS: 1, 7 times
FORSLUND, Blake
SINGLE-GAME HIGHS:
Innings pitched: 4.0, at Mercer, 2/19/11
Walks allowed: 5, at North Florida, 02/26/11
Strikeouts: 5, at Mercer, 2/19/11
Batters faced: 21, at Mercer, 2/19/11
Runners CS: 1, at Mercer, 2/19/11
LIBERTY FLAMES BASEBALL
Individual Career History
GRIMALDI, Marcus
SINGLE-GAME HIGHS:
Runs scored: 1, Binghamton, 03/05/11
Walks: 1, at North Florida, 02/26/11; at North Florida, 02/27/11
Struck out: 1, at Mercer, 2/18/11; at Mercer, 2/20/11
At bats: 3, Binghamton, 03/05/11
SINGLE-GAME HIGHS:
Hits: 2, at North Florida, 02/26/11; at Mercer, 2/20/11
Doubles: 1, at North Florida, 02/26/11; at Mercer, 2/20/11
Total bases: 3, at North Florida, 02/26/11; at Mercer, 2/20/11
RBI: 2, at North Florida, 02/26/11
Runs scored: 1, at North Florida, 02/26/11; at North Florida, 02/27/11; at Mercer, 2/18/11
Hit by pitch: 1, at North Florida, 02/26/11
Struck out: 2, at North Florida, 02/27/11
Sac bunts: 2, at North Florida, 02/27/11
At bats: 4, 4 times
Stolen bases: 1, at Mercer, 2/20/11
Field chances: 5, at North Florida, 02/26/11; at Mercer, 2/18/11
Putouts: 4, at North Florida, 02/26/11
Assists: 3, at North Florida, 02/26/11; at North Florida, 02/27/11; at Mercer, 2/18/11
JEFFERSON, Jeff
SINGLE-GAME HIGHS:
Hits: 3, at South Alabama, 02-21-09; at NC STATE, 03-25-09
Doubles: 2, MANHATTAN, 03-20-10; at Radford, 04-09-10
Home runs: 2, RADFORD, 05-14-09
Total bases: 8, RADFORD, 05-14-09
RBI: 4, Temple, 03-07-09
Runs scored: 4, WILLIAM & MARY, 03-11-09
Walks: 2, at Kennesaw State, 02-21-10; at Duke, 03-17-10; PRESBYTERIAN, 03-27-09
Hit by pitch: 2, Temple, 03-06-09; WILLIAM & MARY, 03-11-09; at James Madison, 03-17-09
Struck out: 2, 13 times
Sac flies: 1, VCU, 05-18-10
At bats: 6, MANHATTAN, 03-20-10; vs HIGH POINT, 05-21-09
Stolen bases: 1, 4 times
Caught stealing: 1, Temple, 03-07-09; vs HIGH POINT, 05-27-10
Field chances: 9, ELON, 04-13-10
Putouts: 7, ELON, 04-13-10
Assists: 2, ELON, 04-13-10
SINGLE-GAME HIGHS:
Innings pitched: 2.1, at North Florida, 02/26/11
Walks allowed: 2, at North Florida, 02/26/11
Strikeouts: 1, at North Florida, 02/26/11; at Mercer, 2/19/11
Batters faced: 12, at North Florida, 02/26/11
Field chances: 1, at North Florida, 02/26/11
Assists: 1, at North Florida, 02/26/11
LINZA, Keegan so
SINGLE-GAME HIGHS:
Innings pitched: 9.0, at UNC Asheville, 03-27-10
Walks allowed: 5, at Radford, 04-10-10
Strikeouts: 8, at Kennesaw State, 02-20-10
Batters faced: 41, at UNC Asheville, 03-27-10
Field chances: 3, at Mercer, 2/20/11
Putouts: 2, at Mercer, 2/20/11
Assists: 2, HIGH POINT, 04-03-10; at GEORGE MASON, 05-04-10
Runners CS: 2, at North Florida, 02/26/11
SINGLE-GAME HIGHS:
Innings pitched: 0.2, at Mercer, 2/19/11
Batters faced: 6, at Mercer, 2/19/11
SINGLE-GAME HIGHS:
Runs scored: 1, at North Florida, 02/27/11; at Mercer, 2/19/11
Walks: 1, at North Florida, 02/27/11
Hit by pitch: 1, at North Florida, 02/27/11; at Mercer, 2/19/11
Struck out: 2, at North Florida, 02/27/11; at Mercer, 2/19/11
At bats: 3, at Mercer, 2/19/11
MCLEOD, J.J.
SINGLE-GAME HIGHS:
Innings pitched: 4.1, at Duke, 03-17-10
Walks allowed: 4, Winthrop, 05-28-10
Strikeouts: 5, at Duke, 03-17-10
Batters faced: 19, at Duke, 03-17-10
Field chances: 2, Old Dominion, 03-09-10
Putouts: 2, Old Dominion, 03-09-10
Assists: 1, 4 times
Runners CS: 1, MANHATTAN, 03-20-10; at Winthrop, 05-22-10
NIGGLI, John
SINGLE-GAME HIGHS:
Innings pitched: 6.0, at North Florida, 02/27/11
Walks allowed: 2, at North Florida, 02/27/11
Strikeouts: 5, at North Florida, 02/27/11
Batters faced: 25, at North Florida, 02/27/11
Field chances: 2, at North Florida, 02/27/11
Putouts: 1, at North Florida, 02/27/11
Assists: 1, at North Florida, 02/27/11
PARMLEY, Ian
SINGLE-GAME HIGHS:
Hits: 4, at Mercer, 2/18/11
Total bases: 4, at Mercer, 2/18/11
Runs scored: 1, Binghamton, 03/05/11; at Mercer, 2/18/11
Walks: 1, Binghamton, 03/05/11
Struck out: 4, at North Florida, 02/25/11
At bats: 5, at Mercer, 2/18/11; at Mercer, 2/19/11
Stolen bases: 2, at Mercer, 2/18/11
Caught stealing: 2, at Mercer, 2/18/11
Field chances: 3, at Mercer, 2/19/11
Putouts: 3, at Mercer, 2/19/11
RASMUS, Casey
SINGLE-GAME HIGHS:
Hits: 2, at North Florida, 02/26/11
Doubles: 1, at Mercer, 2/19/11
Home runs: 1, at North Florida, 02/26/11
Total bases: 5, at North Florida, 02/26/11
RBI: 1, at North Florida, 02/26/11
Runs scored: 1, 4 times
Walks: 1, at North Florida, 02/27/11
Struck out: 2, at Mercer, 2/19/11
At bats: 5, at North Florida, 02/26/11; at Mercer, 2/20/11
Stolen bases: 1, 4 times
Field chances: 11, at North Florida, 02/26/11
Putouts: 9, at Mercer, 2/20/11
Assists: 6, at North Florida, 02/26/11
Runners CS: 2, at North Florida, 02/26/11
RICHARDSON, Josh
SINGLE-GAME HIGHS:
Hits: 2, ST. JOHN'S, 03-12-10
Doubles: 1, DELAWARE STATE, 03-05-10; ST. JOHN'S, 03-12-10
Home runs: 1, at UNC WILMINGTON, 02-28-10; ST. JOHN'S, 03-12-10
Total bases: 6, ST. JOHN'S, 03-12-10
RBI: 1, 7 times
Runs scored: 3, ST. JOHN'S, 03-12-10
Walks: 2, at UNC Asheville, 03-27-10
Struck out: 4, ST. JOHN'S, 03-14-10
Sac flies: 1, DELAWARE STATE, 03-05-10; ST. JOHN'S, 03-13-10; GEORGE MASON, 03-30-10
Sac bunts: 1, GEORGE MASON, 03-30-10
At bats: 6, ST. JOHN'S, 03-14-10
Stolen bases: 1, at UNC WILMINGTON, 02-28-10
Innings pitched: 5.0, at Winthrop, 05-22-10
Walks allowed: 2, 5 times
Strikeouts: 4, at Mercer, 2/20/11
Batters faced: 23, at Winthrop, 05-22-10
Field chances: 9, ST. JOHN'S, 03-12-10
Putouts: 3, Old Dominion, 03-09-10; ST. JOHN'S, 03-12-10
Assists: 7, at UNC Asheville, 03-27-10
Runners CS: 1, Duke, 04-20-10; at Winthrop, 05-22-10
RICHARDSON, Justin
SINGLE-GAME HIGHS:
Hits: 3, VMI, 04-18-10
Doubles: 1, 4 times
Total bases: 4, VMI, 04-18-10
RBI: 2, ST. JOHN'S, 03-14-10; at Presbyterian, 04-24-10; Gardner-Webb, 04-30-10
Runs scored: 2, VMI, 04-18-10; at Presbyterian, 04-25-10
Walks: 2, at Charleston Southern, 05-08-10
Hit by pitch: 1, at Presbyterian, 04-25-10; at ELON, 04-27-10; Gardner-Webb, 05-02-10
Struck out: 2, ELON, 04-13-10
Sac flies: 1, at Radford, 04-11-10
At bats: 5, James Madison, 04-21-10; at Charleston Southern, 05-07-10
SINGLE-GAME HIGHS:
Hits: 3, 4 times
Doubles: 1, 14 times
Triples: 1, 4 times
Home runs: 1, 5 times
Total bases: 6, Gardner-Webb, 05-01-10
RBI: 4, Gardner-Webb, 05-01-10; Maryland, 05-05-10
Runs scored: 3, at Kennesaw State, 02-21-10; GEORGE MASON, 03-30-10; HIGH POINT, 04-03-10
Walks: 1, 15 times
Hit by pitch: 2, Gardner-Webb, 05-02-10
Struck out: 3, at Presbyterian, 04-24-10; COASTAL CAROLINA, 05-14-10
Sac flies: 1, at UNC WILMINGTON, 02-28-10; DELAWARE STATE, 03-05-10
Sac bunts: 1, 4 times
At bats: 6, at Presbyterian, 04-25-10
Stolen bases: 1, 5 times
Caught stealing: 1, 4 times
Field chances: 5, at UNC WILMINGTON, 02-28-10; at North Florida, 02/27/11; VCU, 05-18-10
Putouts: 5, at UNC WILMINGTON, 02-28-10; at North Florida, 02/27/11
Assists: 1, COASTAL CAROLINA, 05-14-10; VCU, 05-18-10
SIZEMORE, Justin
SINGLE-GAME HIGHS:
Hits: 2, DELAWARE STATE, 03-06-10; at Virginia Tech, 03/02/11; at Mercer, 2/19/11
Doubles: 1, DELAWARE STATE, 03-06-10; at Mercer, 2/19/11
Total bases: 3, DELAWARE STATE, 03-06-10; at Mercer, 2/19/11
RBI: 2, DELAWARE STATE, 03-06-10
Runs scored: 1, at Virginia Tech, 03/02/11; Binghamton, 03/05/11
Walks: 2, DELAWARE STATE, 03-07-10
Hit by pitch: 1, ST. JOHN'S, 03-12-10; Binghamton, 03/05/11
Struck out: 3, at Old Dominion, 04-06-10
Sac flies: 1, at Presbyterian, 04-24-10
At bats: 6, at Old Dominion, 04-06-10
Field chances: 13, DELAWARE STATE, 03-06-10
Putouts: 13, DELAWARE STATE, 03-06-10
Assists: 1, at Mercer, 2/18/11; at Mercer, 2/19/11
SINGLE-GAME HIGHS:
Innings pitched: 8.0, PRESBYTERIAN, 03-28-09
Walks allowed: 2, 4 times
Strikeouts: 8, Temple, 03-07-09; PRESBYTERIAN, 03-28-09
Batters faced: 30, Charleston Southern, 03-13-09; PRESBYTERIAN, 03-28-09
Field chances: 2, Temple, 03-07-09
Putouts: 1, Temple, 03-07-09; PRESBYTERIAN, 03-28-09
Assists: 1, at South Alabama, 02-21-09; Temple, 03-07-09; WINTHROP, 04-18-09
Runners CS: 1, Charleston Southern, 03-13-09; WINTHROP, 04-18-09
LIBERTY FLAMES BASEBALL
Individual Career History
SYPE, Dalton
SINGLE-GAME HIGHS:
Hits: 2, at Mercer, 2/20/11
Total bases: 2, at Mercer, 2/20/11
RBI: 1, 4 times
Runs scored: 2, at Mercer, 2/20/11
Walks: 1, at Virginia Tech, 03/02/11
Struck out: 2, at North Florida, 02/27/11
Sac flies: 1, at Mercer, 2/19/11
At bats: 5, at North Florida, 02/27/11
Caught stealing: 1, at North Florida, 02/26/11
Field chances: 12, at North Florida, 02/26/11
Putouts: 12, at North Florida, 02/26/11
Assists: 3, at Virginia Tech, 03/02/11
SINGLE-GAME HIGHS:
Hits: 2, 5 times
Doubles: 1, DELAWARE STATE, 03-06-10; at VCU, 03-31-10; Maryland, 05-05-10
Home runs: 1, MANHATTAN, 03-19-10; Binghamton, 03/05/11
Total bases: 5, Binghamton, 03/05/11
RBI: 4, Binghamton, 03/05/11
Runs scored: 2, 4 times
Walks: 2, 6 times
Hit by pitch: 1, 4 times
Struck out: 2, at UNC WILMINGTON, 02-28-10; at Virginia Tech, 03/02/11
Sac bunts: 1, at Kennesaw State, 02-21-10; at Charleston Southern, 05-09-10; at Winthrop, 05-21-10
At bats: 5, 4 times
Stolen bases: 1, at Charleston Southern, 05-09-10; at Winthrop, 05-20-10
Caught stealing: 1, DELAWARE STATE, 03-06-10; MANHATTAN, 03-21-10
Field chances: 13, at Virginia Tech, 03/02/11
Putouts: 12, at Virginia Tech, 03/02/11
Assists: 3, Binghamton, 03/05/11
THOMPSON, Joshua
SINGLE-GAME HIGHS:
Hits: 1, at North Florida, 02/26/11; at Mercer, 2/20/11
Doubles: 1, at North Florida, 02/26/11; at Mercer, 2/20/11
Total bases: 2, at North Florida, 02/26/11; at Mercer, 2/20/11
RBI: 1, at Mercer, 2/20/11
Runs scored: 1, at North Florida, 02/26/11; at Mercer, 2/20/11
Walks: 1, at North Florida, 02/25/11; at Mercer, 2/20/11
Struck out: 3, at Mercer, 2/18/11
At bats: 4, at North Florida, 02/26/11
Stolen bases: 1, at Virginia Tech, 03/02/11; at Mercer, 2/20/11
Field chances: 5, at North Florida, 02/26/11
Putouts: 5, at North Florida, 02/26/11
WILLIAMS, Matt
SINGLE-GAME HIGHS:
Hits: 4, vs Lehigh, 02-27-10; Temple, 03-06-09; at Mercer, 2/19/11
Doubles: 2, 4 times
Triples: 1, 4 times
Home runs: 1, 4 times
Total bases: 7, at Mercer, 2/19/11
RBI: 3, VMI, 04-16-10
Runs scored: 4, at HIGH POINT, 03-22-09
Walks: 4, FORDHAM, 03-18-09
Hit by pitch: 2, at James Madison, 03-16-10; Temple, 03-07-09
Struck out: 3, VCU, 05-18-10
Sac flies: 1, at Kennesaw State, 02-19-10; at Radford, 04-09-10; at Presbyterian, 04-24-10
Sac bunts: 1, 10 times
At bats: 6, 7 times
Stolen bases: 2, WILLIAM & MARY, 03-11-09
Caught stealing: 1, 11 times
Field chances: 12, vs Lehigh, 02-27-10
Putouts: 6, vs Lehigh, 02-27-10
Assists: 8, at James Madison, 02-24-09; at HIGH POINT, 03-21-09
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Isaiah 58 And Fasting
How to Fast Richard T. Ritenbaugh Given 09-Oct-00; Sermon #471
One of the most striking and obvious characteristics about the Day of Atonement is, of course, fasting . It is especially remarkable in this country today, because it is not at all customary for people to fast. People just do not particularly fast a whole lot, especially the kind of fast that we do—where it is no food and no water for a twenty-four hour period.
In fact, the word "fast" is quickly becoming archaic in this way of looking at it. And if it is not that, then at least it is specialized in the area of health. Most people think of fasting in terms of a hunger strike that some prisoner or political person might do to get some sort of action accomplished; or, as I mentioned before, as a health measure—as in a juice fast. That is, somebody going on a fast to make sure that he gets a good body cleanse and can then go on with a healthy body. It is more seen as those types of things, than as a religious activity. So, if you want to put it in just a few words, fasting is not in vogue these days. It is just not a thing that people want to do.
God was, indeed, foresighted to have us rehearse the meaning of His holy days every year, because it would not take long for us to lose the significance of fasting if we were not frequently reminded of its purpose. It seems to me that it would not take very long before we would be fasting simply because that is what this day requires. We would totally lose the significance of fasting. We would think of it merely as not eating and drinking for twenty-four hours to accomplish what is commanded of us. It would become a legalistic religious requirement if we did not rehearse (at least once a year) what fasting is all about.
Fasting is a lot more than just abstaining from food and drink. However, that abstaining from food and drink is its "letter of the law" significance. When we, as New Testament Christians, try to look at it in a more spiritual way, then the fast that we keep once a year is ratcheted up a few notches in significance. It has deep spiritual meaning. That is, fasting, not just on the Day of Atonement, but throughout the year. Both have deep spiritual meaning. So, I want to look into this "spirit of the law" type of fasting today; and later on we will focus primarily on Isaiah 58. However, we will look at a few other things before we get there. Let's start with Leviticus 23 and the command to keep the day (in the famous "Holy Day Chapter").
And the L spoke to Moses, saying: "Also the tenth day of this Leviticus 23:26-32 ORD seventh month shall be the Day of Atonement. It shall be a holy convocation for you; you shall afflict your souls, and offer an offering made by fire to the L . [Now, listen ORD to these requirements.] And you shall do no work on that same day, for it is the Day of Atonement, to make atonement for you before the L your God. For any person who ORD is not afflicted in soul on that same day shall be cut off from his people. [That is pretty dire consequences for not afflicting the soul.] And any person who does any work on that same day, that person I will destroy from among his people. [So it is pretty much the same punishment if you do not afflict your soul, or if you do work. Either you will be cut off, or destroyed. So, it is pretty much the same thing.] You shall do no manner of work; it shall be a statute forever throughout your generations in all your dwellings. It shall be
to you a Sabbath of solemn rest, and you shall afflict your souls; on the ninth day of the month at evening [meaning "at day's end"], from evening to evening, you shall celebrate your Sabbath."
Just so there is no confusion about that last verse, what God means is that, when the sun is going down on the ninth, that is when you begin your fast. Then it goes from that evening to the next evening, on the tenth. So it covers the entire day of the tenth—which day this is [today].
Having looked at those six or seven verses there, it is no wonder that the Jews consider — Yom Kippur the Day of Atonement—the most solemn day of the year. There are three pronouncements of death in there, if you do not keep it properly. That is pretty solemn, if you ask me. That is pretty serious business.
God goes to great lengths to impress its seriousness on us. We have to afflict our souls. We have to do no work. We will be cut off, if we do. We will be destroyed by God. And it just seems to go on and on. But God says, "You have to do this, this day. And, if you don't, there are dire consequences for it." God takes this day very seriously.
And the whole idea of the Day of Atonement, from this section, all revolves around three basic things. The first thing is . The second thing is . And the third thing is fasting doing no work the that was made on this day. That is the ritual that is in Leviticus 16. (This is the one about the offering two goats that are offered on this day.)
The two goats show the two aspects of the Day of Atonement. The one goat represents Christ. This is the one that is brought and killed, and offered as a sin offering. This is the payment for our sins. This is the price for our sins. The Creator God had to come here, as a man, and be offered as a sinless offering so that our sins could be forgiven and wiped out.
The other aspect is the Azazel goat. This goat was brought before Aaron, and all of the sins of the people were confessed over it and placed on its head. A fit man then led it out into the wilderness. Then that man had to wash his clothes before he could come back into camp. This goat depicts our sins being removed completely.
So we have these two parts of Atonement. Before you can have unity with God, two things have to be done. First, sin has to be paid for. The second thing is that the sins must be removed so far away that they are, in essence, forgotten—"as far as east is from the west."
As far as our sins go, we cannot say, " "—because, when it comes down to it, The devil made me do it we all make the decision to sin. Certainly, Satan is the one who, predominantly, influences us to sin. It is his attitude that is out there, which makes our human nature so rotten. And his influence is all the time on us. We cannot get away from it. And if we are weak and we give in to it, then we sin. But the choice is ours, and we have to pay for that wrong choice. Satan will pay for his own sins. So the Atonement ritual shows these two aspects of atonement being done—being worked out for us. We have, on one hand, the sin offering given for us in the person of Jesus Christ. And, on the other hand, we have our sins removed to a far-away place, something else Christ did for us.
Let us look at Leviticus 16:29. It is kind of interesting that God does not even mention the Day of Atonement until this point in the chapter.
This shall be a statute forever for you: In the seventh month, on the Leviticus 16:29-31 tenth day of the month, you shall afflict your souls, and do no work at all, whether a native of your own country or a stranger who dwells [sojourns] among you. For on that day the priest shall make atonement for you, to cleanse you, that you may be clean from all your sins before the L . It is a Sabbath of solemn rest for you, and you shall afflict ORD your souls. It is a statute forever.
Notice that as this ritual was completed and God gave some instruction just after it, He mentions these three aspects again: (1) , (2) , and (3) for atonement that is fasting doing no work the offering made for us.
I want to key in a little bit on this , because it is very interesting. In the holy day list, doing no work back in Leviticus 23, God says "no customary work"—or, in some Bibles it will say "no servile work" or "no occupational work" shall be done on the other holy days. But on Atonement, it is like a Sabbath day. I do not know if you ever noticed this before; but on the [weekly] Sabbath day and on Atonement it says " shall be done." That is pretty absolute. And here in Leviticus 16, it says no work no work at all! The difference is very significant.
The other holy days say "no customary work," "no servile work," "no occupational work." But on the Day of Atonement it says, " shall be done." Why is this difference significant? I will give it No work to you in just a few words. On the Day of Atonement, we do . I am not trying to be cute, or no work witty, or smart. That is the answer. That is why it is significant. Because on the Day of Atonement we do not do a thing! Think about it. We have little, or nothing, to do with the work of atonement with God.
Who is the One who gave His life for our atonement? Christ. What work did we do? None. (Except, if you want to say that we sinned. We were the cause of why He had to do it.) In the work of removing our sin, how much effort are we going to have in that? None. Think about it. On the Day of Atonement, we do —because most of the work of atonement (of unity, of "at-one-ment" with no work God) is done for us by Him. And we rehearse that each year, on the Day of Atonement.
What is on the Day of Atonement? To afflict your soul. To fast. To be humble. To be our work contrite. To get yourself in the proper attitude—so that you can have a right relationship with God. That is the work we do in atonement. Think about it. How do we have unity with God?
What does the L require of you but to do justly, to love mercy, and to Micah 6:8 ORD walk humbly with your God?
What does it say in Isaiah 59, keeps God away from us?
Your iniquities [your sins] have separated you from your God. Isaiah 59:2
So the Day of Atonement shows our humbling ourselves, our repenting before God, and coming into the proper attitude so that we can be "one" with Him. God says, "You shall do on the Day of no work Atonement." It is a type of showing us that we do so little in this work of atonement with Him. The only part that we have to play in it is to be humble, and to understand our place before God.
We go without the life-sustaining food and drink to remind ourselves how much we on God. depend He provides us with life, with all of our sustenance, with everything we have, everything we own,
and everything we use. Every opportunity we have comes from Him. Eventually, even eternal life itself comes from Him. Our job is to understand that and to be humble before Him. This is one day in the year when we can really focus on God's providence. He makes us focus on it. We can go one day without food, but what if it was longer? How long could we last without what He can provide? Not very long!
Then, think of this spiritually. If we were not given what He provides spiritually—His Word, His Spirit, forgiveness, mercy, grace, kindness, love, etc., etc.—how long would we last? How long before we would reject Him and go back to the vomit [of this world]? If God did not give us all the things that He does spiritually, we would die. We would wither on the vine and die, just as we would if we did not have the physical food to eat every day.
Do not get me wrong, there are things that we can do on this day. Those things will surface, when we get to Isaiah 58. But the point here is that any work that we do (work for a living, work for our maintenance, work on our possessions, and any kind of work that we might do around the house) is strictly "off limits" for this day—and for good reason. If we did these things, they would declare our self-sufficiency before God. We would be declaring to God that we want to for our salvation— work that we do not want His help, but we want to do it ourselves. That is the exact opposite of one of the meanings of this day—which is that God has done so much for us. Working would just tell Him that we do not care about what He has done for us.
Before we get to Isaiah 58, I want to show you a few things from the Bible about the Day of Atonement. So let us go to Acts 27. I want to show you that they did keep Atonement in the New Testament. Paul is on his way to Rome here, as a prisoner.
Now when much time had been spent, and sailing was now dangerous because Acts 27:9 the Fast was already over, Paul advised them, saying. . .
He prophesies that there is going to be a disaster not too long in the future, because they are sailing on the Mediterranean Sea during the time when storms are approaching. But it is very interesting that Luke, when he wrote Acts, uses "the Fast" as a time marker. Obviously, there can only be one " the Fast," and that is the Day of Atonement. You and I would probably say, " Feast," would not we [in the speaking about the Feast of Tabernacles]? That is the big time of the year for us. In fact, we would probably pick Trumpets over Atonement as a time marker; but Luke does not. I would imagine that Luke has Paul's influence in this. It was " Fast" that was important, because it got the peoples' the minds back on God in a big way.
It is " Fast." And it is the time marker that Luke uses. Other than this, the Day of Atonement is not the mentioned at all in the New Testament. This is the one and only time. Instruction on fasting is very scarce in the New Testament also. In fact, the one we will go to next is just about the only occurrence of instruction on fasting. There are other places where it instructs us fast, but it does not instruct us to on to fast. This is the one spot, here in Matthew 6:16-18, where it is mentioned; and it comes how directly from our Savior.
Moreover, when you fast, do not be like the hypocrites, with a sad Matthew 6:16-18 countenance. For they disfigure their faces that they may appear to men to be fasting, Assuredly, I say to you, they have their reward. But you, when you fast, anoint your
head and wash your face, so that you do not appear to men to be fasting, but to your Father who is in the secret place; and your Father who sees in secret will reward you openly.
Like I said, this is the New Testament's only extended section on fasting—and it deals primarily with hypocrisy, rather than any spiritual attitude that we should have. Notice that Jesus says, " you When fast" (and not " you fast"). This is a general command that is talking about the fasting that you if would do throughout the year.
This is not necessarily the fast that you would do on the Day of Atonement. Normally, when we fast on the Day of Atonement, everybody knows—because everybody in our "community" here is also fasting; and it is simply expected. So this extended instruction on fasting really does not have to do with the Day of Atonement. It does not apply very well [in regard to these specific instructions].
So it is more pointed toward our personal fasts throughout the year. Those are private—between you and God, for whatever reasons you would do a fast. And what He says here, basically, is that no one outside your family needs to know. It is between you and God. It is a good idea, if you are going to fast, to let your wife know—so that she does not make you breakfast, lunch, and dinner. But it really does not need to go much beyond that. Only those who are on a "need to know" basis need to know.
Since Jesus and the apostles do not leave us any real, big chunks of information on fasting, our primary source is the Old Testament. I could go to several scriptures that define fasting physically, but let us just go to one that will suffice as representative of the instructions. We will look at Esther 4. (If you want to write down another one, put down Exodus 34:28, which is how Moses fasted when he went up into the Mount.) But here in Esther 4:16, Esther asks Mordecai to tell all the Jews there in Shushan to fast for three days before she went before the king to make her request and save the nation.
Go, gather all the Jews who are present in Shushan, and fast for me; neither Esther 4:16 eat nor drink for three days, night or day. My maids and I will fast likewise. And so I will go to the king, which is against the law, and if I perish, I perish!
This is very straightforward. It does not leave much room for negotiation. Godly fasting, as Esther says here, is going without food or drink for a period of time. Notice too that she says "neither night nor day." (That means that we do not fast like the Muslims do—who fast during the day and then binge during the night, during Ramadan.) Normally, it is a twenty-four-hour period that you would choose to fast.
Now, it does not necessarily have to be a twenty-four-hour period, but it is most effective when it is done for a whole day or more. I have heard of people fasting for a meal in order to do something good, let us say. That would be perfectly all right and acceptable. But a normal fast is a twenty-four hour period. Especially on the Day of Atonement, we are given strict instructions that it is from the evening (as the sun is going down on the ninth) through the tenth. That is pretty straightforward.
If you think about it, eating and drinking are inherently selfish. Have you ever thought about that? You are feeding your body. You are doing it for your own life. When we sacrifice eating, we are telling God how serious and selfless we are about whatever the matter is at hand.
Certainly what was happening here in Esther 4 was quite serious. It was pretty high on the list of disasters that might have happened. Here were the Jews of whom the Messiah would come. And what was going to happen was that, if things did not change, there was a decree out there that said that anybody who wanted to could kill all the Jews, wherever they lived, within the Persian Empire. That would definitely have been Judea, as well as in Persia. So this particular event effected the line of the Messiah. If they had killed all of the line of David, then where would Messiah have come from?
Of course, God could not have allowed that. In effect, they were fasting for something that God would not allow anyway. But it certainly showed God their desire. It showed God their selflessness. And it showed God how serious they were about this. Also, the act of fasting itself humbled them for His decision—so that they would have the proper relationship with God, as His people, and allow Him to do whatever it was that He would do. That is reflected in Esther's attitude, when she says that she was going to go to the king, even though it was a death sentence for her to do so. Unless the king himself called you, you died if you appeared before the king like that. But she said, "Whatever happens. . . if I perish, I perish. My life is in God's hands." That was a very fitting attitude for her to have.
We still have not particularly answered the question of we fast. Obviously we do not fast to be why seen as "righteous" by others. That is what Jesus covered. We certainly do not fast for the fun of it. It is not something that we do for entertainment, or for our pleasure. What is its purpose? What does it do for us? What effect does it have on God? This is where the instruction in Isaiah 58 comes into play. However, we are going to begin in Isaiah 57, because Isaiah 57 is a run up into Isaiah 58. It kind of sets the theme for why God discusses what He does there in chapter 58. The themes that are mentioned here in chapter 57 are what come up in Isaiah 58. And it is very interesting to look at it from that perspective.
And one shall say, "Heap it up! Heap it up! Prepare the way, take the Isaiah 57:14 stumbling block out of the way of My people."
This is pretty well translated from the Hebrew. It is interesting that it starts out "and one shall say;" but it is very evident from the end of the verse that it is God Himself that's talking. He says, "Take the stumbling block out of the way of My people." What He is saying is, "Build a highway." That is what "heap it up" means. When you take the earth and you are making a causeway of sorts, to build a highway on the top of it.
"Prepare the way. Take the stumbling block out of the way of My people." He is saying, "Make everything smooth, and straightforward, and easily accessible"—so that His people can do what is right. So the first little theme that we have here is that God Himself is the One who prepares and smooths the way for His people.
For thus says the High and Lofty One who inhabits eternity, whose name is Isaiah 57:15 Holy: "I dwell in the high and holy place, with him who has a contrite and humble spirit, to revive the spirit of the humble, and to revive the heart of the contrite ones."
This sets up a dichotomy. Notice the difference here between God and the people. God is the one who high and lofty. He is the one who inhabits eternity. He dwells in the high and holy place. But who does He dwell with? He dwells with those who are lowly, who are contrite, who are humble.
And why does He do that? To revive them—to revive the spirit of the humble, and revive the heart of the contrite ones. To means "to give life again." revive
Is that not what our relationship is all about? God is so much more than we are. Here we are, lowly and humble, of nothing—just dust that He scooped out of the ground and made into a man. And He says, "I want to dwell with these forever, and give them life. And I will dwell with those who are contrite and humble."
This sets up the proper relationship. God is ; and we are nothing. But [even though we are everything 'nothing'] God accepts us—when we understand that we are nothing and that all the cards are in His hands. If we want to live again, that's how we have to be—humble, lowly, and contrite.
For I will not contend forever. . . Isaiah 57:16
God says, "There's an end to all of this. I'm not going to go on and on and on—fighting you."
Nor will I always be angry: for the spirit would fail before Me, and the Isaiah 57:16 souls which I have made.
God says that He does not want an adversarial relationship—because would lose. We would die! we He says, "Not only would your spirit fail, but your soul would fail as well." This takes up everything that we are—our bodies and our spirits. God would just put us out like a light—if we would contend forever with Him, or if He Himself could contends forever with us. We cannot go fifteen rounds with God! So He says, "Make up your mind. Do the right thing."—because there is a finite time limit on all of this.
For the iniquity of his covetousness I was angry and struck him; I hid and Isaiah 57:17 was angry, and he went on backsliding in the way of his heart.
God does correct. That is part of His character. If He never corrected us, He would not be able to make us into what He wants us to be. And so He says that He does correct us for sin. He will be angry and strike us when we sin. But He also says that the carnal person keeps on backsliding. Thus, if we do not have the humble and contrite attitude, we are going to take the correction and keep on sinning. That is not what God wants. God wants a humble and contrite people that will, yes, take the correction but also learn from it—so that He does not have to contend with them anymore. That He does not have to be angry and strike us. That He does not have to go hide, because of our sin (as He says, here in verse 17).
I have seen his ways, and will heal him [Look at the positive way that He Isaiah 57:18 puts that.]; I will also lead him, and restore comforts to him and to his mourners.
God says that if we will just give Him a chance, He heal us spiritually. He will lead us to will salvation. But He is still looking for the humble and contrite person here. These are the only kinds of people that will do this. But He is willing. He will do it! All we have to do is have the proper relationship with Him—which is that He is up high and we are down low.
I create the fruit of the lips: Peace, peace to him who is far off and to him Isaiah 57:19 who is near." says the L , "and I will heal him. ORD
God wants peace with us. It is interesting to whom He says that He wants to give —(1) to the peace one who is far off, and (2) to the one who is near. One commentary said that the one who is is far off a penitent person. That is, the one who is ready to repent and who has begun to repent, meaning the one who has been far from God, but sees the error of his ways and wants to come near. Also, God says He wants peace with those who are already near—which would be us. He doesn't want to fight with us either. He wants peace with us—that is,a proper relationship. But, if we are not careful, even those who are "near" can regress. So we have to be careful.
Kind of as an aside, this "I create "—in the first clause here—means that God is the fruit of the lips the one that makes the situation and the events, the ideas, or what have you that will make us praise Him. The idea is that God does everything for us. He even creates all of the situations to which we respond to Him by praise. If you look in Hebrews 13, the fruit of the lips is praise. So, God says, "I "—which is something that we even create the reasons why you praise Me. I want peace with you should be praising Him for every day (both those who are far off and those who are near). God says that IF that happens, THEN He'll heal. It says that twice in this one section—"and I will heal him."
Next we will take verses 20 and 21 together because this describes "the wicked"—those who won't humble themselves and be contrite before God.
But the wicked are like the troubled sea, when it cannot rest, whose Isaiah 57:20-21 waters cast up mire and dirt. [God is very definite in His pronouncement here.] "There is no peace," says my God, "for the wicked."
The figure here is of a sea in a tempest, in a storm, that is being tossed. It is dirty water, and there is froth all over. It is just going back and forth, and there is no stability to it. "It cannot rest," He says. This says something about the wicked one's mind. It is constantly going about and probably looking for more evil. And it casts up mire and dirt on the beach. That is the result of it. The "fruit" of this kind of mind, unsettled and wicked, is one of dirt and evil.
This is the lead-in for the chapter on fasting. It is very interesting that He would put these back to back. So let us go right into Isaiah 58. Immediately after He says all of this [in Isaiah 57], He says:
Cry aloud, spare not. Lift up your voice like a trumpet; tell My people their Isaiah 58:1 transgression, and the house of Jacob their sins.
This is the first step in . Isaiah 58 is all about the healing that He says He will give. He healing mentions it again in Isaiah 58:8. That is one of the great themes that link chapters 57 and 58. But the first step that you must have (so that healing can begin) is that you sin. People can go for recognize years and years doing the wrong thing and never realize that they are doing it wrong. So God commands the ministry to cry aloud and spare not, so that people what sin is and so that they know what they have to change to have this with God—to have this healing. Until that know peace happens, no progress is made.
People get upset at us [in the ministry] for constantly talking about negative things—talking about sin and about how "bad" we are. Well, that is part of our commission, to expose sin. I know that the ministry tries its best not to be personal about it. We do not say, "John Smith, we know that you did this and this this week, and you should stop that." Rather, we do it in a more general way. We "cry aloud and spare not" in a more general way, so that people can understand what they need to change.
And do not ever think that we [in the ministry] think that we are above it, because we are in this game with you. We have just been given the job of crying aloud. It is often that we give these sermons to ourselves, just as much as to you. There are things that we see that we need to change. And the best way for us to funnel that understanding is through a sermon. Then it gets a broader audience and hopefully, helps more people. But this is something that we have been ordained to do. And it is not fun to do!
Oftentimes, I do not enjoy Monday mornings, when I go to look at my e-mail. I get letters from people saying that I stepped on their toes, that I offended them somehow, or that I was just plain wrong. But I just have to shrug my shoulders and say, "I did what I felt that God wanted me to do. And I gave the sermon that God inspired me to give." So I ask you to please be patient with us, and please do not be so critical. That is what Israel was condemned for in the wilderness —murmuring, being critical. We are just doing our jobs. And we try to do it humbly. We try not to offend, but sometimes, if the shoe fits, it has to be worn.
Now back to Isaiah 58. This is the response of the people, and in verse 2, He begins to describe the way they are.
Yet they seek Me daily, and delight to know My ways, as a nation that did Isaiah 58:2 righteousness, and did not forsake the ordinance of their God. They ask of Me the ordinances of justice; they take delight in approaching God.
This is really interesting. God just told them that He was going to send His messengers to tell them their transgressions and their sins. But the way they looked at things was, "It's not for !" What He me is saying here is that the people are very religious, and they think that they are doing the right thing. They think they have not forsaken God and that they are a nation that did righteousness (like they are not the people who have forsaken the covenant). In a way, they would say God, you have no right , " to send those people to us, to tell us our sins—because we do things by the book. And they loved " religious practices—like going to the Feast and worshipping before God. "They love to approach God," He says.
I mean, they could really get into this religious thing. "It's fun! We get six feasts throughout a year. Boy, we have a good time, don't we? We get to go and take a trip—be away for a little more than a week. We get to have one-tenth of our yearly income to blow on whatever we want. Boy, this religious stuff is fun and enjoyable. We're good people too. We do everything that God says. We're righteous, dude" (to put it into the vernacular). That is basically what they are saying here. Then, in verse 3, they ask God a question.
"Why have we fasted," they say, "and You have not seen? Why have we Isaiah 58:3 afflicted our souls, and You take no notice?"
"Look God, we've done all this—just like You told us to do. And You don't seem to hear us. You don't seem to react to us. You don't do anything for us." That is what they are saying. They , complain when God does not respond to them. "It's His fault. We've done everything right. Why don't You heal us? Why don't You give us these things that we need? Why don't You protect us from our enemies? Why didn't you keep that robber out of my house?" (Or whatever it happens to be.)
When you ask such a question of God, there is no humility there. There is no contrite spirit. There is no lowliness about it. It is all pride! "Look what I've done, God. Why haven't You responded to me?
It's all Your fault. You owe me!" There is a lot of self-righteousness and pride in such statements. "I've done everything right; and now You need to do Your part, God." That is totally the opposite of the kind of attitude that God wants us to have as Christians. It is a totally wrong attitude from what we are supposed to be building on a fast.
Let us read the part of verse 3 that we did not read before. This is God's response.
"In fact, in the day of your fast you find pleasure, and exploit all your Isaiah 58:3-4 laborers. Indeed you fast for strife and debate, and to strike with the fist of wickedness. You will not fast as you do this day, to make your voice heard on high.
What we see here is a wide difference between what they considered a good fast and what God considered a good fast. In a way, you could say that was just one illustration of how they the fasting approached their spiritual life, and it was totally 180 degrees away from the way that God wanted it to be. So you could say, in a way, that fasting is just an example here, to show the wider context of improper religion. But it is very instructive for us about fasting, nonetheless.
The way that they conducted their fast was rather negative, maybe not from their point of view, but from the outside looking in, it was very negative. First of all, He says that they find "pleasure" in their fast days. Now, that is kind of odd. They had a good time on their fast days. What this actually means is that they went about their business on their fast days. It does not necessarily mean that they had great entertainment or what have you. But on their fast days, they did what they normally do. They went about their normal, every day business. It is the same thing as in verse 13, where it talks about "doing your own pleasure" on the Sabbath day—meaning that they did whatever they wanted to do. They did not confine themselves to what wanted them to do. God
Another thing that they did was that they oppressed their employees, their laborers. They drove them to work harder on these fast days. They did not give their employees time off to fast themselves. They made them work. Like I said, this is a parallel to the other phrase—where they do their pleasure or they find pleasure. This means that they went ahead and went to work, and they did whatever they wanted to do. It is just another way of saying it. The Hebrew does that quite often. It will take one phrase, and then restate it in a second phrase. So "finding pleasure" in the fast and "exploiting all your laborers" are basically talking about the same situation. They went to work. They did what they wanted to do. They made their money. They grind their employee's nose on the millstone. And God says, "The fast should teach you something totally opposite to this."
The third thing it says, "You fast for strife and debate, and to strike with the fist of wickedness." They fasted to win arguments. They fasted to win conflicts. What they were trying to do was get God on their side. "If I fast this week, maybe I can get the contract on that bit of business that Joe Blow down the street is also trying to get a contract on. Maybe, if I fast, God will have good thoughts for me, and He will let me have it, instead of Joe Blow." That's the idea. They were fasting in order to make God choose sides on areas, arguments, or even conflicts that came to blows. It says, "to strike with the fist of wickedness."
They wanted God to condone their sin, just because they went without some food and water for a short period of time. They thought this would sway God's mind in their favor. But God says, "This is the kind of fast that is going to get My attention." not
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Is it a fast that I have chosen, a day for a man to afflict his soul? Is it to bow Isaiah 58:5 down his head like a bulrush, and to spread out sackcloth and ashes? Would you call this a fast, and an acceptable day to the L ? ORD
This is what Jesus picked up on, in Matthew 6. It's the same sort of thing that He was talking about there. He was talking about hypocrisy. The fast—that is, actually going without food and water—is not the end-all of fasting. There is something more to it than that. He said, "Did I tell you to fast, just so you can be seen by others—holding your stomach, wailing, and making a big show about how much you are afflicting yourself?" That's NOT the way He wants us to fast. There's no godliness inherent in suffering without food and water—not unless you are doing it for the right reasons. If you are doing it just to go without food and water, you are just going through the motions. And it is not going to do you a bit of good, except maybe whatever the health benefits of fasting are. That's it. You won't gain a bit, spiritually.
There's no merit, either, in looking humble and mournful. That's just plain hypocrisy, because it is only skin deep. A person, who "acts" humble and mournful, is in his heart. He just wants to be proud seen. He's doing it for his own glory. So Christ says, "Wash your face, brush your teeth, comb your hair, put on your duds so that nobody else knows that you are fasting—except God in heaven, who sees your proper attitude, and He'll reward you openly." Jesus just expanded on this verse 5.
Beginning with verse 6, God gets into what He says a correct fast is.
Is this not the fast that I have chosen: To loose the bonds of wickedness, to Isaiah 58:6 undo the heavy burdens, to let the oppressed go free, and that you break every yoke?
We could go on to verse 7, but I want to stay here in verse 6 for just a moment. There are two different concepts that are addressed in these two verses. (Verse 6 speaks of one concept, and verse 7 speaks of another.) Verse 6 covers freeing, loosing, and unburdening other people. It can also be applied personally as well, because you pretty much have to start with yourself.
What it is is that when you do your fast, it involves taking steps to lighten loads that have resulted from sin and oppression. So when you fast, you are trying to figure out ways to make other people's lives—and your own—free from sin. When you free yourself from sin, you become humble. It's all part of that process. You are yielding to God. And that's the kind of action that He is going to look kindly upon.
It should begin with getting free of sin and wickedness —as in the parable that Jesus in ourselves gave about the beam in one's own eye and the speck in the other person's. Well, He says that you have to get rid of the beam that is in your own eye before you can see the speck that is in the other person's eye. And this applies here. First, free yourself from sin. Obviously, you cannot free yourself from sin without the help of Jesus Christ. What I mean is that you seek forgiveness and then pursue repentance first yourself. That should be among the first things that we do when we fast—because it is in this way that we are then free to do the same for others (to lift their burdens and lighten their loads and to help them along in this way).
In John 8, Jesus had a little bit to say about this, as well. If you look in the commentaries, they'll say that Isaiah 58:6 is about slavery. That is, that you fast in order to free people from slavery. And that's
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well and good, but the New Testament emphasis is on freedom from . And I should go beyond that sin to say freedom to live righteously.
As He spoke these words, many believed in Him. Then Jesus said to those John 8:30-36 Jews who believed Him, "If you abide in My word, you are My disciples indeed. And you shall know the truth, and the truth shall make you free." They answered Him, "We are Abraham's descendants, and have never been in bondage to anyone. How can you say, 'You will be made free'?" Jesus answered them, "Most assuredly, I say to you, whoever commits sin is a slave of sin. And a slave does not abide in the house forever, but a son abides forever. Therefore if the Son makes you free, you shall be free indeed."
We can be freed from sin by Christ's sacrifice for us. But, as He says here, continuing in is the truth what enables us to stay free. "You shall know the truth, and the truth can make you free." We need the truth to even come to the first step—that is, knowing that Christ Himself can free us by His sacrifice. The truth, then, as we learn it and grow in it, keeps us free and makes us even freer.
A proper godly fast helps to free us from sin because it puts us in the proper frame of mind, that is, the humble, dependent, contrite attitude to submit to God and be "one" with Him. Once we come to that point, we are free. We know the right way to live, and we know the wrong way to live. We are free to choose the right way because we are not shackled by sin. How many times does that image come up throughout the Bible? Paul says in Hebrews 12 that we are to throw off the weight that so easily besets us and run towards Christ, the Author and Finisher of our faith.
So when we are "one" with God—when we are in this proper attitude and our perspective is right (that He's way up there and we are way down here)—if we reach that point, then we are free. And we are free from sin.
Once we are in this proper attitude, then we are prepared to help others to become free. This is one reason why this church has said that going to the world is our primary work at this time. Notice not that I said "primary" work. There is a greater work that needs to be done—so that we can be free to go to the world. As a whole, the church in general (that is, the greater church of God)—we are not free enough from sin to be effective in bringing others to freedom.
It's the old plank-and-speck thing. Would God want us, with our planks, to go out and help people in the world who may only have specks by comparison? I say it that way because here we are, we've known the truth for such a long time, and we might think something is minor because somebody out in the world would never think that it was a sin. But with our increased knowledge, to us it's more worrisome (detrimental, destructive) to our character than a sin that somebody in the world may have (that may be entirely physical in nature).
And so I say that what we have to do is get the planks out of our own eyes. Then, when we reach the point that God is satisfied that we are going in the right direction, and doing what is proper, and that we'll be good witnesses before Him, He will certainly open the doors. But we have to make sure that God is the One who gives the judgment that we are ready and not we ourselves because we (mankind) tend to be very hypocritical when we look at ourselves, our own unrighteousness, and our own preparedness for what God wants us to do. But God will open the doors of evangelism for the church when the church itself is ready.
Back in Isaiah 58, verse 7 gives the second part of this. God says:
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Is it [this fast] not to share your bread with the hungry, and that you bring to Isaiah 58:7 your house the poor who are cast out; when you see the naked, that you cover him, and not hide yourself from your own flesh?
The other major activity that we do during a fast is As I said before, this isn't good works. necessarily something that we would do on the Day of Atonement. But it is a general admonition about what we would do during a normal fast. But we can get the spiritual principles out of this. We should be doing things that benefit others—[such as] feed, shelter, and clothe those who are in need.
However, we should look at the more spiritual side of this—especially today. What does feeding the hungry parallel, spiritually? I would say that is a pretty fair way of saying "preach the gospel," teach God's Word. That's one of the things that fasting helps to do. It puts us in the proper attitude to do.
Sheltering the poor and the outcast—what spiritual parallel might that have? Could that be expanding our fellowship—including those who are maybe cast out from our midst or needy in other ways spiritually? That is, those who have been excluded somehow. How about covering the naked? What could that have a parallel with? Doesn't it say, in Revelation 3, that the Laodiceans are naked? What do you do when you clothe a person spiritually? You help them to become righteous. You strengthen them. You give them what spiritual help they need to become clothed in white linen. We exhort one another daily. Isn't that what Paul says that we should do?
Maybe you won't find somebody in the street who is naked, needs shelter, or is hungry. But there are certainly spiritual things that you could do, and a fast day is a good day to do them. Yes, the physical is important, but the spiritual application of this—to us, right now—is paramount.
You might want to jot down Matthew 25:31-40, because Jesus picks up on this once more. This is the parable of the sheep and the goats. Remember that the sheep, on His right hand, did all these things. They fed the hungry. They visited those in prison. They clothed the naked. They gave shelter, etc. And they said, "When did we do all these things? We don't remember doing these things." And He said, "Enter into My kingdom and be on My right hand." And then there's the goats, who didn't do any of those things, and He cast them into outer darkness, where there is weeping and gnashing of teeth. These things are very important, and there are spiritual parallels that we can apply every time we fast.
Let's finish here in Isaiah 58:8-12. This is the result of proper fasting. God says:
Then your light shall break forth like the morning, your healing shall Isaiah 58:8-12 spring forth speedily, and your righteousness shall go before you. The glory of the L ORD shall be your rear guard. Then you shall call, and the L will answer; you shall cry, ORD and He will say, 'Here I am.' If you take away the yoke from your midst, the pointing of the finger, and speaking wickedness, if you extend your soul to the hungry and satisfy the afflicted soul, then your light shall dawn in the darkness, and your darkness shall be as the noonday. The L will guide you continually, and satisfy your soul in drought, ORD and strengthen your bones; you shall be like a watered garden, and like a spring of water, whose waters do not fail. Those from among you shall build the old waste places; you shall raise up the foundations of many generations; and you shall be called the Repairer of the Breach, the Restorer of Streets to Dwell in.
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Isaiah 58 and Fasting by Richard T. Ritenbaugh (https://www.cgg.org)
Did you notice how many blessings there were? If we fast properly, God's blessings will just cascade upon us—like a waterfall. This is really an inspiring section. Think about things like light. It says in verse 8, "Your light shall break forth like the morning." We normally think of this in terms of "glory" or maybe "understanding." But in the Hebrew, the image is of "prosperity." Remember that He is speaking to physical people here. So we have to sort of juxtapose the physical and the spiritual here. Light is an image of prosperity, but it does represent glory and attractive goodness that will spring from us.
Healing can be both physical and spiritual. And God is willing to do both abundantly. Did Jesus ever turn anybody away? Not those who had faith, not if they believed in Him, and He commends those who keep at it, who keep coming to Him—in faith—knowing that He will heal.
Verse 8 is very interesting. "Your righteousness shall go before you"—meaning that righteousness will lead you. It's your vanguard. It's what goes out front. It's a witness, as well as a clearer of the way. That's what happens when a vanguard goes out. They make way for the rest of the army to come behind. And our righteousness will do that for us.
And what is it that watches our backs? God Himself! He is our rear guard. He gives us security. He props us up. He lifts us up. And sometimes He even propels us forward, from behind. And He's willing to do all of these things for us.
So, if we fast properly—putting us in the proper attitude—we see here that God will be with us. He will respond to us, and He will be very happy to guide us into His Kingdom and into His Family.
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Toward Victim-Centered Change
Integrating Transitional Justice into Sustainable Peace and Development
Toward Toward Victim-Centered Victim-Centered Change Change
Integrating Transitional Justice into Sustainable Peace and Development
2023 Report of the Working Group on Transitional Justice and SDG16+
The Working Group on Transitional Justice and SDG16+
The Working Group on Transitional Justice and SDG16+ promotes transitional justice as an integral element of the 2030 Agenda on Sustainable Development. It operates as part of the Justice Action Coalition (JAC), an international policy platform that champions equal access to justice for all and works to close the global justice gap. Convened by the International Center for Transitional Justice, the Working Group brings together civil society, national governments, regional actors, and international organizations to mobilize support for the 2023 Justice Appeal, which calls for the reestablishment of trust and the renewal of the social contract, by coordinating data and evidence, promoting learning and exchange, and strengthening support for people-centered justice. The Working Group emphasizes the importance of focusing on those who find it hardest to access justice, including victims of massive human rights violations, and examining local and national practices and measures that maximize the value of transitional justice. The Working Group is grateful for the support of the Ministry of Foreign Affairs of the Kingdom of The Netherlands.
Contributing Institutions
The following institutions contributed to this report of the Working Group on Transitional Justice and SDG16+: Asia Justice and Rights; Centre for the Study of Violence and Reconciliation; Cordaid; Global Learning Hub for Transitional Justice and Reconciliation; Impunity Watch; International Center for Transitional Justice; International Development Law Organization; The International Network of Victims and Survivors of Serious Human Rights Abuses (INOVAS); Justice Sector Coordination Office, Office of the Attorney General and Minister of Justice, Republic of Sierra Leone; Ministry of Foreign Affairs of the Kingdom of The Netherlands; Ministry of Foreign and European Affairs, Government of the Grand Duchy of Luxembourg; Office of the United Nations High Commissioner for Human Rights; Pathfinders for Peaceful, Just and Inclusive Societies; Proyecto Plancondor.org; Rockefeller Brothers Fund; Swiss Federal Department of Foreign Affairs; swisspeace; UNDP; UN Special Rapporteur on the Promotion of Truth, Justice, Reparation and Guarantees of Non-recurrence, Fabián Salvioli; UN Women; Victims and Witnesses Section of the Registry of the International Criminal Court; and World Justice Project.
Executive
Summary
It is now generally recognized by the international policy community that transitional justice represents an important element of sustainable peace and development agendas. Legacies of serious and massive human rights violations create specific challenges for societies in preventing the recurrence or onset of violent conflict and in improving people's lives and well-being. Efforts to address the causes and consequences of such violations can therefore help to close the global justice gap, especially in countries affected by systemic violence, repression, and marginalization. The 2030 Agenda for Sustainable Development establishes a broad framework for understanding where transitional justice can contribute to development, including Sustainable Development Goal (SDG) 16 on peaceful, just, and inclusive societies, SDG 5 on gender equality, SDG 10 on equality, and SDG 17 on partnerships.
Despite this recognition, transitional justice often remains inadequately understood and integrated into policies and practices at the international, regional, national, and subnational levels to promote development. The UN Human Rights Council (HRC), the UN Security Council, and regional actors, such as the African Union and European Union, have in recent years increasingly acknowledged the potential contribution of transitional justice to development along with specific pathways for creating change.
Transitional justice's potential to bring about actual change, however, is far from fully realized. In terms of support, implementation, and sustained engagement with the reforms that it can catalyze, transitional justice often falls short as an element of development. This report aims to help facilitate the realization of this potential, building on current policy discourse and moving it forward in substantive ways by bringing together and analyzing relevant experiences, practice, and insights from a range of stakeholders.
The SDG framework includes broad development areas and targets where transitional justice can potentially make a difference, including access to justice, rule of law, inclusive institutions, violence prevention, curbing corruption, education, access to information, gender equality, and equality. The specific pathways through which transitional justice can make a difference have been identified to include increasing agency, empowerment, social trust, and inclusion, as well as addressing and transforming the structural causes or drivers of serious violations.
However, transitional justice's contributions to achieving development in these ways is not assured. It depends on the approach that is taken to pursue its
goals, including the extent to which the process is designed and implemented to be context specific, comprehensive, centered on victims, participatory, gender sensitive, innovative, politically feasible, and transformative in its ambitions. Examples of issues that cut across these elements and that are gaining prominence in the field of transitional justice include mental health and psychosocial support (MHPSS) and access to information.
Given transitional justice's potential contributions, it should be better integrated into development agendas, including by establishing specific links in practice and policy. Reparations, for example, can provide social services and infrastructure to victims and affected communities, while psychosocial support for victims can be integrated into livelihood projects. Further, development plans can incorporate the goals set out in truth commission recommendations and help to report on progress and the continuing needs and priorities of victims.
Leveraging these types of connections depends on making a convincing case to those in charge of both transitional justice measures and development policy of the value of integration. This can involve both conceptual arguments and sharing data that demonstrates impact—which is an ongoing, complex challenge. But it can also draw on examples of cases where a clear relationship exists between violations and structures, showing a clear need to respond to both. Further, because the obstacles to transitional justice are political (extending beyond conceptual arguments and evidence of impact), progress toward creating real change depends on mobilizing sustained support from relevant actors and stakeholders, including political actors, the general public, and civil society.
Applying a development lens to transitional justice means taking a broad view of the relevant actors and stakeholders and the scope and complexity of the problems being addressed. It provides an opportunity to draw useful connections and adopt a more strategic approach, recognizing that some strategies may be more effective than others. At the same time, being strategic should not be taken to mean operating in a purely instrumental manner; it is always important to center and keep sight of the inherent value of addressing violations from a human rights perspective.
This report seeks to contribute to a more strategic approach to integrating transitional justice and sustainable development. It aims to inform policy discussions at the 2023 SDG Summit and beyond, drawing on the work and experience of members of the Working Group on Transitional Justice and SDG16+ and building on ongoing discussions. It draws attention to three general strategies that can improve transitional justice processes by making them more victim centered and participatory and, at the same time, enhance their potential contribution to development goals:
1. Increasing collective action among victims' groups and networks, civil society, and broader social and political movements can help to generate the advocacy, mobilization, and support needed to address immediate harms and transform structures of exclusion and inequality toward inclusion and equity.
2. Incorporating transitional justice into responses at multiple levels—local, national, regional, and global—and through both formal and informal institutions can serve to more effectively address the scope and complexity of development problems such as displacement, sexual and gender-based violence (SGBV), and psychosocial harm.
3. Adopting a long-term perspective on the operationalization and impact of transitional justice can help to maintain the support and levels of engagement necessary to enhance transitional justice's role in bringing about meaningful change, including through implementation of truth commission recommendations and a sustained focus on reparations for victims and affected communities.
We encourage states, regional actors, international organizations, and civil society at all levels to employ and support these strategies, while promoting transitional justice as an important element of sustainable peace and development.
This report is by the Working Group on Transitional Justice and SDG16+, which operates as part of the Justice Action Coalition (JAC), an international policy platform that champions equal access to justice for all and works to close the global justice gap. The report is one of the JAC's 10 deliverables in 2023. 1 The Working Group brings together civil society, national governments, regional actors, and international organizations to mobilize support for the 2023 Justice Appeal, which calls for the reestablishment of trust and the renewal of the social contract, by coordinating data and evidence, promoting learning and exchange, and strengthening support for people-centered justice. The Working Group emphasizes the importance of focusing on those who find it hardest to access justice, including victims of massive human rights violations, and examining local and national practices and measures that maximize the value of transitional justice.
1 "On 11 November 2021, the senior level meeting of the Justice Action Coalition discussed increased collaboration in the lead up to the 2023 SDG Summit. The agreed Joint Action Plan includes a list of national and international priorities as well as joint deliverables." Jus tice Action Coalition, "Joint Deliverables of the Justice Action Coalition," 2023.
Integrating Transitional Justice
and Development
It is now generally recognized by the international policy community that transitional justice represents an important element of sustainable peace and development agendas. Legacies of serious and massive human rights violations create specific challenges for societies in preventing the recurrence or onset of violent conflict and improving people's well-being. Efforts to address the causes and consequences of those violations can help to close the global justice gap, especially in countries affected by systemic violence, repression, and marginalization. The 2030 Agenda for Sustainable Development establishes a broad framework for understanding where transitional justice can contribute to development, including under Sustainable Development Goal (SDG) 16 (peaceful, just, and inclusive societies), SDG 5 (gender equality), SDG 10 (equality), and SDG 17 (partnerships).
The potential for transitional justice to contribute to sustainable peace and development has been acknowledged at the international policy level. The HRC stated in 2022, "The fight against impunity and the implementation of transitional justice processes, including the promotion of truth, justice, reparation and guarantees of non-recurrence, can prevent the recurrence of past atrocities or similar violations and contribute to sustainable peace and development." 1 While the SDGs themselves do not refer to massive human rights violations, they include broad areas in which transitional justice can make a difference, including the rule of law, access to justice, inclusive institutions, violence prevention, corruption, education, access to information, gender equality, and equality more generally. 2
The specific pathways through which transitional justice can make such a difference have been identified as comprising the following: increasing agency, empowerment, trust, social coordination, and inclusion and identifying and addressing the causes or drivers of serious violations, including issues related to health, education, and access to land and other resources. 3 In this regard, the UN Secretary-General's 2023 New Vision for the Rule of Law connects a holistic
1 UN Human Rights Council, "Human Rights and Transitional Justice," Resolution A/HRC/51/23, September 30, 2022, 2. See also UN General Assembly, Resolution 70/262, 5; UN Security Council, Resolution 2282, 5; World Bank-UN, Pathways for Peace: Inclusive Approaches for Preventing Violent Conflict, 2018, 165, 166, 221; Task Force on Justice, Justice for All—Final Report (New York: Center on International Co operation, 2019), 90; Global Alliance for Reporting Progress on Peaceful, Just and Inclusive Societies, Enabling the Implementation of the 2030 Agenda Through SDG 16+: Anchoring Peace, Justice and Inclusion (New York: United Nations, 2019), 41; European Union, "The EU's Policy Framework on Support to Transitional Justice" (2015), 1.
2 Working Group on Transitional Justice and SDG16+, "On Solid Ground: Building Sustainable Peace and Development After Massive Hu man Rights Violations," 2019, 5.
3 HRC Resolution A/HRC/51/23, 5; UN Human Rights Council, "Human Rights and Transitional Justice: Report of the Office of the United Nations High Commissioner for Human Rights," A/HRC/49/39, January 12, 2022, 1, 11 [hereinafter "2022 OHCHR Report"]; UN General As sembly, "Report of the Special Rapporteur on the Promotion of Truth, Justice, Reparation and Guarantees of Non-Recurrence, Pablo de Greiff," A/68/345, August 23, 2013; Working Group on Transitional Justice and SDG16+, "On Solid Ground."
The potential for transitional justice to contribute to sustainable peace and development has been acknowledged at the international policy level.
approach to transitional justice to the role of the rule of law in the restoration of social cohesion, lasting peace, and sustainable development. Relatedly, the Secretary-General's 2023 New Agenda for Peace calls for prevention strategies that address the drivers and enablers of violence and conflict and prioritize all human rights in the interests of rule of law, social cohesion, inclusion, and the prevention of grievances. 4
International policy discourse also recognizes, however, that transitional justice does not inherently or automatically contribute to sustainable peace or development. Rather, its contributions depend on the particular approach that is taken. The process through which transitional justice measures are designed and implemented, the issues that such measures address, and the specific objectives that they aim to achieve, among other factors, affect the extent to which transitional justice can contribute to development.
Factors that have been identified as important in this regard include context specificity, comprehensiveness, victim centeredness, meaningful participation, gender sensitivity, innovation, political feasibility, and transformative ambitions. 5 Each of these elements can be broken down in more detail. For example, context specificity can refer to regional political dynamics, national ownership, and local social and cultural relevance. Comprehensiveness can mean addressing different types of human rights violations, including violations of civil and political rights and economic, social, and cultural rights, as well as encompassing a broad range of measures, not just a certain predetermined set of measures. Adopting transformative goals is generally understood to include confronting the structural inequalities and discrimination that drive violence and abuse. 6
Some of these factors overlap. For instance, gender sensitivity and transformation both require the application of a gender lens to analyze and understand the range of harms that victims have suffered, victims' access to justice, and underlying social structures that facilitated the harms. In this regard, the UN SecretaryGeneral has highlighted the opportunities that transitional justice can create "to re-examine legal and institutional frameworks that historically discriminate and
4 UN, "New Vision of the Secretary-General for the Rule of Law," May 9, 2023, 4-5; UN, "A New Agenda for Peace," Our Common Agenda Policy Brief 9, July 2023, 19.
5 HRC Resolution A/HRC/51/23, 4; 2022 OHCHR Report, 12; Working Group on Transitional Justice and SDG16+, "On Solid Ground," 19–24.
6 The forthcoming "Guidance Note of the Secretary-General — Transitional Justice: A Strategic Tool for People, Prevention and Peace" will reiterate and elaborate on many of these elements as part of the UN's approach to transitional justice.
marginalize and that fail to protect the rights of all people." 7 He further named the reform of laws that discriminate against women, girls, and lesbian, gay, bisexual, transgender, and intersex persons as an important way to guarantee nonrepetition of SGBV. 8
One issue that cuts across elements is mental health and psychosocial support (MHPSS) for victims, families, perpetrators, activists, and practitioners. This form of support has gained prominence in transitional justice, peacebuilding, and development efforts in recent years. The HRC highlighted the benefits that MHPSS can provide for victims and affected communities, helping them "to address grievances and overcome the intergenerational impact of atrocities and gross human rights violations and abuses, which may otherwise become risk factors for new violations and abuses." 9 It accomplishes this by responding to the harms suffered, promoting individual and collective agency, facilitating participation, improving the quality of evidence, and enabling societal dialogues about causes and drivers, especially when provided in ways that minimize the stigmatization of victims and the risk of additional trauma. In Guatemala, for example, extensive psychosocial support was critical for the Indigenous women of Sepur Zarco "to feel comfortable enough to break their silence publicly and file a case," 10 after they were systematically raped and enslaved by the military during the Guatemalan civil war.
Research and analysis of support practices developed at the Special Court for Sierra Leone (SCSL) and the International Criminal Court (ICC) indicate that providing the appropriate level of psychosocial support to witnesses and victims increases their agency and feelings of well-being, while reducing anxiety, thereby facilitating participation of affected individuals. 11 However, notwithstanding the increased focus on victim-centered justice and MHPSS, the implementation of mental health approaches and trauma-informed methodologies is still underdeveloped and needs further integration in many justice processes. In addition, good practices are often scattered and not readily available to mental health and justice practitioners.
7 UN General Assembly, "Strengthening and Coordinating United Nations Rule of Law Activities: Report of the Secretary-General," A/76/235, July 26, 2021, 11.
8 Ibid.
9 HRC Resolution A/HRC/51/23, 4.
10 Susana SáCouto, Alysson Ford Ouoba, and Claudia Martin, "Documenting Good Practice on Accountability for Conflict-Related Sexual Violence: The Sepur Zarco Case," UN Women and American University Washington College of Law (2022), 123.
11 An Michels, "The Psychologist-Client Relationship at the ICC: A Road Map for the Development of the Counsel-Victim Relationship," in R. Jasini and G. Townsend (eds.), Advancing the Impact of Victim Participation at the International Criminal Court: Bridging the Gap be tween Research and Practice (Oxford: ICCBA-Oxford. Oxford Law In-house publication, 2020). Rebecca Horn, Saleem Vahidy, and Simon Charters, "Testifying in the Special Court for Sierra Leone: Witness Perceptions of Safety and Emotional Welfare," 17 Psychology, Crime & Law (2011), 435.
Another cross-cutting issue that will only increase in importance in the context of digitalization is public access to information. This element of sustainable development (under SDG 16.10) is closely linked to the right to the truth about human rights violations. Documentation, archives, the media, and digital technologies are tools that may help to democratize access to information about the complex dynamics of repression and violence and connect efforts with young people and the broader public. In many countries, gaining access to information about past repression is challenging, especially for victims and their relatives, often due to geographical distances, time constraints, bureaucratic obstacles, and lack of knowledge.
In South America, the platform plancondor.org is a collaborative project between academics and activists in Uruguay, Chile, and Argentina. It collates in a single multi-language, open-access website the data regarding complex events that occurred under military rule in the region, with a specific focus on Operation Condor, an intelligence-sharing apparatus shared among repressive Southern Cone governments from the mid-1970s to the early 1980s. It brings together information from different sources, including criminal verdicts, archival documents, an interactive map of victims and database, and audiovisual productions, facilitating access to information and access to justice.
Development actors can play a role in promoting such efforts by "strengthening regulatory frameworks and fact checking systems, improving strategies and platforms to give as many people as possible a voice particularly victims and marginalised communities." 12 The UN Special Rapporteur on truth, justice, reparation and guarantees of nonrecurrence has highlighted the role of information gathering and knowledge management in operationalizing a "peoplecentered approach" to transitional justice. 13
Given its many potential contributions to development outcomes, international policy discussions have increasingly pointed to the need for more practical integration of transitional justice and sustainable development. The HRC, for example, has called on states to "consider using transitional justice processes as a strategic tool to sustain peace and pursue sustainable development," to "adopt a 'past-sensitive lens' in peace and development work," and "to design, fund and implement comprehensive transitional justice measures as part of their development efforts." 14 The African Union also sees transitional justice as a model for explicitly addressing development challenges. It therefore recommends including it in "development measures designed to rectify structural inequalities,
12 UNDP, "From Justice for the Past to Peace and Inclusion for the Future: A Development Approach to Transitional Justice," 2020, 51.
13 UN General Assembly, "Report of the Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recurrence, Fabián Salvioli. Sustainable Development Goals and transitional justice: leaving no victim behind," A/77/162, July 14, 2022, 18–20.
marginalization and exclusion for achieving social justice and equitable and inclusive development." 15
However, even if transitional justice directly addresses development challenges, "[it] alone is unlikely to achieve the desired outcomes without a more integrated approach," one that is connected to "broader policy agendas." 16 While transitional justice should address structural issues like systemic gender inequality, it "cannot necessarily overcome them on its own." 17 The UN Special Rapporteur has reiterated that "transitional justice alone cannot bring about change; other interventions in the areas of development and peacebuilding are needed to complement and continue the work on the ground." 18 Therefore, transitional justice should be envisioned as one of "multiple pathways towards dealing with legacies of abuse in collaboration with a broad spectrum of stakeholders." 19 Further, a "developmentoriented approach to transitional justice" is one that focuses on expanding people's choice and identifies specific areas of work in which development actors and practitioners should provide support. 20
At the regional policy level, the African Union and European Union have described responding to the past as a task that affects different political and social areas that should be mainstreamed in sectors such as health and education. 21 This aligns at a broader level with the "humanitarian-development-peace nexus approach," which focuses on synergies between fields and strengthening operational linkages between efforts, including by promoting human rights and inclusive governance and addressing structural inequalities. 22
Despite this general recognition, transitional justice often remains insufficiently understood and integrated in development policy and practice at the international, regional, national, and/or subnational levels. Its potential to bring about actual change is far from realized in terms of the support, implementation, and sustained engagement with reforms that it can catalyze. Too often, measures are adopted in limited, partial, or incomplete ways, leaving out important elements that a comprehensive approach would incorporate and, therefore, falling short
15 African Union, Transitional Justice Policy, February 2019, 1, 14.
16 2022 OHCHR Report, 12.
17 UNDP and UN Women, "Women's Meaningful Participation in Transitional Justice: Advancing Gender Equality and Building Sustainable Peace," New York, 2022, 60.
18 UN General Assembly, "Report of the Special Rapporteur, Fabián Salvioli," 21.
19 UNDP and UN Women, "Women's Meaningful Participation in Transitional Justice," 60.
20 UNDP, "From Justice for the Past," 10.
21 European Union-African Union Seminar on Transitional Justice (November 24-25, 2022, Gambia).
22 Council of the European Union, "Outcome of Proceedings: Operationalising the Humanitarian-Development Nexus – Council conclusions (19 May 2017)," Brussels, May 19, 2017 (OR. en), 9383/17.
Transitional justice often remains insufficiently understood and integrated in development policy and practice. Its potential to bring about actual change is far from realized.
of both satisfying victims and meaningfully contributing to peace and development.
An important part of the explanation for this is political. Transitional justice can elicit resistance and backlash, which often portrays efforts to address the past as being antithetical to future peace and development. While it is true that transitional justice can be a contentious, even divisive, arena, especially when it is seen to be exclusionary, illegitimate, or ineffective, such tensions may be addressed, minimized, or managed in the short term to the extent that they relate to process and impact. However, opposition to transitional justice often comes from vested political and economic interests and established, exclusionary structures of power, especially if transitional justice threatens to hold powerful actors to account or contribute to systemic change. It must be kept in mind, then, that the obstacles to transitional justice go beyond conceptual arguments and evidence of impact.
Given these conceptual, practical, and political considerations, this report outlines a more strategic approach to integrating transitional justice and sustainable development. The following sections highlight examples of specific practical and policy links between the two areas. They emphasize the need to make a convincing argument about the value of integration and reiterate the role of collective action, complex and multilevel responses, and long-term perspectives as part of such an approach.
Establishing Practical and Policy Links and Policy Links
Greater integration of transitional justice and sustainable development should include, where appropriate, the establishment of specific links in practice and policy. Reparation at the individual and collective levels, for example, can provide basic social services to victims and affected communities. For example, in Peru, reparations went beyond financial payments to include measures to improve Indigenous women's access to justice, better education, and medical care. Chile's comprehensive reparations program included a specialized health care system, educational scholarships, and pensions to prevent victims from falling into poverty over time. 23 In Guatemala's Sepur Zarco case, reparations combined monetary compensation and restitution with wider social measures such as health care and education in response to demands identified by survivors of SGBV themselves. 24
In countries such as Peru, Morocco, and Colombia, collective reparation programs have responded to communities that were targeted or affected by violence and/ or exclusion. In Tunisia, the transitional law mandates collective reparations for marginalized or "victim" regions. However, operationalization and implementation of most such programs have been only partial or minimal. In Colombia, those who commit conflict-related crimes who comply with transitional justice measures by acknowledging their responsibility and commit to full disclosure of the truth may participate in projects aimed at providing infrastructure for transport, health, education, and rural development to marginalized regions as part of the restorative sanctions that will be issued by the Special Jurisdiction for Peace. 25 More generally, mental health care and psychosocial support services for victims can also be integrated into development strategies, like livelihood projects.
In some contexts, however, practitioners and policymakers continue to make an overly rigid operational division between transitional justice and development. While maintaining a clear conceptual distinction between the two fields, the challenge is often that the commonalities and differences between them are insufficiently understood, articulated, and explained in a particular context. In Cambodia, for instance, requests from civil parties for health care, education, and infrastructure services (including construction of bridges, roads, and
23 Elizabeth Lira, "The Reparations Policy for Human Rights Violations in Chile," in The Handbook of Reparations, ed. Pablo de Greiff (New York: Oxford University Press, 2006).
24 SáCouto, Ford Ouoba, and Martin, "Documenting Good Practice" 80-84.
25 See Jurisdicción Especial Para La Paz (JEP), "Sección de Reconocimiento de Verdad y Responsabilidad Tribunal para la Paz, Lineamien tos en materia de sanción propia y Trabajos, Obras y Actividades concontenido Reparador – Restaurador," 2020; JEP, "JEP certifica obra reparadora elaborada por excombatientes de las Farc-EP en Viotá, Cundinamarca," Comunicado 017, 07 de marzo de 2023; JEP, "Tres historias para comprender los TOAR en la JEP," Comunicado 140, 19 de octubre de 2020.
irrigation systems) were common. However, they were gradually "pushed out of the consultative space" by lawyers and intermediary civil society actors who saw them as exceeding the reparation mandate of the Extraordinary Chambers in the Courts of Cambodia (ECCC), which was limited to collective and moral reparation, and more the purview of development efforts. 26 Further, in the ECCC's last trial, judges rejected a proposed reparation project that would have distributed loans for income-generating activities for elderly civil parties because of a strict interpretation of the ECCC's reparation mandate.
Integration can also be facilitated outside of transitional justice processes at the level of development planning, programming, and reporting. Development partners, including multilateral development banks, should be encouraged to adopt a "past-sensitive lens" in the design of their programs and allocation of funding. 27 Development actors, for example, can facilitate the integration of transitional justice measures into long-term strategic frameworks, "which can strengthen buy-in, coherence, and coordination across sectors and streamline resources from the national budget" and "promote more inclusive development planning processes that specifically include victims and other affected communities as well as marginalised groups and persons with disabilities." 28
Concrete examples include the incorporation of truth commission recommendations or other responses that address the needs and priorities of victims and affected communities into government development plans. In Colombia, for instance, the National Development Plan (2023) explicitly includes compliance with a number of the Colombian truth commission's recommendations. While the Follow-Up Committee for the recommendations will focus initially on relevant challenges and opportunities, the political and social debates surrounding the plan exposed the heavily contested nature of the proposed changes. Civil society has advocated for a greater level of commitment from the Colombian government than what was agreed to by Congress. In the Solomon Islands, the current National Development Strategy facilitates cooperation among stakeholders and provision of infrastructure needed to expand access to justice services for rural communities.
In Canada, Sierra Leone, and other contexts, truth commission findings and recommendations have been incorporated into national action plans on
women, peace, and security. 29 At the international development level, in 2019, Tunisia's Truth and Dignity Commission sent a memorandum to the International Monetary Fund and the World Bank about their responsibility for human rights violations committed in the country due to structural adjustment programs and other policies and called for apology, compensation, and multilateral debt cancellation. 30
In Uganda, civil society actors have used the opportunity of the government's Annual Sustainable Development Goals Conference to advocate for a human rights–based approach to data and evidence that emphasizes inclusion, participation, transparency, non-discrimination, and accountability; to increase awareness among national and international policymakers about access to justice for victims of conflict-related atrocities; and to discuss strategies for collecting and incorporating transitional justice-related data in the government's SDG Voluntary National Reviews (VNRs) and other processes, like the national census. 31 In addition, the Uganda Bureau of Statistics has developed a Citizen's Generated Toolkit that provides a standard approach for nontraditional producers of data, including civil society organizations working on transitional justice and the private sector, to contribute to the collection of SDG data. 32
This is in line with the call for states "to incorporate an assessment of progress on transitional justice in voluntary national reviews of implementation of the Sustainable Development Goals, including through consultations with civil society and victims' organizations." 33 While the UN Handbook for the Preparation of Voluntary National Reports does not refer explicitly to transitional justice processes or victims of human rights violations, it does emphasize the need to include vulnerable groups and engagement with human rights institutions on outreach efforts and outcomes. 34
29 Government of Canada, "Canada's Action Plan for the Implementation of United Nations Security Council Resolutions on Women, Peace and Security - 2017–2022," www.international.gc.ca/transparency-transparence/women-peace-security-femmes-paix-secu rite/2017-2022-action-plan.aspx?lang=eng; Government of Sierra Leone, The Sierra Leone National Action Plan for the Full Imple mentation of United Nations Security Council Resolutions1325 (2000) and 1820 (2008) (2019-2023), 2019, 18, www.wpsnaps.org/app/ uploads/2022/12/Sierra-Leone-2019-2023.pdf.
30 Instance Vérité & Dignité, "Mémorandum Relatif à la réparation due aux victimes tunisiennes des violations massives de droits de l'Homme et des droits économiques et sociaux dont la Banque Mondialeet le FMI portent une part de responsabilité," July 16, 2019.
31 Centre for Conflict Resolution, ICTJ, and Austrian Development Cooperation, "Enabling Peace, Justice and Inclusion for Sustainable Development: Lessons and insights Towards Achieving SDG16+: Uganda Annual Sustainable Development Goals Conference – Pre-Conference Meeting and Side-Event, Concept Note," June 2022.
32 Uganda Bureau of Statistics, "Citizen Generated Data Toolkit," Kampala, Uganda, 2020.
33 2022 OHCHR Report, 17.
34 UN Department of Economic and Social Affairs,Handbook for the Preparation of Voluntary National Reviews, 2023 Edition, 2022.
Several recent VNRs have reported on transitional justice efforts:
l The Central African Republic's 2023 VNR referred to the country's Truth, Justice, Reparation and Reconciliation Commission, Special Criminal Court, and local peace and reconciliation committees. 35
l The Gambia's 2022 VNR referred to its national transitional justice program and related legislative reforms as well as the Gambian Truth, Reconciliation and Reparation Commission's report and the government's white paper accepting its recommendations. 36
l Liberia's 2022 VNR referred to its national human rights commission's actions to promote memorialization and accountability for victims and crimes of the civil war. 37
l Colombia's 2021 VNR reported on the implementation of compensation and other forms of reparation for victims of the conflict and collective reparations provided to communities and groups that suffered collective damage during the conflict (noting that more than 50 percent of reparations were still pending). 38
l Sierra Leone's 2019 VNR included progress on efforts to provide reparations, rehabilitation, and access to medical facilities for war victims. 39
l Timor-Leste's 2019 VNR emphasized reconciliation as an overarching objective and the role of the country's truth commission and the incomplete implementation of its recommendations. 40
l South Africa's 2019 VNR reported on its efforts to address the legacies of apartheid, including exclusion and unequal distribution of land, through the provision of a social safety net. 41
35 Government of the Central African Republic, "Rapport national sur les 5 objectifs du développement durable retenus Pour le Forum Politique de Haut Niveau," 2023, 40–41.
36 Government of The Gambia, "The Gambia: Voluntary National Review Report on the Implementation of the 2030 Agenda for Sustainable Development," 2022, 24, 26, 53.
37 Government of Liberia, "Liberia: Voluntary National Review of the Goals of the 2030 Agenda 2022," 2022, 65.
38 Government of Colombia, "Acelerarla Implementación Para Una Recuperación Sostenible: Reporte Nacional Voluntario 2021," 2021, 60.
39 Government of Sierra Leone, Ministry of Planning and Economic Development, "2019 VNR Report on SDGs in Sierra Leone," 2019, 22.
40 Government of Timor-Leste, "Report on the Implementation of the Sustainable Development Goals: From ashes to reconciliation, recon struction and sustainable development, Voluntary National Review of Timor-Leste 2019," 2019, 37.
41 Government of South Africa, "2019 South Africa Voluntary National Review: Empowering People and Ensuring Inclusiveness and Equality," 2019, 82, 116.
Making the Case
for Integration
E stablishing links between transitional justice and broader development agendas at the level of practice and policy requires convincing relevant actors and stakeholders of the need for and value of such integration. If transitional justice is to be seen as a strategic tool of development, then its empirical impact on development outcomes should be demonstrated where possible. This is an ongoing and complex challenge, but it is an area where the understanding of the realistic use of data and evidence is constantly improving. The HRC has pointed to the need “to enhance data collection to measure impact and progress, including by using the Sustainable Development Goals framework.” 42
However, while the field of transitional justice may have insufficiently focused on demonstrating the outcomes of transitional justice measures empirically, "measuring impact and causality in this area is particularly difficult." 43 In contexts like the Solomon Islands, for example, the importance of this kind of data may be recognized, but its use may be limited by the lack of its availability, the lack of coordination among stakeholders to ensure that data is shared, and the lack of personnel or resources needed to turn the data into a tool to advance shared objectives. In general, the complex and political nature of transitional justice processes, combined with contextual factors (such as limited state capacity to collect and report data and limited space for civil society to monitor processes) present practical challenges for measuring results. This calls for more appropriate methods and tools, including open-ended, adaptive, and qualitative approaches. 44
At the same time, making the case for further integration of transitional justice and development should not depend solely on demonstrating transitional justice's empirical impact. It can also draw on examples of contexts where a clear need exists for an integrated response and risks of failing to provide it. In Zimbabwe, for instance, after the Matebeleland region suffered extensive post-independence violence, inhabitants often attribute the region's current marginalization and lesser development to the absence of a process to deal with the legacy of that violence.
If development policy is to become more victim sensitive and past sensitive, stakeholders must make a compelling argument about where this approach could make a difference. In Peru, for example, the Truth and Reconciliation Commission demonstrated a clear connection between vulnerability to political violence and
42 HRC Resolution A/HRC/51/23, 5.
43 2022 OHCHR Report, 13.
44 Mateo Porciuncula, "Measuring Results and Monitoring Progress of Transitional Justice Processes," ICTJ and Knowledge Platform Security and Rule of Law, 2021.
If development policy is to become more victim sensitive and past sensitive, stakeholders must make a compelling argument about where this approach could make a difference.
human rights violations and related economic crimes on the state's capacity to meet its obligations related to sustainable development. 49
exclusion (at both the individual and regional levels). 45 The country's failure to fully address this connection has contributed to the persistence of social conflict around basic economic, social, and cultural rights for two decades. 46 More recently, the mapping of sexual violence that occurred in Iraq from 2003 to 2018 identified not only the forms and patterns of violence, but also the structural causes that enabled sexual violence against women, including marginalization and discrimination. 47 In 2019, the Independent International FactFinding Mission on Myanmar established a direct connection between the lack of gender equality more generally in the country and ethnic communities and SGBV rates, with impunity for violence exacerbated by gender inequality. 48 In 2021, the Commission on Human Rights in South Sudan observed a direct and negative impact of
45 Government of Peru, Hatun Willakuy – The Final Report of the Truth and Reconciliation Commission, August 28, 2003, https://www.ictj. org/sites/default/files/subsites/peru-hatun-willakuy-en/
46 Julie Guillerot, "Alive in the Demand for Change: Transitional Justice and Prevention in Peru," ICTJ, 2021.
47 Iraqi Al-Amal Association, Impunity Watch, and PAX, "Sexual and Gender-Based Violence in Iraq 2003–2018: Executive Summary," 2020, 15–19.
48 HRC, "Sexual and Gender-Based Violence in Myanmar and the Gendered Impact of Its Ethnic Conflicts," A/HRC/42/CRP.4, August 22, 2019, 3, 13–17.
49 Human Rights Council, "Human Rights Violations and Related Economic Crimes in the Republic of South Sudan. Conference Room Paper of the Commission on Human Rights in South Sudan," A/HRC48/CRP.3, September 23, 2021, 1, 40–41.
Collective
Action
Collective action among victims' groups and networks and other civil society actors is critical to transitional justice and its contribution to and integration with sustainable development. As the HRC has emphasized, civil society plays a fundamental role in transitional justice through its engagement, activism, advocacy, mobilization, and capacity building. 50 In South Sudan, the Justice Advisory Group offers a recent example. It has brought together national and international civil society organizations to advocate for transitional justice, develop implementation strategies, and feed into transitional mechanisms through a victim-centered approach to building a national platform. International networks, such as the International Network of Victims and Survivors of Serious Human Rights Abuses (INOVAS), can facilitate victims' participation and empowerment across countries. 51
These collective efforts are often most effective when they bring together a range of groups—including victims', women's, indigenous, youth, labor, and religious organizations—and other actors into broad coalitions, alliances, networks, platforms, and movements. 52 While keeping the focus on victims and facilitating participation, 53 this type of broad collective approach can make governments pay closer attention to the agenda of a single actor or more narrowly focused initiative than they otherwise would have. The UN Special Rapporteur has referred to these efforts as "movements for change" and encouraged further study of their role of in transitional justice. 54
The extent to which such efforts constitute or connect to broad social movements may be especially relevant to the integration of transitional justice and development, because they may make changes in development outcomes more likely. For example, the implementation of measures such as collective reparation (which can include public and infrastructural services or other development projects) or other broad reforms recommended by truth commissions is often
50 HRC Resolution A/HRC/51/23, 4; 2022 OHCHR Report, 8.
51 Other collective action examples include the Mothers and Grandmothers of Plaza de Mayo (Argentina), the National Platform for Victims and Survivors (Guatemala), the Conflict-Affected Women's Network (Nepal), the Khulumani Support Group (South Africa), the Congolese Coalition for Transitional Justice (Democratic Republic of the Congo), and many others. See 2022 OHCHR Report, 8; UN General Assembly, "Report of the Special Rapporteur, Fabián Salvioli," 14; Impunity Watch and International Network of Victims and Survivors of Serious Human Rights Abuses, "Reparations as a Catalytic Power to Change Victims' and Survivors' Lives: Perspectives and Contributions from the Grassroots Level," 2022.
52 See, for example, UNDP and UN Women, "Women's Meaningful Participation in Transitional Justice," 17.
53 UN General Assembly, "Report of the Special Rapporteur, Fabián Salvioli," 14; UNDP and UN Women, "Women's Meaningful Participation in Transitional Justice," 17, 36.
slow, partial, or nonexistent. 55 Broad social movements may be more likely to have an impact here, because the implementation of such measures necessarily goes beyond transitional justice and requires the capacity, resources, and support or consensus of a wider range of stakeholders and institutions. "The creation of broad government and civil society coalitions and platforms for transitional justice is essential for comprehensive and sustainable outcomes." 56
For transitional justice stakeholders, then, it can be important to unite immediate goals, such as redress, acknowledgment, and accountability, with the broader goal of transforming the state—which can enable them to connect to broader social movements, gain more force, and connect younger generations to their cause. In this sense, there is a need to incorporate a "past-sensitive lens" into "joint advocacy" in order to facilitate change at the societal level. 57 The National Platform for Victims and Survivors in Guatemala, for example, lobbies for reparations but also engages in activism on broader social issues, while the Khulumani Support Group in South Africa, which campaigns for truth, healing, and redress for victims, helps local communities and organizations to find financial support for livelihood projects. 58
Establishing such unity can be difficult because different actors may have different or conflicting priorities and strategies. In Nepal, for example, the National Network of Victims and Survivors of Serious Human Rights Violations opted to engage with the government at the local and national levels to push for truth, recognition, and material support, while some human rights groups have chosen to denounce the government over lack of prosecutions.
Given the centrality of gender equality to sustainable development, approaches to transitional justice that aim to address gendered experiences of harm and access to justice and help change underlying structures of discrimination are inherently development efforts. As such, these gender-transformative approaches often demonstrate the importance of political mobilization of women. Mobilization among survivors can promote recognition through justice measures, but also help to call out structures like hegemonic or militarized masculinities that undermine the fight against impunity or structures that sustain inequality. 59 Efforts to transform militarized and violent masculinities should, therefore, also form part
55 UN General Assembly, "Report of the Special Rapporteur, Fabián Salvioli," 15.
56 UNDP, "From Justice for the Past," 60.
57 2022 OHCHR Report, 16.
58 UN General Assembly, "Report of the Special Rapporteur, Fabián Salvioli," 15; Impunity Watch and INOVAS, "Reparations as a Catalytic Power to Change Victims' and Survivors' Lives," 21.
59 UN General Assembly, "Report of the Special Rapporteur, Fabián Salvioli," 22.
of gender-transformative approaches. 60 At the domestic level, women's or feminist movements that incorporate transitional justice objectives can constitute "an essential force behind political change" by building coalitions, embracing diversity, and mobilizing "under a collective umbrella." 61 These alliances and movements need support, resources, and localized strategies. 62
The Conflict-Affected Women's Network in Nepal, for example, provides an example of leadership building among women across different generations and castes, which can help transform structures of inequality. 63 In Guatemala, the significance of the Sepur Zarco case, in which the strategic alliance among organizations with different mandates and strengths underpinned the success of the case, 64 lies not only in transitional justice processes but in helping to close the broader justice gap for marginalized women. 65 Further, in helping women to be comfortable enough to publicly file a claim in the face of entrenched stigmatization, the provision of psychosocial support helped to foster trust in the coalition of organizations—"trust that would be critical in pursuing justice in the legal system." 66 more likely.
Connecting to broad social movements may be especially relevant, because it may make changes in development outcomes
60 Impunity Watch, "Transforming Militarised Masculinities: A Global Responsibility for a More Just and Peaceful World" (2023).
61 UNDP and UN Women, "Women's Meaningful Participation in Transitional Justice," 36.
62 SáCouto, Ford Ouoba, and Martin, "Documenting Good Practice," 125.
63 Impunity Watch and INOVAS, "Reparations as a Catalytic Power to Change Victims' and Survivors' Lives," 13.
64 SáCouto, Ford Ouoba, and Martin, "Documenting Good Practice," 125.
65 UN Women, IDLO, World Bank, and Task Force on Justice, "Justice for Women High-Level Group Report" (2019), 62.
66 SáCouto, Ford Ouoba, and Martin, "Documenting Good Practice," 123.
Multilevel Responses to
Complex Problems
If transitional justice is to be better integrated into broader development policy and practice, it is important to keep in mind the complexity of the problems being addressed, their interrelationships, and the need for transitional justice to provide appropriate multilevel responses. In an interdependent world, violence and displacement, for example, are directly and indirectly connected development problems with dynamics that play out at different levels, from the individual, local, and informal to the collective, institutional, and national, regional, and global. Viewing transitional justice through a sustainable development lens can clarify where and how it can make a greater difference to these issues, especially in terms of participation, access to justice, and inclusion.
Displacement is a clear example of a complex, development-related problem that requires complex, multilevel responses. While it has previously been shown that transitional justice can contribute to durable solutions for the displaced, especially the reintegration of displaced persons into their communities, 67 the majority of persons who have left their countries due to circumstances relevant for transitional justice (serious human rights violations, war crimes, and crimes against humanity) are unlikely to return to their home countries later, despite political transitions. Transitional justice mechanisms, therefore, have to increasingly take into account the fact that their target audience and sources of information may include citizens living in diaspora. Refugees and migrants have important stories to tell, not only about the violation of their human rights, but also the impact of having to flee for their lives. Yet, it is common for truth-telling processes to exclude displaced persons who remain across borders.
Colombia's truth commission was the first of its kind to systematically and broadly engage with persons residing all over the world who had fled the country due to armed conflict. To ensure their participation, working groups were created in 23 countries, taking into account the unique circumstances, capacities, and gaps in each country. The lessons learned from this effort included the need for the provision of professional psychosocial support for victims and survivors among the diaspora and that acknowledging the complexity of migratory experiences is important to ensure meaningful participation in truth-telling processes. This demonstrates how places outside of the country where violence and abuse occurred are relevant to transitional justice, including the role of
host country governments and civil society, thus underscoring the value of transnational relationships in realizing justice goals. 68
Addressing SGBV is a similarly complex challenge that demonstrates the need for transitional justice to engage with development at multiple levels. In contexts where SGBV cases often do not progress to the formal justice system, engaging informal justice actors may increase access to justice through the establishment of a coordinated multisectoral referral-and-response mechanism between formal and informal justice systems as well as capacity development activities to build knowledge and skills among informal justice service providers. In South Sudan, where gender-based violence is mostly addressed through the customary justice system, the 2018 peace agreement laid the groundwork for establishing a specialized court to deal with conflict-related gender-based violence, which may help to mitigate challenges faced by survivors in accessing justice. 69 In Kosovo, 70 the government authorized civil society organizations to support survivors of conflict-related sexual violence (CRSV) in the process of applying for reparations, with the specific intention of creating a safer and more enabling environment for CRSV survivors to apply. 71 It is of utmost importance, however, that in all circumstances the perception of selectivity is avoided and the social integration function of transitional justice is emphasized, which can be assured through politically sensitive approaches, particularly in divided societies.
The links among different levels of responses are even more important for international justice processes that can otherwise be far removed from the specific needs of survivors. International criminal proceedings can serve as a forum for establishing a narrative of events and condemning atrocities, including SGBV, especially if practices such as the ICC's victims' participatory rights scheme are respected, comprising the provision of well-being and safety, the right to receive reparation, and participation in proceedings. In this regard, the ICC Office of the Prosecutor recognizes and aims to support the role that local civil society plays in documenting SGBV and providing medical, psychosocial, material, and legal support to victims. 72 Similarly, the 2022 gender strategy for the International, Impartial, and Independent Mechanism for Syria includes collaboration with women's groups in Syria, to better understand the gender
68 Andrea Grossenbacher and Hannah Elias, "Participation of the Diaspora in the Colombia Truth Commission," The Swiss Platform for Peacebuilding (KOFF), 2020, 9, 10.
69 IDLO and Global Women's Institute, "Survivor-Centred Justice for Gender-based Violence in Complex Situations: Research report in formed by case studies from Afghanistan, Honduras, Papua New Guinea, the Philippines, South Sudan, and Tunisia," 2022.
70 All references to Kosovo in this report are understood to be in the context of United Nations Security Council resolution 1244 (1999).
71 UN Women, "First Applications in for Long-awaited Compensation for Conflict-related Sexual Violence Survivors in Kosovo," 2018.
72 The Office of the Prosecutor, ICC, "Policy Paper on Sexual and Gender-Based Crimes," June 2014, para. 107.
MHPSS demonstrates the necessary complexity and multilevel nature of integrated justice and development responses.
dynamics of the context and the impact of gender-based violence. 73
The case of sexual violence committed against Maya Achi women in Guatemala showed how women not only suffered violence for being women but also for being Indigenous. The lawsuit against those responsible for the crimes was led by Indigenous female lawyers, in close coordination with the survivors. This case and others highlight how a multilevel approach that combines active survivor participation in the justice process and legal work with social, political, and communication strategies in strategic litigation processes can help to identify and transform intersecting inequalities by producing societal awareness that can promote changes in laws and policies. 74
Customary and informal justice and reconciliation practices and other community-based responses are relevant to addressing displacement, SGBV, and other elements of communal violence that affect social relationships, as demonstrated in Myanmar, Northern Ireland, the Philippines, Sierra Leone, South Sudan, Timor Leste, and Uganda. They can offer forms of accountability, acknowledgment, and redress that are accessible, culturally relevant, and efficient, often drawing on restorative justice principles and prioritizing reconciliation. At the same time, the potential shortcomings of customary and informal practices are significant. They can include the exclusion of women and young people due to patriarchal and conservative norms and institutions and the lack of necessary systems to protect victims who participate in informal mechanisms against physical and psychological harm and/or stigmatization. 75 While customary practices may not have been initially established to address serious human rights violations, the absence of more viable formal justice processes means that in some cases they do. Transitional justice frameworks at the national and regional levels—as in South Sudan's peace agreement and the African Union Transitional Justice Policy—can offer clarity, guidance, and standards for the role of customary and informal justice in such contexts. 76 In Northern Ireland, in the context of wider peacebuilding, community-level
73 IIIM-Syria, "IIIM Gender Strategy and Implementation Plan," United Nations, September 2022.
74 Impunity Watch, "Strategic Litigation in Cases of Gross Human Rights Violations in Guatemala: Impact and Lessons Learned," 2022 and Impunity Watch, "Sentence in the Maya Achí Women's Case: Summary," 2022.
75 See, for example, OHCHR, "Human Rights and Traditional Justice Systems in Africa," 2016.
76 Revitalized Agreement on the Resolution of the Conflict in the Republic of South Sudan, Article 18.104.22.168.8; AU, Transitional Justice Policy, 12.
responses address the reintegration of former combatants, memorialization, and the provision of services based on victims' needs. 77
MHPSS is relevant here again because it demonstrates the necessary complexity and multilevel nature of integrated justice and development responses. While the Colombian truth commission's approach highlights the importance of providing psychosocial support to processes with a transnational element, it is also critical at the individual and community levels. In Syria, for example, the Association of Detainees and the Missing in Sednaya Prison created the Family Centre, a psychosocial support clinic that provides former detainees, survivors of torture, and families of the missing and detained with individual and collective therapy. It uses arts to empower victims to tell and share their stories, create relationships with other victims, and rebuild the community's social fabric. It addresses both individual trauma and the collective social effects of violence. Psychosocial support of this kind is often mainly provided by civil society, which may have the commitment and trust of victims but lack resources and skills. This suggests that development support could play a larger role in building complementary state capacity on the issue.
Psychosocial support can also target the institutions and people responsible for abuses, with an eye to prevention. Contexts with recurring cycles of violence show that abusive behavior by members of the security sector is often related to security sector personnel's own traumatic experiences. The CAPAMI Foundation in Burundi provides MHPSS to police officers because unaddressed trauma may lead to disproportional, uncontrolled, and abusive use of power. By the same token, in Colombia work is being done with former combatants from the armed rebel group the FARC-EP to shape new masculinities. 78
It is also increasingly recognized that, in the context of a transitional justice mechanism, raising awareness among and training investigators, prosecutors, and others interacting with victims and vulnerable witnesses is a critical element of any MHPSS strategy. Examples from Rwanda, Sierra Leone, and Iraq show the positive impact of integrating a training and support element for victims and those interacting with victims. In Rwanda, for instance, training of women's associations helped victims of CRSV to share their experiences in group sessions and eventually come forward to testify in (local) justice mechanisms. In Sierra Leone's Truth and Reconciliation Commission and the SCSL, extensive attention was given to raising awareness among and training staff who interact with witnesses and victims, especially children.
77 UN General Assembly, "Report of the Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recur rence on his mission to the United Kingdom of Great Britain and Northern Ireland," A/HRC/34/62/Add.1, November 17, 2016, 18–20.
Long-Term
Engagement
While transitional justice is still broadly understood as an extraordinary response to extraordinary situations, its operationalization and impact often play out over the long term, especially regarding its interaction with development outcomes and policy. Transitional justice should therefore be seen more as a process requiring a multitude of responses over a long period of time, rather than a "oneoff" response to specific events of mass human rights violations. States have been called on to recognize "the long-term nature of transitional justice processes," 79 and more specifically to "ensure strategic and long-term planning," both because transitional justice processes themselves can unfold over generations and because they are dependent on the preconditions, opportunities, and challenges presented by changing political, institutional, and security contexts. 80
Moreover, the structural, institutional, social, and cultural changes sought by a transformational or development-oriented approach to transitional justice take place in "multigenerational time-frames." 81 Building trust between society and the state, facilitating the inclusion of previously excluded groups, and addressing trauma and social problems, like substance abuse, are inherently long-term processes. In this regard, establishing a programmatic link at the national level between transitional justice processes and the SDG framework may help to make resources available and advance shared objectives as the political situation and other circumstances change over time. 82
One of the clearest examples of the potential integration of transitional justice and development is the implementation of truth commission recommendations. Truth commissions often recommend reforming the structures that have driven violence and conflict and hinder or skew development. Implementing these reforms can be a long-term undertaking that involves a range of actors and pathways that depends on specific long-term funding and investment from national and international partners as well as political support.
In 2004, Sierra Leone's truth commission published its final report that included wide-ranging recommendations. Since then, the country has made gradual progress in implementing the recommendations. As recently as 2022, its parliament passed legislation on gender equality and land rights. The Gender Equality and Women's Empowerment Act makes provision for increased elected positions
80 2022 OHCHR Report, 12-13.
81 UNDP and UN Women, "Women's Meaningful Participation in Transitional Justice," 60.
for women, promotion of gender equality in employment and training, implementation of gender mainstreaming and budgeting, and greater access to finance for women. The Customary Land Rights Act provides for the protection of customary land rights, the elimination of discrimination under customary law, and the management and administration of land subject to customary law. In the Solomon Islands, efforts to rehabilitate people and reform national structures have fallen through due to a lack of proper long-term planning. As part of the country's efforts to rehabilitate those affected by ethnic tensions (1998–2003), people were promised compensatory payments for their losses, only to receive compensation well below what they
One of the clearest examples of the potential integration of transitional justice and development is the implementation of truth commission recommendations.
expected, leading to dissatisfaction and a lack of rehabilitation over time.
In Guatemala, appropriate mechanisms were set up to combat deeply rooted impunity and corruption, which are major obstacles to sustained peace and development. Recently, however, mechanisms like the International Commission Against Impunity in Guatemala were dismantled and international support was withdrawn. A process of state capture has taken place in which an alliance of corrupt politicians, economic elites, organized crime, and the military undo important reforms. The peace framework has been weakened and the mechanisms for women that were created in compliance with the peace accords are being cornered. The work of civil society is becoming more difficult, while independent justice operators have been forced to leave the country or face persecution, threats, or arrest. In this process, the law itself is used as an instrument to undermine judicial independence and the rule of law, which in turn affects development by leaving those most marginalized unprotected. This is shown, for example, in the high number of environmental rights defenders who have been killed in Guatemala in the last decade and the high rate of femicide and other forms of violence against women. The case of Guatemala also illustrates the need for ongoing political support, including through strong international monitoring to accompany processes of democratic change, as well as the need to initiate and support (judicial) reform efforts that seek to dismantle state capture.
Experience in the Western Balkans also demonstrates that long-term engagement requires attention to education, especially around history curricula and memorialization. The problem, however, is that after many years of engagement, there is often fatigue within the international community to further invest resources and political capital in long-term "past-sensitive" development interventions, which undermines prevention and the promise to victims and society of "never again." 83
Conclusion and
Recommendations
Despite the increased recognition of transitional justice's conceptual value to sustainable peace and development, it often remains inadequately integrated into development policy and practice at the international, regional, national, and subnational levels. Its potential to bring about actual change is far from realized in terms of support, implementation, and sustained engagement with the reforms that it can catalyze. Measures that are limited, partial, or incomplete often leave out important elements of a comprehensive approach, falling short of both satisfying victims and meaningfully contributing to peace and development.
This report facilitates this realization, building on current policy discourse in substantive ways by aggregating relevant experiences, practice, and insights of a range of stakeholders. Taking into consideration the relevant conceptual, practical, and political challenges and opportunities and drawing on the work and experience of members of the Working Group, it seeks to contribute to a more strategic approach to integrating transitional justice and sustainable development. It recommends that such an approach include the following elements:
l Continued reiteration of the relevance of transitional justice to the SDG framework— including to issues of access to justice, rule of law, inclusive institutions, violence prevention, corruption, education, access to information, gender equality, and equality—and the specific pathways through which transitional justice can make a difference. This includes by increasing agency, empowerment, social trust, and inclusion and addressing and transforming the structural causes or drivers of serious violations.
l Further emphasis on an approach to transitional justice that enhances its contribution to sustainable development. This can be achieved to the extent to which transitional justice measures are designed and implemented to be context specific, comprehensive, victim centered, participatory, gender sensitive, innovative, politically feasible, transformative in its ambitions, and adaptive to the cross-cutting issues of mental health and psychosocial support and access to information.
l Greater establishment of the specific links between transitional justice and development work in practice and policy. This includes, for example, the provision of social services, infrastructure, livelihood projects, and psychosocial support to victims and affected communities within a reparative justice framework as well as the incorporation of goals and progress related to truth
commission recommendations, reparations, and the needs and priorities of victims into development plans and reporting processes.
l Making a more convincing case to those in charge of both transitional justice and development policy and the broader society of the value of further integration of transitional justice and development—drawing on conceptual links, data and evidence of impact, and examples of the relationship between violations and structures, while also acknowledging the political obstacles to change in the form of resistance and backlash that may frame transitional justice as in opposition to peace and development.
l Strengthened collective action and a shared political agenda among victims' groups and networks, other civil society actors, and broader social and political movements to generate the advocacy, mobilization, agency, and support needed to both address immediate harms and transform structures of exclusion and inequality.
l Increased incorporation of transitional justice into responses at multiple levels, from the local to the national, regional, and global, and through both formal and informal institutions, that more fully address the scope and complexity of development problems, such as displacement, SGBV, and psychosocial harm.
l Adoption of a long-term, victim-centered, and inter-generational perspective on the monitoring, operationalization, and impact of transitional justice in order to maintain the support and engagement necessary to enhance and assess its role in bringing about meaningful change, including through the implementation of formal initiatives such as truth commission recommendations and through informal initiatives at the societal and community levels.
Toward
Change
Victim-Centered
Change
Integrating Transitional Justice into Sustainable Peace and Development
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BBBBOND MARKET ARKET RRRREVIEW EVIEW
Ju Ju Ju Julylylyly 22227777, , , , 201 201
201 2017777
Moderate Ado about Nothing
Like recent Congressional actions, the FOMC voted to do nothing. However, unlike for Congress, it was unanimous. FRB Minneapolis President Neel Kashkari had voted against the June hike in favor of leaving policy unchanged. This time, as widely expected, the Fed left interest rates alone but signaled their intention to begin to reduce their balance sheet "relatively soon." The Fed has been maintaining its $4.5 trillion balance sheet by reinvesting debt assets as they rolled off or matured. With their intention to soon reduce holdings, the FOMC changed their language to: "For the time being, the Committee is maintaining its existing policy of reinvesting principal payments from its holdings of agency debt and agency mortgage–backed securities in agency mortgage–backed securities and of rolling over maturing Treasury securities at auction." The crafting of the language allows the Fed a lot of latitude in starting the downsizing at any time, or delaying that decision for as long as they please.
Earlier this year, the Fed was expected to hike 4 times in 2017 – in March, June, September, and December. Coming into this week's FOMC meeting, the market–based odds for the next hike were instead biased to March of 2018. The lack of inflation and the evidence that recently weaker price gains appeared to be more than 'transitory' left those odds for more hikes in 2017 at only 41.8% through today. The next two meetings, September and November, would appear to be 'non–events' as well with minimal 4.1% and 4.9% market reads for a hike. Japan has struggled to revive inflation for years, and their central bank participants just downgraded their 'dot plot' equivalents. Their inflation rate is stalling at .40%, while they, like the European Central Bank and our Fed, expect that tighter labor markets will begin to lift wages and inflation. The FOMC changed their statement to reflect that "overall inflation and the measure excluding food and energy prices have declined and are running below 2 percent." The previous statement said inflation "has declined recently", implying a more temporary effect. We think the language capitulates to an expected longer time before inflation will run at or above the Fed's previously–stated 2% goal.
The Q2 GDP estimate from the Atlanta Fed GDP–Now forecast rose to 2.8% today on improved Durable Goods Orders and a narrowing trade balance. Until today, it had been 2.5% which was also the current consensus for this Friday's release. That was revised to 2.7% after today's data. GDP for Q1 2017 was originally released at only .70%, but then revised higher to 1.20% and finally 1.40% as the results for personal consumption were upgraded. So, if the economy only grew .35% in Q1 and .675% in Q2, since those are annualized numbers, it just remains in the 'modest to moderate' category. That makes it hard to see what the FOMC is excited about. With those growth numbers and recently–challenged inflation, there appears to be little danger of the Fed 'getting behind the curve' or any risk of the U.S. economy 'overheating'. The Fed may have even 'jumped the gun', but it's clear they wanted to get off of zero. They now have a little ammo if things once again slow down. Though continued foreign demand for U.S. debt could lessen the impact, reducing the Fed's balance sheet would further reduce stimulus – even without additional hikes.
Looking Ahead
* The BMR equity cycles show better positive energy from July 18th into August 1st.
* Bond yields should be lower into August 9th and August 15th. We expect yields to rise out of that window.
Treasuries, Agencies, and MBS
The Bond Market Review yield cycles point to lows on August 9th and the 15th. That window would be the best time to take profits and/or hedge portfolios for an expected larger increase in yields. Last week, yields fell to their lowest levels since June 28th. Yields dropped by 1.5, 6.5, 9.5, and 11 bps for the 2, 5, 10, and 30–year Treasury sectors. 10–year yields had risen over 10 bps this week, but a post–Fed rally left them higher by only half. Yields were again higher today, leaving them up by 2.5, 5, 7.5, and 11 bps for the 2, 5, 10, and 30–year sectors.
Last week, MBS spreads (FNMA 30–year 3%) widened by 2 bps. Tuesday's 2–year note auction brought the highest yield since the October 2008 offering, with $26 billion coming at 1.395%. Demand was the highest since the November 2015 auction, and foreign accounts (including central banks) accounted for 58.5% of the issue versus 56.6% during the June auction. Wednesday's 5–year note auction brought 1.884% for $34 billion in supply. Demand was the best since May, and foreign buyers were allotted 69.8% of the issue versus 65.2% last month. That was the second highest allotment noted since records began in 2003. Today, the Treasury sold $28 billion 7–year notes at a 2.126% yield – the highest since March. Demand was the best since the May offering, and again foreign buying rose to June – up from 65.4% to 67.7% for this auction.
07/21/17 Treasury Yield Curve 2-Year: 1.342%
5-Year: 1.804%
10-Year: 2.238%
30-Year: 2.809%
Weekly Yield Change: –.016% –.063% –.095%
–.111%
Support: 1.380/ 1.405/ 1.430/ 1.455 1.870/ 1.890/ 1.920/ 1.955 2.325/ 2.345/ 2.365/ 2.385 2.940/ 2.965/ 2.990/ 3.010%
Targets: 1.365/ 1.340/ 1.320/ 1.305 1.840/ 1.820/ 1.785/ 1.750 2.290/ 2.260/ 2.250/ 2.230 2.920/ 2.895/ 2.875/ 2.855%
Bond Market Review 07/27/2017 Page 2 – Issue #810
Economics
Initial Jobless Claims rose from 234K to 244K – but remain near multi–decade lows. Continuing Claims fell 17K to 1,960K. Consumer Confidence surged after the 2016 election, but had eased over the past few months. Though revised lower from 118.9 to 117.3 for June, the Conference Board confidence readings surged to a 4–month high of 121.1 – beating expectations by nearly 5 points. Expectations 6 months out rose from 99.6 to 103.3. The impressive measure was Present Conditions, which rose from 143.9 to a 16–year high of 147.8. At least temporarily, the surge is back. After hitting a 9–month low or 47 a few weeks ago, Bloomberg Consumer Comfort rose to 47.6 and then 48.6 this week – also confirming those better sentiment readings. The Chicago Fed National Activity Index rose from –.30 to +.13, and Richmond Fed Manufacturing improved from 11 to 14. Kansas City dropped 1 point to 10. Wholesale and Retail Inventories each rose .60% in June. Orders for Durable Goods rose 6.5% in June, after being revised to only a .10% drop for May instead of .80%. Ex Transportation, orders rose .20%, and were revised (and doubled) from .30% to .60% for May. Capital Goods Orders fell .10%.
New Home Sales improved by .83% in June to 610K, but only because May data was revised down from 610K to 605K. However, turnover is improving as new homes spent less time on the market than for another May since records began. Sales of Existing Homes fell 1.78% in June to a 5.52M unit pace – and were also .90% lower versus last June. The median sales price rose to a record $263,800. The FHFA House Price Index rose .40% in May. Metro home prices were only .10% higher, slowing the annual pace of the S&P Case–Shiller 20–City index from 5.77% to 5.69%. The annual pace of home price gains also pared back from 5.65% to 5.58%.
Friday is set for the first release of Q2 GDP and Personal Consumption, and the University of Michigan sentiment surveys. Monday (07/31) closes out July trading with Pending Home Sales for June, Chicago Purchasing Managers, and Dallas Fed Manufacturing Activity. Tuesday kicks off August with Personal Income and Spending for June, July Vehicle Sales, June Construction Spending, the PCE Deflator (one of the Fed's favorite inflation gauges), and ISM data for the Manufacturing–sector outlook, Prices Paid, New Orders, and Employment (a first look into July payrolls). Wednesday gives us MBA Mortgage Applications (which last week rose by .40%) and a second look into next Friday's July payroll numbers from ADP Employment Change (private payroll data).
Equities
Another day, and more record highs for U.S. stocks. While the Dow was 85.54 points higher today, the Nasdaq and S&P made new highs only to reverse lower – with the Nasdaq experiencing the largest loss. Most indices closed lower, although the NYSE was only down by .01%. Longer cycles are showing an important top due near August 31st, and a large selloff for the last 3 weeks of December with a major low due near the 28th. After that, we should rally into early March.
Last week, the Dow Industrials lost 57.67 points or .27% to 21,580.07 while most other indexes saw gains. The roles are reversed this week, with the Dow leading the way 1.00% higher. The S&P rose 13.27 points or .54% to 2,472.54, and is .12% better this week. The Nasdaq gained 75.29 points or 1.19% to 6,387.75, but is .09% lower this week. The Dow Transports lost 2.79%, and are 2.97% lower this week. Bank stocks lost 1.58%, but were .77% better into today.
Resistance: Dow: 21,794/ 21,866/ 21,941/ 22,014 Nasdaq: 6,398/ 6,438/ 6,478/ 6,518 S&P: 2,484/ 2,496/ 2,509/ 2,521
Support:
21,719/ 21,647/ 21,571/ 21,498
6,358/ 6,320/ 6,278/ 6,238
2,460/ 2,447/ 2,429/ 2,409
Other Markets
After surging 5.22% into July 14th, Crude Oil lost 1.65% last week. However, it's up another 7.14% this week – reaching the highest levels since the end of May (to $49.04/barrel). Commodities rose .21%, but have risen 2.54% this week on the strength in Crude. Gold gained 2.23%, and is .41% better this week. The U.S. Dollar fell 1.32%, reaching the lowest lows since June 2016. It's .04% higher this week. The Japanese Yen gained 1.24%, but is .12% lower this week. The Euro rose 1.68%, and is .12% higher this week. Corn gained 3.97%, but is 1.45% lower this week. Cotton rose 2.92%, and has added 1.97% this week (though it fell 10.77% 2 weeks ago!).
"It is better to sleep on things beforehand than lie awake about them afterward." Baltasar Gracian
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2a Alimony received...........................
2a
b Date of original divorce or separation agreement (see instructions):
3 Business income or (loss). Attach Schedule C .................
3
4 Other gains or (losses). Attach Form 4797..................
4
5 Rental real estate, royalties, partnerships, S corporations, trusts, etc. Attach Schedule E.
5
6 Farm income or (loss). Attach Schedule F ...................
6
7 Unemployment compensation .......................
7
8 Other income:
a Net operating loss ...................
8a()
b Gambling......................
8b
c Cancellation of debt..................
8c
d Foreign earned income exclusion from Form 2555.......
8d()
e Income from Form 8853 .................
8e
f Income from Form 8889 .................
8f
g Alaska Permanent Fund dividends .............
8g
h Jury duty pay .....................
8h
i Prizes and awards ...................
8i
j Activity not engaged in for profit income ...........
8j
k Stock options .....................
8k
l Income from the rental of personal property if you engaged in the rental
for profit but were not in the business of renting such property ...
8l
m Olympic and Paralympic medals and USOC prize money (see
instructions).....................
8m
n Section 951(a) inclusion (see instructions)..........
8n
o Section 951A(a) inclusion (see instructions) ..........
8o
p Section 461(l) excess business loss adjustment........
8p
q Taxable distributions from an ABLE account (see instructions) ...
8q
r Scholarship and fellowship grants not reported on Form W-2...
8r
s Nontaxable amount of Medicaid waiver payments included on Form
1040, line 1a or 1d ...................
8s()
t Pension or annuity from a nonqualifed deferred compensation plan or
a nongovernmental section 457 plan............
8t
u Wages earned while incarcerated.............
8u
z Other income. List type and amount:
8z
9 Total other income. Add lines 8a through 8z ..................
9
10 Combine lines 1 through 7 and 9. Enter here and on Form 1040, 1040-SR, or 1040-NR, line 8 10
4,492.
Liz Brushstroke
333-44-5555
4,492.
www.artstaxinfo.com
BAA
REV 01/14/23 PRO
Part II Adjustments to Income
11 Educator expenses ...........................
11
12 Certain business expenses of reservists, performing artists, and fee-basis government
officials. Attach Form 2106 ........................
12
13 Health savings account deduction. Attach Form 8889 ..............
13
14 Moving expenses for members of the Armed Forces. Attach Form 3903.......
14
15 Deductible part of self-employment tax. Attach Schedule SE...........
15
16 Self-employed SEP, SIMPLE, and qualified plans ................
16
17 Self-employed health insurance deduction ..................
17
18 Penalty on early withdrawal of savings ....................
18
19a Alimony paid ............................. 19a
b Recipient's SSN ......................
c Date of original divorce or separation agreement (see instructions):
20 IRA deduction .............................
20
21 Student loan interest deduction......................
21
22 Reserved for future use .........................
22
23 Archer MSA deduction.........................
23
24 Other adjustments:
a Jury duty pay (see instructions).............. 24a
b Deductible expenses related to income reported on line 8l from the
rental of personal property engaged in for profit........ 24b
c Nontaxable amount of the value of Olympic and Paralympic medals
and USOC prize money reported on line 8m .......... 24c
d Reforestation amortization and expenses ........... 24d
e Repayment of supplemental unemployment benefits under the Trade
Act of 1974 ...................... 24e
f Contributions to section 501(c)(18)(D) pension plans .......
24f
g Contributions by certain chaplains to section 403(b) plans.... 24g
h Attorney fees and court costs for actions involving certain unlawful
discrimination claims (see instructions) ............ 24h
i Attorney fees and court costs you paid in connection with an award
from the IRS for information you provided that helped the IRS detect
tax law violations...................
24i
j Housing deduction from Form 2555 .............
24j
k Excess deductions of section 67(e) expenses from Schedule K-1 (Form
1041) ........................ 24k
z Other adjustments. List type and amount:
24z
25 Total other adjustments. Add lines 24a through 24z ...............
25
26 Add lines 11 through 23 and 25. These are youradjustments to income. Enter here and on
Form 1040 or 1040-SR, line 10, or Form 1040-NR, line 10a ............
26
317.
317.
www.artstaxinfo.com
SCHEDULE 2 (Form 1040)
Additional Taxes
OMB No. 1545-0074
Department of the Treasury Internal Revenue Service
Attach to Form 1040, 1040-SR, or 1040-NR.
Go to www.irs.gov/Form1040 for instructions and the latest information.
Attachment Sequence No. 02
Name(s) shown on Form 1040, 1040-SR, or 1040-NR
Your social security number
Part I Tax
1 Alternative minimum tax. Attach Form 6251 .
...............
1
2 Excess advance premium tax credit repayment. Attach Form 8962 .......
2
3 Add lines 1 and 2. Enter here and on Form 1040, 1040-SR, or 1040-NR, line 17 .
.
3
Part II Other Taxes 4 Self-employment tax. Attach Schedule SE . . . . . . . . . . . . . . . . . 4 5 Social security and Medicare tax on unreported tip income. Attach Form 4137 . . . . . . . . . . . . . . . . . . 5 6 Uncollected social security and Medicare tax on wages. Attach Form 8919 . . . . . . . . . . . . . . . . . . . . . 6 7 Total additional social security and Medicare tax. Add lines 5 and 6 . . . . . . 7 8 Additional tax on IRAs or other tax-favored accounts. Attach Form 5329 if required. If not required, check here . . . . . . . . . . . . . . . . . . . . . 8 9 Household employment taxes. Attach Schedule H . . . . . . . . . . . . . 9 10 Repayment of first-time homebuyer credit. Attach Form 5405 if required . . . . . 10 11 Additional Medicare Tax. Attach Form 8959 . . . . . . . . . . . . . . . . 11 12 Net investment income tax. Attach Form 8960 . . . . . . . . . . . . . . . 12 13 Uncollected social security and Medicare or RRTA tax on tips or group-term life insurance from Form W-2, box 12 . . . . . . . . . . . . . . . . . . . . 13 14 Interest on tax due on installment income from the sale of certain residential lots and timeshares . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 15 Interest on the deferred tax on gain from certain installment sales with a sales price over $150,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 16 Recapture of low-income housing credit. Attach Form 8611 . . . . . . . . . . 16 For Paperwork Reduction Act Notice, see your tax return instructions.
(continued on page 2)
333-44-5555
Liz Brushstroke
634.
Part II Other Taxes (continued)
| 17 Other additional taxes: a Recapture of other credits. List type, form number, and amount: 17a b Recapture of federal mortgage subsidy, if you sold your home see instructions . . . . . . . . . . . . . . . . . . . 17b c Additional tax on HSA distributions. Attach Form 8889 . . . . 17c d Additional tax on an HSA because you didn’t remain an eligible individual. Attach Form 8889 . . . . . . . . . . . . . . 17d e Additional tax on Archer MSA distributions. Attach Form 8853 . 17e f Additional tax on Medicare Advantage MSA distributions. Attach o Form 8853 . . . . . . . . . . . . . . . . . . . . . 17f c g Recapture of a charitable contribution deduction related to a fractional interest in tangible personal property . . . . . . . 17g . o h Income you received from a nonqualified deferred compensation plan that fails to meet the requirements of section 409A . . . 17h f i Compensation you received from a nonqualified deferred n compensation plan described in section 457A . . . . . . . 17i i j Section 72(m)(5) excess benefits tax . . . . . . . . . . . 17j x k Golden parachute payments . . . . . . . . . . . . . . 17k a l Tax on accumulation distribution of trusts . . . . . . . . . 17l t m Excise tax on insider stock compensation from an expatriated s corporation . . . . . . . . . . . . . . . . . . . . . 17m t n Look-back interest under section 167(g) or 460(b) from Form r 8697 or 8866 . . . . . . . . . . . . . . . . . . . . 17n a o Tax on non-effectively connected income for any part of the year you were a nonresident alien from Form 1040-NR . . . . 17o . w p Any interest from Form 8621, line 16f, relating to distributions from, and dispositions of, stock of a section 1291 fund . . . . 17p w q Any interest from Form 8621, line 24 . . . . . . . . . . . 17q z Any other taxes. List type and amount: w 17z 18 Total additional taxes. Add lines 17a through 17z . . . . . . . . . . . . . . 19 Reserved for future use . . . . . . . . . . . . . . . . . . . . . . . . 20 Section 965 net tax liability installment from Form 965-A . . . 20 21 Add lines 4, 7 through 16, and 18. These are your total other taxes. Enter here and on Form 1040 or 1040-SR, line 23, or Form 1040-NR, line 23b . . . . . . . . . | 17a | | m |
|---|---|---|---|
| | 17b | | |
| | 17c | | |
| | 17d | | |
| | 17e | | |
| | 17f | | |
| | 17g | c o | |
| | 17h | . | |
| | o 17i | | |
| | 17j | | |
| | 17k | | |
| | 17l | | |
| | 17m | | |
| | 17n | | |
| | 17o | | |
| | 17p | | |
| | 17q | | |
| | 17z | | |
| | | | 18 |
| | | | 19 |
| | | | 21 |
634.
SCHEDULE C (Form 1040)
Department of the Treasury Internal Revenue Service
Name of proprietor
Profit or Loss From Business
(Sole Proprietorship)
Go to www.irs.gov/ScheduleC for instructions and the latest information.
Attach to Form 1040, 1040-SR, 1040-NR, or 1041; partnerships must generally file Form 1065.
OMB No. 1545-0074
Attachment Sequence No. 09
Social security number (SSN)
Liz Brushstroke
333-44-5555
A Principal business or profession, including product or service (see instructions)
B Enter code from instructions
CBusiness name. If no separate business name, leave blank.
D Employer ID number (EIN) (see instr.)
E Business address (including suite or room no.)
City, town or post office, state, and ZIP code
F Accounting method: (1) Cash (2) Accrual (3) Other (specify) G Did you "materially participate" in the operation of this business during 2022? If "No," see instructions for limit on losses . H If you started or acquired this business during 2022, check here . . . . . . . . . . . . . . . . . . I Did you make any payments in 2022 that would require you to file Form(s) 1099? See instructions . . . . . . . . J If "Yes," did you or will you file required Form(s) 1099? . . . . . . . . . . . . . . . . . . . . . Part I Income 1 Gross receipts or sales. See instructions for line 1 and check the box if this income was reported to you on Form W-2 and the "Statutory employee" box on that form was checked . . . . . . . . . 1 2 Returns and allowances . . . . . . . . . . . . . . . . . . . . . . . . . 2 3 Subtract line 2 from line 1 . . . . . . . . . . . . . . . . . . . . . . . . 3 4 Cost of goods sold (from line 42) . . . . . . . . . . . . . . . . . . . . . . 4 5 Gross profit. Subtract line 4 from line 3 . . . . . . . . . . . . . . . . . . . . 5 6 Other income, including federal and state gasoline or fuel tax credit or refund (see instructions) . . . . 6 7 Gross income. Add lines 5 and 6 . . . . . . . . . . . . . . . . . . . . . . 7 Part II Expenses. Enter expenses for business use of your home only on line 30. 8 Advertising . . . . . 8 9 Car and truck expenses (see instructions) . . . 9 10 Commissions and fees . 10 11 Contract labor (see instructions) 11 12 Depletion . . . . . 12 13 Depreciation and section 179 expense deduction (not included in Part III) (see instructions) . . . . 13 14 Employee benefit programs (other than on line 19) . 14 15 Insurance (other than health) 15 16 Interest (see instructions): a Mortgage (paid to banks, etc.) 16a b Other . . . . . . 16b 17 Legal and professional services 17 18 Office expense (see instructions) . 18 19 Pension and profit-sharing plans . 19 20 Rent or lease (see instructions): a Vehicles, machinery, and equipment 20a b Other business property . . . 20b 21 Repairs and maintenance . . . 21 22 Supplies (not included in Part III) . 22 23 Taxes and licenses . . . . . 23 24 Travel and meals: a Travel . . . . . . . . . 24a b Deductible meals (see instructions) . . . . . . . 24b 25 Utilities . . . . . . . . 25 26 Wages (less employment credits) 26 27 a Other expenses (from line 48) . . 27a b Reserved for future use . . . 27b 28 Total expenses before expenses for business use of home. Add lines 8 through 27a . . . . . . . 28 29 Tentative profit or (loss). Subtract line 28 from line 7 . . . . . . . . . . . . . . . . . 29 30 Expenses for business use of your home. Do not report these expenses elsewhere. Attach Form 8829 unless using the simplified method. See instructions. Simplified method filers only: Enter the total square footage of (a) your home: 2,539. 894. 250.
Yes
No
.................
I
Did you make any payments in 2022 that would require you to file Form(s) 1099? See instructions ........
Yes
No
J If "Yes," did you or will you file required Form(s) 1099? .....................
Yes
No
1
........................
2
........................
3
......................
4
....................
5
...
6
7 Gross income. Add lines 5 and 6 ......................
7
....
8
9.
10
11
12 Depletion.....
12
13
14
15 Insurance (other than health) 15
a Mortgage (paid to banks, etc.) 16a
b Other......
16b
17 Legal andprofessionalservices 17
18 Office expense (see instructions) . 18
19 Pension and profit-sharing plans . 19
20 Rent or lease (see instructions):
a Vehicles, machinery, and equipment 20a
b Other business property... 20b
21 Repairs and maintenance ...
21
22
23 Taxes and licenses .....
23
a Travel ......... 24a
.... 24b
25 Utilities........
25
26
27 a Other expenses (from line 48) .. 27a
... 27b
......
28
29 Tentative profit or (loss). Subtract line 28 from line 7 .................
29
Simplified method filers only: Enter the total square footage of (a) your home:
and (b) the part of your home used for business:
. Use the Simplified
Method Worksheet in the instructions to figure the amount to enter on line 30 .........
30
31 Net profit or (loss). Subtract line 30 from line 29.
* If a profit, enter on both Schedule 1 (Form 1040), line 3, and on Schedule SE, line 2. (If you checked the box on line 1, see instructions.) Estates and trusts, enter on Form 1041, line 3.
* If a loss, you must go to line 32.
31
32 If you have a loss, check the box that describes your investment in this activity. See instructions.
* If you checked 32a, enter the loss on both Schedule 1 (Form 1040), line 3, and on Schedule SE, line 2. ( If you checked the box on line 1, see the line 31 instructions.) Estates and trusts, enter on Form 1041, line 3.
* If you checked 32b, you must attach Form 6198. Your loss may be limited.
32a All investment is at risk.
32b Some investment is not at risk.
Visual Artist
7 1 1 5 1 0
Big Orb Art Studio
3,835.
0.
Commonwealth Ave
Chestnut Hill, MA 02467
10,500.
19,040.
19,040.
2,539.
888.
14,548.
4,492.
894.
4,492.
29,540.
5,831.
250.
104.
207.
29,540.
BAA
Part III Cost of Goods Sold (see instructions)
33 Method(s) used to value closing inventory:
a
Cost
b Lower of cost or market
c Other (attach explanation)
34 Was there any change in determining quantities, costs, or valuations between opening and closing inventory? If “Yes,” attach explanation . . . . . . . . . . . . . . . . . . . . . . . .
..
Yes
No
35 Inventory at beginning of year. If different from last year’s closing inventory, attach explanation .
..
35
36 Purchases less cost of items withdrawn for personal use
..............
36
37 Cost of labor. Do not include any amounts paid to yourself . . . . . . . . . . . . . . 37 38 Materials and supplies . . . . . . . . . . . . . . . . . . . . . . . . 38 39 Other costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 40 Add lines 35 through 39 . . . . . . . . . . . . . . . . . . . . . . . . 40 41 Inventory at end of year . . . . . . . . . . . . . . . . . . . . . . . . 41 42 Cost of goods sold. Subtract line 41 from line 40. Enter the result here and on line 4 . . . . . . 42 Part IV Information on Your Vehicle. Complete this part only if you are claiming car or truck expenses on line 9 and are not required to file Form 4562 for this business. See the instructions for line 13 to find out if you must file Form 4562. 43 When did you place your vehicle in service for business purposes? (month/day/year) 44 Of the total number of miles you drove your vehicle during 2022, enter the number of miles you used your vehicle for: a Business b Commuting (see instructions) c Other 45 Was your vehicle available for personal use during off-duty hours? . . . . . . . . . . . . . . . Yes No 46 Do you (or your spouse) have another vehicle available for personal use?. . . . . . . . . . . . . . Yes No 47a Do you have evidence to support your deduction? . . . . . . . . . . . . . . . . . . . . Yes No b If "Yes," is the evidence written? . . . . . . . . . . . . . . . . . . . . . . . . . Yes No Part V Other Expenses. List below business expenses not included on lines 8–26 or line 30. 8,000. 16,000. 10,500. 3,000. 5,500. AMORTIZATION 324. Graphics Design Fees 395. Printing 498.
48 Total other expenses. Enter here and on line 27a................
48
8,000.
16,000.
10,500.
3,000.
5,500.
5,831.
5,000.
AMORTIZATION
324.
Graphics Design Fees
395.
Printing
498.
Photo Costs
525.
Processing
314.
Internet Service
304.
Wireless
315.
Museum Memberships
220.
See Line 48 Other Expenses
2,936.
REV 01/14/23 PRO
Schedule C (Form 1040) 2022
SCHEDULE SE (Form 1040)
Self-Employment Tax
Department of the Treasury Internal Revenue Service
Go to www.irs.gov/ScheduleSE for instructions and the latest information.
Attach to Form 1040, 1040-SR, or 1040-NR.
Name of person with self-employment income (as shown on Form 1040, 1040-SR, or 1040-NR)
Liz Brushstroke
OMB No. 1545-0074
Attachment Sequence No. 17
Social security number of person with self-employment income
333-44-5555
Part I Self-Employment Tax
Note: If your only income subject to self-employment tax is church employee income, see instructions for how to report your income and the definition of church employee income.
A If you are a minister, member of a religious order, or Christian Science practitionerandyou filed Form 4361, but you had
$400 or more ofothernet earnings from self-employment, check here and continue with Part I.........
Skip lines 1a and 1b if you use the farm optional method in Part II. See instructions.
1 a Net farm profit or (loss) from Schedule F, line 34, and farm partnerships, Schedule K-1 (Form 1065), box 14, code A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1a b If you received social security retirement or disability benefits, enter the amount of Conservation Reserve Program payments included on Schedule F, line 4b, or listed on Schedule K-1 (Form 1065), box 20, code AH 1b Skip line 2 if you use the nonfarm optional method in Part II. See instructions. 2 Net profit or (loss) from Schedule C, line 31; and Schedule K-1 (Form 1065), box 14, code A (other than farming). See instructions for other income to report or if you are a minister or member of a religious order 2 3 Combine lines 1a, 1b, and 2 . . . . . . . . . . . . . . . . . . . . . . . . . 3 4 a If line 3 is more than zero, multiply line 3 by 92.35% (0.9235). Otherwise, enter amount from line 3 . 4a Note: If line 4a is less than $400 due to Conservation Reserve Program payments on line 1b, see instructions. b If you elect one or both of the optional methods, enter the total of lines 15 and 17 here . . . . . 4b c Combine lines 4a and 4b. If less than $400, stop; you don't owe self-employment tax. Exception: If less than $400 and you had church employee income, enter -0- and continue . . . . . . . . 4c 5 a Enter your church employee income from Form W-2. See instructions for definition of church employee income . . . . . . . . . . . . . 5a b Multiply line 5a by 92.35% (0.9235). If less than $100, enter -0- . . . . . . . . . . . . . 5b 6 Add lines 4c and 5b . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 7 Maximum amount of combined wages and self-employment earnings subject to social security tax or the 6.2% portion of the 7.65% railroad retirement (tier 1) tax for 2022 . . . . . . . . . . . 7 8 a Total social security wages and tips (total of boxes 3 and 7 on Form(s) W-2) and railroad retirement (tier 1) compensation. If $147,000 or more, skip lines 8b through 10, and go to line 11 . . . . . . . . . . . . . . . 8a b Unreported tips subject to social security tax from Form 4137, line 10 . . . 8b c Wages subject to social security tax from Form 8919, line 10 . . . . . . 8c d Add lines 8a, 8b, and 8c . . . . . . . . . . . . . . . . . . . . . . . . . . 8d 9 Subtract line 8d from line 7. If zero or less, enter -0- here and on line 10 and go to line 11 . . . . 9 10 Multiply the smaller of line 6 or line 9 by 12.4% (0.124) . . . . . . . . . . . . . . . . 10 11 Multiply line 6 by 2.9% (0.029) . . . . . . . . . . . . . . . . . . . . . . . . 11 12 Self-employment tax. Add lines 10 and 11. Enter here and on Schedule 2 (Form 1040), line 4 . . 12 13 Deduction for one-half of self-employment tax. Multiply line 12 by 50% (0.50). Enter here and on Schedule 1 (Form 1040), line 15 . . . . . . . . . . . . . . . . . . . . . . . . 13 Part II Optional Methods To Figure Net Earnings (see instructions) Farm Optional Method. You may use this method only if (a) your gross farm income 1 wasn't more than $9,060, or (b) your net farm profits 2 were less than $6,540. 14 Maximum income for optional methods . . . . . . . . . . . . . . . . . . . . . 14 317. 53,211.
( )
2
3 Combine lines 1a, 1b, and 2 ......................... 3
4a
b If you elect one or both of the optional methods, enter the total of lines 15 and 17 here.....
4b
4c
5a
............
5b
...........................
6
7
8a
..
8b
c Wages subject to social security tax from Form 8919, line 10 ......
8c
.........................
8d
....
9
...............
10
11 Multiply line 6 by 2.9% (0.029) ........................
11
..
12
13 Deduction for one-half of self-employment tax.
Multiply line 12 by 50% (0.50). Enter here and on Schedule 1 (Form 1040),
line 15........................
13
14 Maximum income for optional methods .....................
14
15 Enter the smaller of: two-thirds ( 2 /3) of gross farm income 1 (not less than zero) or $6,040. Also, include this amount on line 4b above . . . . . . . . . . . . . . . . . . . . . . . .
15
Nonfarm Optional Method. You may use this method only if (a) your net nonfarm profits 3 were less than $6,540 and also less than 72.189% of your gross nonfarm income, 4 and (b) you had net earnings from self-employment of at least $400 in 2 of the prior 3 years. Caution: You may use this method no more than five times.
16 Subtract line 15 from line 14 .
........................
16
17 Enter the smaller of: two-thirds ( 2 /3) of gross nonfarm income 4 (not less than zero) or the amount on line 16. Also, include this amount on line 4b above . . . . . . . . . . . . . . . . .
17
1
From Sch. F, line 9; and Sch. K-1 (Form 1065), box 14, code B.
2
From Sch. F, line 34; and Sch. K-1 (Form 1065), box 14, code A—minus the amount
you would have entered on line 1b had you not used the optional method.
3
From Sch. C, line 31; and Sch. K-1 (Form 1065), box 14,codeA.
4
From Sch. C, line 7; and Sch. K-1 (Form 1065), box 14, code C.
4,148.
4,148.
93,789.
4,148.
317.
0.
120.
53,211.
634.
514.
53,211.
4,492.
4,492.
BAA
REV 01/14/23 PRO
Form 8995
Department of the Treasury Internal Revenue Service
Name(s) shown on return
OMB No. 1545-2294
Attachment Sequence No. 55
Your taxpayer identification number
Liz Brushstroke
333-44-5555
Note. You can claim the qualified business income deduction only if you have qualified business income from a qualified trade or business, real estate investment trust dividends, publicly traded partnership income, or a domestic production activities deduction passed through from an agricultural or horticultural cooperative. See instructions.
Use this form if your taxable income, before your qualified business income deduction, is at or below $170,050 ($340,100 if married filing jointly), and you aren't a patron of an agricultural or horticultural cooperative.
1
(a) Trade, business, or aggregation name
(b) Taxpayer
identification number
(c) Qualified business
income or (loss)
i
ii
iii
iv
1 (a) Trade, business, or aggregation name (b) Taxpayer identification number (c) i ii iii iv v 2 Total qualified business income or (loss). Combine lines 1i through 1v, column (c) . . . . . . . . . . . . . . . . . . . . . . 2 3 Qualified business net (loss) carryforward from the prior year . . . . . . . 3 ( ) 4 Total qualified business income. Combine lines 2 and 3. If zero or less, enter -0- 4 5 Qualified business income component. Multiply line 4 by 20% (0.20) . . . . . . . . . . . 5 6 Qualified REIT dividends and publicly traded partnership (PTP) income or (loss) (see instructions) . . . . . . . . . . . . . . . . . . . . 6 7 Qualified REIT dividends and qualified PTP (loss) carryforward from the prior year . . . . . . . . . . . . . . . . . . . . . . . . . 7 ( ) 8 Total qualified REIT dividends and PTP income. Combine lines 6 and 7. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . 8 9 REIT and PTP component. Multiply line 8 by 20% (0.20) . . . . . . . . . . . . . . . 9 10 Qualified business income deduction before the income limitation. Add lines 5 and 9 . . . . . . 10 11 Taxable income before qualified business income deduction (see instructions) 11 12 Net capital gain (see instructions) . . . . . . . . . . . . . . . 12 13 Subtract line 12 from line 11. If zero or less, enter -0- . . . . . . . . 13 14 Income limitation. Multiply line 13 by 20% (0.20) . . . . . . . . . . . . . . . . . . 14 15 Qualified business income deduction. Enter the smaller of line 10 or line 14. Also enter this amount on the applicable line of your return (see instructions) . . . . . . . . . . . . . . . . . 15 16 Total qualified business (loss) carryforward. Combine lines 2 and 3. If greater than zero, enter -0- . . 16 ( 17 Total qualified REIT dividends and PTP (loss) carryforward. Combine lines 6 and 7. If greater than zero, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 ( 4,175. 42,686. 0. 42,686. Big Orb Art Studio 333-44-5555
)
17()
4,175.
4,175.
835.
835.
42,686.
0.
42,686.
8,537.
835.
0.
0.
Big Orb Art Studio
333-44-5555
4,175.
REV 01/14/23 PRO
Qualified Business Income Deduction Simplified Computation
Attach to your tax return.
Go to www.irs.gov/Form8995 for instructions and the latest information.
Form 4562
Department of the Treasury Internal Revenue Service
Name(s) shown on return
Depreciation and Amortization
(Including Information on Listed Property)
Attach to your tax return.
Go to www.irs.gov/Form4562 for instructions and the latest information.
Business or activity to which this form relates
Liz Brushstroke
OMB No. 1545-0172
Attachment Sequence No. 179
Identifying number
333-44-5555
Sch C Visual Artist
Part I Election To Expense Certain Property Under Section 179
Note: If you have any listed property, complete Part V before you complete Part I.
1 Maximum amount (see instructions) .
......................
1
2 Total cost of section 179 property placed in service (see instructions)
...........
2
3 Threshold cost of section 179 property before reduction in limitation (see instructions) .
.....
3
4 Reduction in limitation. Subtract line 3 from line 2. If zero or less, enter -0- .
.........
4
5 Dollar limitation for tax year. Subtract line 4 from line 1. If zero or less, enter -0-. If married filing separately, see instructions . . . . . . . . . . . . . . . . . . . . . . . . . 5 6 (a) Description of property (b) Cost (business use only) (c) Elected cost 7 Listed property. Enter the amount from line 29 . . . . . . . . . 7 8 Total elected cost of section 179 property. Add amounts in column (c), lines 6 and 7 . . . . . . 8 9 Tentative deduction. Enter the smaller of line 5 or line 8 . . . . . . . . . . . . . . . . 9 10 Carryover of disallowed deduction from line 13 of your 2021 Form 4562 . . . . . . . . . . . 10 11 Business income limitation. Enter the smaller of business income (not less than zero) or line 5. See instructions 11 12 Section 179 expense deduction. Add lines 9 and 10, but don't enter more than line 11 . . . . . . 12 13 Carryover of disallowed deduction to 2023. Add lines 9 and 10, less line 12 . 13 Don't use Part II or Part III below for listed property. Instead, use Part V. Part II Special Depreciation Allowance and Other Depreciation (Don't include listed property. See instructions.) 14 Special depreciation allowance for qualified property (other than listed property) placed in service during the tax year. See instructions . . . . . . . . . . . . . . . . . . . . . . . 14 15 Property subject to section 168(f)(1) election . . . . . . . . . . . . . . . . . . . . 15 16 Other depreciation (including ACRS) . . . . . . . . . . . . . . . . . . . . . . 16 Part III MACRS Depreciation (Don't include listed property. See instructions.) Section A 17 MACRS deductions for assets placed in service in tax years beginning before 2022 . . . . . . . 17 18 If you are electing to group any assets placed in service during the tax year into one or more general asset accounts, check here . . . . . . . . . . . . . . . . . . . . . . . Section B—Assets Placed in Service During 2022 Tax Year Using the General Depreciation System (a) Classification of property (b) Month and year placed in service (c) Basis for depreciation (business/investment use only—see instructions) (d) Recovery period (e) Convention (f) Method (g) 19a 3-year property b 5-year property c 7-year property d 10-year property e 15-year property f 20-year property g 25-year property h Residential rental property i Nonresidential real 0. Digital Camera 399. 399. HY 1,844. 7.0 200 DB
Note: Don't use Part II or Part III below for listed property. Instead, use Part V.
14
...................
15
......................
16
Section A
......
17
18 If you are electing to group any assets placed in service during the tax year into one or more general
asset accounts, check here.......................
(a) Classification of property
(b) Month and year
placed in service
(c) Basis for depreciation
(business/investment use only—see instructions)
(d) Recovery
period
(e) Convention
(f) Method
(g) Depreciation deduction
19a 3-year property
b 5-year property
c 7-year property
d10-year property
e15-year property
f20-year property
g25-year property
hResidential rental
property
iNonresidential real
property
Section C—Assets Placed in Service During 2022 Tax Year Using the Alternative Depreciation System
20aClass life
b12-year
c30-year
d40-year
Part IV Summary(See instructions.)
21 Listed property. Enter amount from line 28
....................
21
22 Total. Add amounts from line 12, lines 14 through 17, lines 19 and 20 in column (g), and line 21. Enter here and on the appropriate lines of your return. Partnerships and S corporations—see instructions .
22
23 For assets shown above and placed in service during the current year, enter the portion of the basis attributable to section 263A costs . . . . . . . . .
23
232.
1,080,000.
2,700,000.
894.
399.
2,243.
0.
1,080,000.
399.
58,102.
399.
0.
Digital Camera
399.
399.
HY
1,844. 7.0
263.
200 DB
For Paperwork Reduction Act Notice, see separate instructions.
BAA
REV 01/14/23 PRO
Form
4562
(2022)
Part V Listed Property
(Include automobiles, certain other vehicles, certain aircraft, and property used for
entertainment, recreation, or amusement.)
Note: For any vehicle for which you are using the standard mileage rate or deducting lease expense, complete only 24a, 24b, columns (a) through (c) of Section A, all of Section B, and Section C if applicable.
Section A—Depreciation and Other Information (Caution: See the instructions for limits for passenger automobiles.)
24aDo you have evidence to support the business/investment use claimed? Yes No 24bIf "Yes," is the evidence written? Yes No
(a)
Type of property (list vehicles first)
(b)
Date placed
in service
(c)
Business/
investment use
percentage
(d)
Cost or other basis
(e)
Basis for depreciation (business/investment
use only)
(f)
Recovery period
(g)
Method/
Convention
(h)
Depreciation deduction
(i)
Elected section 179
cost
25 Special depreciation allowance for qualified listed property placed in service during
the tax year and used more than 50% in a qualified business use. See instructions . 25
26 Property used more than 50% in a qualified business use:
% %
%
27 Property used 50% or less in a qualified business use:
% % %
28 Add amounts in column (h), lines 25 through 27. Enter here and on line 21, page 1.
28
29 Add amounts in column (i), line 26. Enter here and on line 7, page 1 ............
29
26 Property used more than 50% in a qualified business use: % % % 27 Property used 50% or less in a qualified business use: % % % 28 Add amounts in column (h), lines 25 through 27. Enter here and on line 21, page 1 . 28 29 Add amounts in column (i), line 26. Enter here and on line 7, page 1 . . . . . . . . . . . . 29 Section B—Information on Use of Vehicles Complete this section for vehicles used by a sole proprietor, partner, or other "more than 5% owner," or related person. If you provided vehicles to your employees, first answer the questions in Section C to see if you meet an exception to completing this section for those vehicles. 30 Total business/investment miles driven during the year (don't include commuting miles) . (a) Vehicle 1 (b) Vehicle 2 (c) Vehicle 3 (d) Vehicle 4 (e) Vehicle 5 (f) Vehicle 6 31 Total commuting miles driven during the year 32 Total other personal (noncommuting) miles driven . . . . . . . . . 33 Total miles driven during the year. Add lines 30 through 32 . . . . . . . 34 Was the vehicle available for personal Yes No Yes No Yes No Yes No Yes No Yes No use during off-duty hours? . . . . . 35 Was the vehicle used primarily by a more than 5% owner or related person? . . 36 Is another vehicle available for personal use? Section C—Questions for Employers Who Provide Vehicles for Use by Their Employees Answer these questions to determine if you meet an exception to completing Section B for vehicles used by employees who aren't more than 5% owners or related persons. See instructions. 37 Do you maintain a written policy statement that prohibits all personal use of vehicles, including commuting, by your employees? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No 38 Do you maintain a written policy statement that prohibits personal use of vehicles, except commuting, by your employees? See the instructions for vehicles used by corporate officers, directors, or 1% or more owners . . 39 Do you treat all use of vehicles by employees as personal use? . . . . . . . . . . . . . . . . 40 Do you provide more than five vehicles to your employees, obtain information from your employees about the use of the vehicles, and retain the information received? . . . . . . . . . . . . . . . . . . . Auto 01/01/2010 26.26 4,248 11,930 16,178
41 Do you meet the requirements concerning qualified automobile demonstration use? See instructions ....
Note: If your answer to 37, 38, 39, 40, or 41 is "Yes," don't complete Section B for the covered vehicles.
Part VI Amortization
(a)
Description of costs
(b)
Date amortization begins
(c)
Amortizable amount
(d)
Code section
(e)
Amortization period or
percentage
(f)
Amortization for this year
42 Amortization of costs that begins during your 2022 tax year (see instructions):
43 Amortization of costs that began before your 2022 tax year .............
43
44 Total. Add amounts in column (f). See the instructions for where to report ........
44
Auto
01/01/201026.26
4,248
11,930
16,178
Website Costs
07/01/2022
1,945. A197 3.00 yrs
324.
Car and Truck Expenses Worksheet
G Keep for your records
Name(s) Shown on Return
Social Security Number
Liz Brushstroke
333-44-5555
Visual Artist
Sch C
Vehicle Information
Vehicle 1
Vehicle 2
Vehicle 3
Complete forallvehicles
1 Make and model of vehicle
2 Date acquired
3 Date placed in service
4 Type of vehicle
5 aEnding mileage reading
bBeginning mileage reading
c Total milesfor the year
6 aBusiness miles from 01/01/22 thru 06/30/22
bBusiness miles from 07/01/22 thru 12/31/22
7 Commuting miles for the year
8 Other personal miles for the year
9 Percent of business use
%
%
%
10 Months for special allocation. See Tax Help
11 Is another vehicle available for personal use?
Yes
No
Date placed in service Type of vehicle Ending mileage reading b Beginning mileage reading c Total miles for the year Business miles from 01/01/22 thru 06/30/22 b Business miles from 07/01/22 thru 12/31/22 Commuting miles for the year Other personal miles for the year Percent of business use % % Months for special allocation. See Tax Help Is another vehicle available for personal use? Yes No Yes No Yes Was the vehicle available for personal use during off-duty hours? Yes No Yes No Yes Was the vehicle used primarily by a more than 5% owner or related person? Yes No Yes No Yes Is there evidence to support the business use claimed? Yes b If 'Yes,' is the evidence written? Yes Does vehicle qualify for standard mileage rate? Yes No Yes No Yes Was the vehicle leased? Yes No Yes No Yes Standard mileage deduction for 1/1 thru 6/30 b Standard mileage deduction for 7/1 thru 12/31 Standard mileage deduction Expenses: a Gasoline, oil, repairs, insurance, etc b Vehicle registration, license (excluding property taxes) c Vehicle lease or rental fees: 1 30 days or more 2 29 days or less 3 Total vehicle lease/rental fees d Leased vehicle inclusion amount: X 01/01/2010 A1 - Auto 16,178 2,891 1,357 11,930 26.26 X X X 1,691. 848. 2,539.
No
12 Was the vehicle available for personal use
during off-duty hours?
Yes
No Yes
No
No
13 Was the vehicle used primarily by a more
than 5% owner or related person?
Yes
No
Yes
No
14 aIs there evidence to support the business use claimed?
Yes
No
bIf 'Yes,' is the evidence written?
Yes
No
Standard Mileage Rate
15 Does vehicle qualify for standard mileage rate?
Yes
No
No
16 Was the vehicle leased?
Yes
Yes
No
17 aStandard mileage deduction for 1/1 thru 6/30
bStandard mileage deduction for 7/1 thru 12/31
17 Standard mileage deduction
Actual Expenses
18 Expenses:
aGasoline, oil, repairs, insurance, etc
bVehicle registration, license (excluding
property taxes)
cVehicle lease or rental fees:
130 days or more
229 days or less
3Total vehicle lease/rental fees
dLeased vehicle inclusion amount:
1Year lease began
2FMV of leased vehicle
3Number of lease days in year
4Inclusion amount
19 Expenses subtotal
20 Expenses applicable to business
21 Vehicle depreciation and Sec 179 (from page 2)
22 Total actual expenses
Standard Mileage vs Actual Expenses
Check box to force a method M M
M
23 Standard mileage
24 Actual expenses
Auto
X
Liz Brushstroke
333-44-5555
X
01/01/2010
A1 - Auto
16,178
2,891
1,357
11,930
26.26
X
X
X
X
1,691.
848.
2,539.
2,539.
Page2
Liz Brushstroke
333-44-5555
Visual Artist
Sch C
Total Car and Truck Expenses
Complete for all
vehicles
Vehicle 1
Vehicle 2
Vehicle 3
25 Line 23 or line 24
26 Additional expenses:
aBusiness-related parking fees, tolls, etc
bProperty taxes (including property tax portion
of registration)
cLess personal portion of property taxes
dInterest on vehicle
eLess personal portion of vehicle interest
27 Total expenses
28 Less business portion of lease or rental fees
less inclusion amount (if actual expenses)
29 Less business portion of depreciation
(if actual expenses)
30 Total car and truck expenses
Vehicle Depreciation Information'
Complete for Actual Expenses only
31 Cost or basis
32 Section 179 expense elected
33 Depreciation and Sec 179 limit for automobiles
34 a Economic Stimulus- Qualified Property
Yes
of registration) c Less personal portion of property taxes d Interest on vehicle e Less personal portion of vehicle interest Total expenses Less business portion of lease or rental fees less inclusion amount (if actual expenses) Less business portion of depreciation (if actual expenses) Total car and truck expenses ' Complete for Actual Expenses only Cost or basis Section 179 expense elected Depreciation and Sec 179 limit for automobiles - Qualified Property Yes No Yes No Yes 1 If yes, and if placed in service after 9/27/17, Yes No N/A Yes No N/A Yes No N/A was this property acquired after 9/27/17? 2 For post 9/27/17, elect 50% in place of 100% Yes No N/A Yes No N/A Yes No N/A Special Depreciation Allowance b Qualified Disaster Area - Qualified Property Yes No Yes No Yes c Kansas Disaster Zone - Qualified Property Yes No Yes No Yes Reg Ext No Reg Ext No Reg Ext No d Gulf Opportunity Zone - Qualified Property 100% & 50% 100% & 50% 100% & 50% e Percentage for Special Depr Allowance 30% 30% 30% N/A N/A N/A f Elect OUT of Special Depr Allowance Yes No Yes No Yes g Elect 30% in place of 50% Allowance Yes No Yes No Yes h QuickZoom to Election Stmts i Special Depreciation Allowance j AMT Special Depreciation Allowance Prior depreciation Depreciation deduction Alternative minimum tax prior depreciation 2,539.
No
1If yes, and if placed in service after 9/27/17,
Yes No N/A Yes No N/A Yes No
was this property acquired after 9/27/17?
2For post 9/27/17, elect 50% in place of 100% Yes No N/A Yes No N/A Yes No N/A
Special Depreciation Allowance
b Qualified Disaster Area- Qualified Property
No
c Kansas Disaster Zone- Qualified Property
No
No
Reg Ext No Reg Ext No Reg Ext No
d Gulf Opportunity Zone- Qualified Property
f Elect OUT of Special Depr Allowance
No
gElect 30% in place of 50% Allowance
No
h QuickZoomto Election Stmts
i Special Depreciation Allowance
j AMT Special Depreciation Allowance
35 Prior depreciation
36 Depreciation deduction
37 Alternative minimum tax prior depreciation
38 AMT depreciation deduction
39 AMT adjustment/preference
40 QuickZoomto Asset Life History
MACRS Property Involved in a Like-Kind Exchange
or Involuntary Conversion
41 Elect OUT of regs under Sec 1.168(i)-6(i)
Yes N/A
Yes N/A
Yes N/A
42 If asset represents entire basis of replacement
property, enter excess basis
Pre-02/28/04 transactions only(See TaxHelp):
43 Asset ID (Enter same ID on all related assets)
44 Check if asset represents exchanged basis of
replacement property
45 Total basis of all related parts
Auto
2,539.
2,539.
2,539.
G
Tax Year 2022
Liz Brushstroke
Keep for your records
Sch C - Visual Artist
* Code: S = Sold, A = Auto, L = Listed, V = Vine with SDA in Year Planted/Grafted, X = Non-depreciated asset, H = Home Office
| *Code | Date In Service | Cost (Net of Land) | Land | Bus Use % | Section 179 | Special Depreciation Allowance | Depreciable Basis | Life | Method/ Convention | Prior Depreciation |
|---|---|---|---|---|---|---|---|---|---|---|
| | | | | | | | | | m | |
| | 07/01/22 | 1,844 | | 100.00 | | | 1,844 | 7.0 | 200DB/HY | |
| | 12/27/22 | 399 | | 100.00 | 399 | | 0 | 5.0 | 200DB/HY | 0 |
| | | 2,243 | 0 | | 399 | 0 | 1,844 | | o | 0 |
| L | 01/01/10 | | | 26.26 | | | | c | | |
| | 07/01/11 | 1,644 | | 100.00 | | | 1,644 | 5.0 | 200DB/HY | 1,644 |
| | 12/28/19 | 1,650 | | 100.00 | | | . 1,650 | 7.0 | 200DB/MQ | 839 |
| | | 3,294 | 0 | | 0 | 0 | 3,294 | | | 2,483 |
| | | | | | | | o | | | |
| | | 5,537 | 0 | | 399 | 0 | f 5,138 | | | 2,483 |
| | | | | | | n | | | | |
| | 07/01/22 | 1,945 | | 100.00 | | | 1,945 | 3.0 | | |
| | | 1,945 | | | 0 | i 0 | 1,945 | | | 0 |
| | | | | | | x | | | | |
| | | 1,945 | | | 0 | 0 | 1,945 | | | 0 |
| | | | | | a | | | | | |
| | | | | | t | | | | | |
| | | | | | s | | | | | |
| | | | | t | | | | | | |
| | | | | r | | | | | | |
| | | | | a | | | | | | |
| | | | . | | | | | | | |
| | | | w | | | | | | | |
| | | w | | | | | | | | |
| | w | | | | | | | | | |
of 1
333-44-5555
263
0
263
0
232
232
495
324
324
Additional Information From 2022 Federal Tax Return
Schedule C (Visual Artist): Profit or Loss from Business
Line 48 Other Expenses
Continuation Statement
www.artstaxinfo.com
|
SMOS SSS L2 ATBD
Draft issue 4, 3 Oct.. 2005
Table of contents
1
Deleted: 3.2
Deleted: 20 Sept
Deleted: 5
1. Introduction
Purpose, SSS retrieval approach, and explanation of sub-models/options philosophy
to be written for ATBD issue 1
1.2 Definitions, acronyms and abbreviations
* Measurement: brightness temperature measured in one MIRAS polarisation mode, along with relevant information (radiometric noise, observation conditions, contributions as computed by the model, flags, polarisation direction). A measurement is associated with one Grid point, one Snapshot, one WEF and one Footprint .
* Grid Point: point on Earth surface where Measurements are available in SMOS L1c product.
* Dwell line: ensemble of Measurements at the same Grid Point available in SMOS L1c product.
* SSS spatial resolution: Mean Area of Earth surface, centred on a Grid Point, where SSS is retrieved. SSS spatial resolution is deduced from Footprints of Dwell line Measurements deemed valid for SSS retrieval.
* WEF: 2D weighting function derived from synthetic antenna gain of MIRAS interferometer, apodization function used at reconstruction and fringe wash factor. Also termed synthetic antenna pattern or equivalent array factor. The two dimensions are differential cosines in the antenna reference frame.
* Footprint: 3db contour of WEF once WEF has been projected on Earth surface. Footprint is centred on a Grid point and defined by major and minor axes of an ellipse. Axes lengths are provided by SMOS L1c product.
Now being completed
2. Algorithm overview
A scheme with blocks showing the two approaches and the ensemble of forward models for iterative retrieval.
Historical review and justification for the selected options (sub-models) [WP2100 in ESL proposal]
to be written in detail for ATBD issue 1
A series of physical models (separate modules 4.1 to 4.10 in this ATBD) are applied to auxiliary data (SST, wind, etc.) and a first guess SSS, to compute the brightness temperature that should be measured at a specific polarization and geometric configuration. These values
are transported to SMOS antenna level (module 4.12) and then compared to actually measured Tb. An iterative process (considering all measurements/views of a single grid point obtained in consecutive snapshots, module 4.14) allows minimization of the difference between both values, until identifying a retrieved SSS for this grid point. Three different models are proposed for the effect of ocean surface roughness in L-band emissivity (modules 4.2 to 4.4) and then three retrieval processes will be run in parallel, and three SSS values provided in the L2 Output Product. A selection of the optimal method is expected to be achieved during SMOS commissioning phase and then implemented in the operational L2 processor.
An alternative approach (section 5) uses the neural network technique to retrieve SSS from SMOS measurements and a previous training data set.
The SSS retrieval algorithms described in this ATBD will be applied to all ESEA grid points included in a SMOS L1c product (half-orbit swath).
3. Decision tree
The purpose of the decision tree is to check the conditions of all the grid points coming from L1c to decide processing them or not to retrieve salinity. Additional information will be provided in the Output Product in terms of flags to "processing" grid points to describe some particular conditions that can rise warnings for some L3 applications or indicate that future specific reprocessing could be implemented.
A series of tests, with defined threshold values, have to be run consecutively over each grid point before applying the SSS retrieval algorithm to it:
| Test | Threshold | Decision | |
|---|---|---|---|
| Percentage of passed quality checks above threshold | TBD at L1 | Process snapshot | t |
| Applying land mask provided by L1 + computing distance to coast | 1) Land: grid point inside the land mask 2) Coast/Land: grid point outside the land mask but land in a radius Rmin from the grid point (40 km TBC). 3) Coast/Ocean: grid point outside the land mask; no land in a radius Rmin but land in a radius Rmax (100 km TBC). 4) Ocean/no_land: grid point outside the land mask; no land in a radius Rmax from the grid point. | 1) SSS retrieval is not performed 2) SSS retrieval is not performed and grid point is flagged as land contaminated. 3) SSS retrieval performed, grid point flagged as coast_ocean To minimize land contamination and large ocean inhomogeneities frequently observed in coastal areas, only measurements with semi-major-axis < Rmin (TBC) are used in the retrieval, 4) SSS retrieval performed. only measurements with Elongation < 1.8 and Spatial resolution < 100km (TBC) are used in the retrieval, | |
| | | ice mask, does not contain ice in a radius Rmin from the grid point 4) Ocean/no_ice: other grid points | (TBD) of the measurements used in the retrieval, grid point flagged as ice_suspect. 4) SSS retrieval is performed. | |
|---|---|---|---|---|
| L1 flags: Grid points position within Field of View | Grid points classified as belonging to Alias Free FOV, Extended AF FOV and (being inside) near the border of it | The definition of | 1) Grid points outside | |
| | | border will be configurable. First approach considers 30 km To be discussed: Should the BORDER points be processed? | EAF _FOV will not be processed (if any) 2) A L2 flag can indicate the number of views belonging to each one of these three categories that have | |
| | | | been used to compute an SSS value | |
| L1 flag: RFI | L1 will not apply a RFI static mask (difficult due to being angle dependent) but build a table that will be further filled | TBD by L1? | Not process views flagged RFI by L1 | |
| Corrupted data (due to RFI or any other reason) | Step 1: Tb values within expected range | TBD | Process | |
| | Step 2: Regression of Tb values vs. incidence angle and check outliers Or alternative method proposed by JLV at SRR (see below) | 3 sigma or gaussian shape of the Tb distribution | Remove outliers | |
| Galactic noise | If specular reflection goes to center of galaxy … (SRR: to be written by JB) | TBD | TBD | |
| Sun glint and other Sun flags from L1 | Use model by N. Reul and compare with L1 flags | To be completed by NR | TBD | |
| Moon glint | Check if point is affected by specular reflection | If yes | Flag grid point | |
| Num. of observations | Angular data available | By now we decide not to specify a minimum number for flagging | Number = Field in output product (can be completed by FOV information as described above) | |
| Heterogeneity of sea state | TBD | | Specific processing: modify sigma in iterative retrieval in function of the ocean area | : |
| | | | | iterative retrieval in function of the ocean area | |
|---|---|---|---|---|---|
| Rain | High value of rainfall (ECMWF data) | | TBD | Flag: intense rain | |
| Spatial resolution and ellipticity of measurement | Warning. we might need big and elongated measurements for bias correction | Warning. we might | 100km (TBC) | | Flag or discard? |
| | | need big and elongated | | | Now incorporated in |
| | | measurements for bias | Threshold on major/minor axis ratio TBD | land mask issue | land mask issue |
| | | correction | | | |
Method to detect outliers (proposed by JLV):
1. For each measurement run forward model with auxiliary data and climatological SSS
2. Remove median of model and data for a grid point (to avoid the scene dependent bias issue)
3. Compare measurements with modeled values and discard those that differ by more than 5 times the radiometric noise
4. Algorithm description
In the following sections it is necessary to take into account that polarised brightness temperature (of a plane wave measured by a radiometer) can be described through the polarisation vector [Tb] = [Thh, Thv, Tvh, Tvv] in the Earth reference frame and [Txx, Txy, Tyx, Tyy] in the antenna reference;
or through the Stokes vector [I, Q, U, V], where:
I, first Stokes parameter, is the sum of both perpendicularly polarised Tb, H-pol + V-pol (Thh+Tvv or Txx+Tyy, depending on the reference) and represents the total power transported by the wave
Q, second Stokes parameter, is their difference V-pol – H-pol (Tvv-Thh or Tyy-Txx), and represents the linear polarisation oriented in the reference direction
U, third Stokes parameter, is the difference between linear polarisation components oriented in +45º and -45º; it is related to cross-polarisations by U = Txy+Tyx = Thv+Tvh
V, fourth Stokes parameter, is interpreted as the difference between left-hand and right-hand circularly polarised brightness temperature; all measurements indicate that it is negligible at L-band, so for most applications V is assumed to be 0.
Most of times, instead of the Stokes vector, the modified Stokes vector [T1, T2, T3, T4] ([Thh, Tvv, UEarth, VEarth] or [Txx, Tyy, Uantenna, Vantenna]) is used, as it is composed by the quantities actually measured by a fully polarised radiometer:
[modified Stokes vector] =λ
2
/kBη[<|E |
2
>, <|E |
2
>, 2Re<E E
*
>, 2Im<E E
*
>]
where λ is the radiometer's wavelength, k the Boltzmann constant, B the bandwidth, and η the medium impedance (air). EH and EV are the two orthogonal components of the plane wave.
H
V
V H
V H
To avoid any misunderstanding with other parameters used throughout this document we will designate the modified Stokes vector by [A1, A2, A3, A4] in the antenna reference (instead of [Thh, Tvv, UEarth, VEarth]) and [Th, Tv, T3, T4] in the Earth reference (instead of [Txx, Tyy, Uantenna, Vantenna]). This convention was adopted as part of the harmonisation activities in L2 processors development (see in annex ACRI Reqts_L2Draft-2.doc: SMOS L1c product requirements for sea surface salinity retrieval at level 2, 28/4/05).
Note: Need to specify in all modules whether angles are from nadir or zenith, and whether they are provided in degrees or radians
Formatted: English (U.K.)
4.1. Flat sea
4.1.1. Theoretical description
126.96.36.199. Physics of the problem
The brightness temperature can be expressed as the sum of two terms; the brightness temperature in the case of completely flat sea and the additional brightness temperature (∆Tb) due to the surface roughness, as follows:
The first term is Tb due to the emission of a flat sea surface, which is well described by the Fresnel equations and is polarization dependent (p). The second term is the increment of brightness temperature due to sea roughness, which can be described through several parameters (Prough) related to processes that modify this roughness. θ is the angle under which Tb is measured, SST is the sea surface temperature and SSS the sea surface salinity, understanding as surface the upper fraction of the ocean that contributes to L-band emission (approx. 1 cm).
The brightness temperature is defined as:
where e(θ) is the flat surface emissivity at L-Band which carries the major information regarding SSS. It can be written, as follows:
where Γ is the Fresnel reflection coefficient, that is dependent on the incident radiation nadir angle θ, and on the complex dielectric constant of sea water ε, and the polarisation.
Deleted: R
The complex dielectric constant of the sea water is dependent on temperature and on the concentration of salt. It can be calculated at any frequency, within the microwave band, from Debye (1929) expression:
in which i is the imaginary number, ε∞ is the electrical permittivity at very high frequencies, ε is the static dielectric constant, τ is the relaxation time, σ is the ionic conductivity, and ε0 is
s
the permittivity of free space. εs, τ and σ are functions of the temperature and salinity of seawater, and have been evaluated by Klein and Swift (1977), Ellison et al. (1998) and Blanch and Aguasca (2004).
After some comparisons and analysis (Camps et al., 2004; Wilson et al., 2004), the Klein and Swift dielectric constant model has been agreed to be the model that better expresses this parameter.
188.8.131.52. Mathematical description of algorithm
Following Klein and Swift (1977) model, the values of the parameters that describe the dielectric constant of sea water are:
Being S the salinity in psu (practical salinity units, UNESCO, 1978) and T the temperature in ºC. For application in SMOS S will be SSS and T will be SST (note that SST is elsewhere expressed in Kelvin).
The dielectric constant ε is computed following equation [4.1.4] and a complex value results. Then the Fresnel reflection coefficients for a flat sea, for each polarisation, can be calculated as follows:
And finally Th and Tv for a flat surface are computed following [4.1.2] and [4.1.3], as:
Formatted: Lowered by 41 pt
184.108.40.206. Error budget estimates (sensitivity analysis)
∞ ε has an error of 20% but this is negligible at L-band.
Cox quotes that the ionic conductivity of the sea water, σ, has an error of ± 0.03% for salinities between 30 and 40 psu, which is also negligible.
The static permittivity, εs, has a maximum per cent error of 0.49 with respect the measurements, and an average per cent error of 0.11.
The relaxation time, τ, has been derived from measurement with an accuracy of 2.12*10 -13 and this is the assumed error for that parameter.
Ho's estimated error for ε' is 0.2%.
Taking ε =75 + j42, which is the approximate value of the dielectric constant of the sea water at 1.43 GHz when SSS=20 psu and T=20ºC, it then follows that the error associated with this particular choice is:
Using the above mentioned values, δε' ≈ 0.15 and δε'' ≈ 0.13. Hence, the error in the brightness temperature with T=293K is
4.1.2. Practical considerations
220.127.116.11. Calibration and validation
S. Blanch, from the Polytechnic University of Catalonia (UPC), is preparing a new laboratory experiment to compute the parameters that describe the dielectric constant following the Debye expression. Results of this experiment will be used to validate the Klein and Swift model. If any change or tuning of the parameters is necessary this should be applied to the model, and the corresponding coefficients file modified accordingly.
18.104.22.168. Quality control and diagnostics
4.1.3. Assumption and limitations
The measurements on which the Klein & Swift model has been based, were obtained from NaCl solutions and some from real sea water samples. Few measurements were done on the salinity range from 30-40 psu, which are the most common values in the world's ocean. However, until a new model is established and validated, the SMOS and Aquarius communities agreed on using Klein and Swift.
Bibliography
Blanch, S. and Aguasca, A. (2004). Seawater dielectric permittivity model from measurements at l-band. Proceedings of IGARSS 2004, Alaska.
Camps, A., Font, J., Gabarró, C., Miranda, J., Obligis, E., Labroue, S., Boone, C., Sabia, R., Vall-llosera, M., Reul, N., June 2004. WP1100, ESTEC ITT 1-4505/03/NL/Cb
Debye, P. (1929). Polar Molecules. New York: Reinhold.
Ellison, W., Balana, A., Delbos, G., Lamkaouchi, K., Eymard, L., Guillou, C., and Prigent, C. (1998). New Permittivity Measurements of Sea Water. Radio Science, 33(3):639–648.
Klein, L. and Swift, C. (1977). An Improved Model for the Dielectric Constant of Sea Water at Microwave Frequencies. IEEE Transactions on Antennas and Propagation, AP-25(1):104–111.
Swift, C. (1980). Passive Microwave Remote Sensing. Boundary-layer Meteorology, 18:25–54.
UNESCO (1981) The Practical Salinity Scale 1978 and the International Equation of State of Seawater 1980. 10th report of the Joint Panel on Oceanographic Tables and Standards. UNESCO Technical Papers in Marine Science, 36
Wilson, W., Yueh, S., Dinardo, S., and Li, F. (2004). High stability l-band radiometer measurements of saltwater. IEEE Transactions on Geoscience and Remote Sensing, 42(9):1829–1835.
4.2. Surface roughness 1: two-scale model
4.2.1. Theoretical description
For a complete description of the model, the reader should refer to (Yueh, 1997).
22.214.171.124. Physics of the problem
By definition, sea surface brightness temperature, Tb sea, in the direction defined by the incident angle θ and the azimuth angle φ is:
b sea
T (θ,φ) =SST·e(θ,φ
), where e is sea surface emissivity and SST is sea surface temperature1. Assuming thermodynamical equilibrium, the Kirchhoff law applies and e = a = 1 − R , where a and R are sea surface absorptivity and reflectivity respectively. The so-called modified Stokes vector is written as
where Tv and Th are Tb sea in vertical and horizontal polarisations (hereafter V- and H-pol) respectively, related to first and second Stokes parameters by I = Tv + Th and Q = Tv − Th respectively, and T3 and T4 are the third (U) and fourth (V) Stokes parameters respectively. Due to the sea surface not being flat, scattering induced by sea waves slightly modifies the reflectivity from Fresnel's equations. Consequently, R depends not only on incidence angle θ and sea water dielectric constant (and in turn on SST and SSS ) but also on φ and shape of the surface, i.e. the roughness.
The sea surface is never flat, with roughness at very different scales being created by local and instantaneous wind and/or distant wind (inducing swell), as well as by wave interactions. Roughness at sea surface scatters impinging electromagnetic waves and consequently modifies reflection from Fresnel's equation. Numerical rigorous solution of Maxwell's equations is not considered as they cannot be resolved explicitely. There is two widely-used approximated models, the two scales model and the so-called one-scale small slopes approximation. A simpler approach based on geometric optics (GO) (Stogryn (1967), Prigent and Abba (1990)) is discarded for use at low frequency. Indeed, whereas at high frequencies (i.e. in the millimeter domain) waves smaller than λ0 (the radiometer wavelength) have a negligible contribution and all ocean waves can be considered as large-scale, simulations at 21 cm showed that a significant signal is induced by small scales and that a large part of roughness-induced signal is not predicted by GO (Dinnat et al, 2002b). Noticeably, GO predicts very small roughness effect on Tb sea at nadir and moderate incidence angles, in contradiction with observations from Hollinger (1971), Swift (1974), Webster and Wilheit (1976), Camps et al. (2004a) and Etcheto et al. (2004), as well as those from Blume et al. (1977) at 2.65 GHz. Note that it is very unlikely that the observed Tb variations correlated with wind speed variations are due to foam only, because they were observed also at small wind speed WS and the trend was close to linear in WS (in the limit of measurements precision).
126.96.36.199.1. Electromagnetic model
In the two-scale model, surface is modelled as the superimposition of small waves upon large waves, roughness scales being parted into small and large scales by a cutoff wavelength λc. Small scales are sea waves whose height is small compared to λ0 and large scales are waves whose curvature radius is large compared to λ0 . Below we summarize main elements of the two scale model of (Yueh (1997). The reader should refer to the original paper for a complete description.
To derive Tb sea , one combines both large and small scales by integrating contributions of all large waves over the slopes domain (Sx, Sy) and weighting contributions by the slopes probability density function (PDF) of the large waves (P(Sx, Sy)). It follows that
where P is assumed to be Gaussian, and its width depends on the mean square slope (MSS) of the large-scale waves, S'x and S'y are the surface slopes along and across the radiometer azimuth observation direction, respectively. Local brightness temperature for a large wave (Tb,l) differs from Tb flat because (1) incidence and azimuth angles are modified because of the large wave's tilting, resulting in local incidence and azimuth angles (θ l, φ l), and (2) diffracting small-scale roughness is present on the large wave. Hence, Tb is expressed as Tb,l (θ l, φ l) = SST · (1 − Rss(θ l, φ l)) . (6)
where Rss = Rc+Ri is reflectivity of small-scale roughness covered surface, separated into a coherent (Rc) and an incoherent (Ri) component. The incoherent term, that accounts for waves impinging from non specular direction and scattered toward the radiometer, according to first order small-perturbation method (SPM1, Rice (1951)) is written as:
where γ functions are the bistatic scattering coefficients, dependent on sea surface power spectrum of small-scale roughness (ψss).
The coherent term Rc, that expresses reflection and scattering of the power impinging from specular direction, is modeled using a second order small perturbation method (SPM2, Yueh et al. (1988)). Coefficients derived from SPM2 are (Yueh, 1997):
Johnson and Zhang (1999) introduce the unified equation that unifies Ri and R:
c
where the first term is the reflectivity of a flat sea, ψ is the surface power spectrum, kc = 2Π/λc is the cutoff wavenumber and gp functions (p = v, h, 3 or 4) that account for both coherent and incoherent contributions to δRss, the correction to Fresnel reflectivity induced by small-scale waves. Expanding physical quantities in a Fourier series with respect to azimuth direction, and under the assumption of even symmetry for surface roughness, one has: δRss = δRss,0 + δRss,2 f(2φ0)
where f is cosine function for Tv and Th and sine function for T3 and T4, C(k, φ) = k4 Ψ(k, φ) is the 2D surface curvature spectrum. Therefore, the omnidirectional component (δRss,0) and second harmonic amplitude (δRss,2) result from weighted integrals of the respective harmonics of the curvature spectrum:
and
where ξ= k/k0 and g'p,n = gp,n/ξ are scattering weighting functions given by Johnson and Zhang (1999).
Dinnat and Drinkwater (2004) assessed the relative influence of the various scales on Tb sea from above weighting functions. Similarly to the radar case, there is a specific range of wavelengths (i.e. typically around λ0 ) that contributes most to Tb sea, particularly when θ is small. However, significant additional contributions arise also from various scales especially at large θ. Therefore, good knowledge of roughness is required over a wide range of scales (typically from 1 m to 2 cm).
188.8.131.52.2. Sea surface roughness model
In the following Tbsea is decomposed as:
Tbsea=Tbflat + Tbrough
Where Tbflat is Tb modelled for a flat sea and Tbrough is the signal induced by the roughened sea.
Sea surface roughness is described using a 2D surface power spectrum ψ(kρ', φ'), i.e. a Fourier transform of the autocorrelation function of sea surface height, that appears in Rc and Rss equations and implicitly in Ri, or using 2D curvature spectrum C(k,φ ) that appears in δRss,0 and δRss,2 equations. ψ is also used in the composite model to compute large-scale MSS that defines the slopes probability density function (PDF) of the large waves (P) used in Tbsea equation. There exists in literature many very different wave spectrum models (e.g. Durden and Vesecky (1985), Donelan and Pierson (1987), Apel (1994), Yueh(1997), Elfouhaily et al. (1997), Lemaire (1998), Kudryavtsev et al. (1999)...). In the following we focus on DV model as it has been widely used to simulate Tbrough at L-band and it simulates Tbrough in good agreement with campaign measurements provided it is multiplied by a factor2. Table 1 summarizes Irough (=Tvrough+Through) sensitivity to wind speed, as found from 2-scale model and DV2 spectrum and derived from various campaigns:
Table 1 : Irough sensitivity to wind speed, for wind speed above 3m/s: theoretical models without foam and measurements
| | dI/dWS | Incidence angle |
|---|---|---|
| SPM model + 2x Durden and Vesecki wave spectrum | 0.45K/m/s | 0-50° |
| Hollinger measurements | 0.35K/m/s | 20-70° |
| WISE measurements | 0.4K/m/s May decrease to 0.3K/m/s at 55° depending on wind height corrections (Camps et al., 2004) | 25-55° |
| Eurostarrs measurements Mediterranean transit | 0.5K/m/s Assuming dTh/dWS=dTv/dWS (NB: if it is not true, dI/dWS should be larger) | 21.5 and 38.4° |
| Cape Cod Canal measurements | 0.5K/m/s Assuming dTh/dWS=dTv/dWS (NB: if it is not true, dI/dWS should be lower) | 23° |
The Durden and Vesecky (1985) (hereafter DV) model is a semi-analytic spectrum, that relies onwork by Pierson and Moskowitz (1964) for gravity waves ranges, on Phillips (1977) for general form in equilibrium range, and that is fitted to HH-pol radar data at 13.9 GHz in order to account for deviation from the Phillips spectrum. The model is tuned to agree with Cox and Munk (1954) (hereafter CM) measured MSS. Yueh (1997) proposes to multiply the DV model by a factor 2 (hereafter DV2) to account for possible underestimation of MSS measured by Cox and Munk (1954), as suggested by Donelan and Pierson (1987) and Apel (1994), and to better fit data at 19.65 and 37 GHz. It should be noted however that, if needed, the multiplying factor is quite uncertain, and Tbrough is directly proportional to this factor.
Upwind/downwind Tb sea asymmetry is uncertain at L-band: using the empirical model for roughness asymmetry developed by Yueh (1997) from high frequency radiometric data, it is estimated to be up to ± 0.4 K at θ = 60° and WS = 8 m/s, and very small at moderate incidence angles. Upwind/crosswind asymmetry is very dependent on the spectrum model. Elfouhaily et al. (1998) model predicts asymmetry 3 times larger than DV2 model (and hence 6 times larger than DV), but still at most ± 0.3 K for WS = 10 m/s.
Sensitivity to roughness and model uncertainty studies are reported in Dinnat et al. (2003a). In this model, influence of roughness depends slightly on SST and SSS. Using a constant SST over the global ocean for estimating roughness effect would induce an error on retrieved SSS of the order of 0.5 psu between regions having SST differing by 30°C (the SSS effect is less important as a variation of 7 psu on SSS leads to a less than 0.1 psu error on retrieved SSS ). Therefore, Tbrough dependence on SST should not be neglected in case of SSS retrieval in the context of largely variable SST , as for example for global ocean measurements where there is a risk to introduce regional biases.
Whatever the sea-surface spectrum model is, wind increases Tv and Th for most incidence angles, by the order of a few tenths of a Kelvin per meter per second (see fig. 1 derived from DV2 spectrum). Sensitivity of Tv varies very slightly with θ up to 30°, where it starts to decrease to reach 0 close to 55°, and to become negative above. Sensitivity of Th increases with incidence angle. These large sensitivity differences between V- and H-pol are due to the combination of large- and small-scale effect. Figure 1 also reports Tb rough simulated taking into account only one of the two scales domain. Whereas the effect of small scales is an increase of roughly the same amount in Tv and Th up to 50°, the effect of large scales is opposite in V and H-pol, and very dependent on θ. Therefore, the increase in Th sensitivity with θ results from the addition of both scales effects, whereas the decrease in Tv sensitivity at large θ translates the increasing relative importance of large scales effects that counteract small scales effect, θ ~55° being the incidence angle at which both scales effects cancel each other.
Nevertheless, it is of interest to note that over most of the incidence angles measured by SMOS, the major contributors to Tbrough are the small scales.
In the studies mentionned above, these small scales have been parametrized using WS assuming a neutral atmosphere (no air-sea temperature difference), i.e. a unique relationship between the friction velocity, U*, and WS. However this is usually not the case in the real
Comment [EL6]: You should keep in mind that this is true only and only if roughness and SST are decorellated. In Dinnat et al, SST impact on roughness Tb is only considered through changes in the dielectric constant. However, in reality roughness is strongly correlated with SST especially for frontal locations, so that you should be more carefull in your statements here. (N. Reul)
world and atmospheric instability may create variations on the order of 5-10% on U*. Wind speed, WS, at an altitude z, and U* are classically related using -the Monin-Obukhov equation:
where uc is the surface velocity (i.e. the surface current), κ is von Karman's constant (normally assigned to a value of 0.4), z0 is the roughness length (often parametrized as a function of U* and possibly dependent on wave age, in meters), and Ψ is a function of the stabiility parameter z/L where L is the Monin Obhukov length that classically depends on temperature difference between air and sea, on SST and on relative humidity,
-or using a drag coefficient:
that depends on the above mentionned parameters.
In Dinnat's model, when looking at Tbrough as a function of WS or as a function of U* for variations of Cd of 5 to 12%, we observe that Tbrough better correlates to U* than with WS : on Figure 2 Tbrough simulations are presented for a 50° incidence angle (for which we expect the largest influence of both WS and U* because of the competitive effect of small and large scales (Fig.1)): nevertheless the correlation with U* is still much better than with WS and the scatter induced by the varying Cd is always less than 0.1K for a given U* (which is not true for a given WS).
Therefore, instead of parametrizing Tbrough variations as a function of WS only, we propose to relate them to U*, and to introduce the neutral equivalent wind speed parameter that is the parameter usually retrieved from scatterometer measurements.
Since scatterometer is primarily sensitive to U*, a neutral equivalent wind speed, WSn, has been introduced in the scatterometer community [Liu and Tang, 1996] that represents the wind speed that would be measured at 10m height if the atmosphere were neutral and if the surface speed was zero:
Given air-sea temperature differences and relative humidity observed over various regions of the open ocean, systematic differences of 0.5 to 1m/s over some particular regions may occur between WS and WSn [Liu and Tang, 1996](e.g. in the equatorial Pacific).
184.108.40.206. Mathematical description of algorithm
Since the model computation is very heavy, a tabulation of Tbrough will be provided. Tbrough is decomposed as the sum of an omnidirectionnal signal plus first and second harmonics:
where φ is the azimuth angle between wind direction (φw) and the azimuthal observation angle of radiometer look direction (φr): φ = φw-φr with all these angles counted counterclockwise.
Tabulations of Th0,Th1,Th2,Tv0,Tv1,Tv2, U1,U2,V1 and V2 will be provided, as functions of incidence angle, SSS, SST, wind speed assuming a neutral atmosphere, WSn (TBC). Whether Tbrough can be entirely described using WSn, or whether WS and WSn (or U*) need to be kept, need to be confirmed depending on:
-accuracy of ECMWF WS
-possibility of deducing a reliable U* from ECMWF WS and Tair-Tsea
-sensitivity of Tbrough to WS/U*
It is proposed to deduce WSn from ECMWF U*, using the same z0 formulation as the one used in the ECMWF model, and to make the inversion on WSn as it is the parameter which influences the most Tbrough.(TBC, depending on the reliability on ECMWF z0 parametrization)
The tabulation will be provided at the following geophysical values:
SSS(psu) =[30 40]
SST(°C) = [0 5 10 15 20 25 30]
WSn (m/s)=[2 3 5 7 10 13 15 17 20 25 30]
ϑ(°)=[0 4 8 12 16 20 24 28 32 36 40 44 48 52 56]
and all the Tbrough = 0 for WSn=0.
The extrapolation has to be done linearly in the following order: 1-extrapolation in SSS; 2extrapolation in SST; 3-extrapolation in WSn; 4-extrapolation in incidence angle; this ensures a precision of 0.05K on each parameter. Extrapolation out of the tabulation ranges has to be made using the coefficients of the linear extrapolations on the last closest points.
220.127.116.11. Error budget estimates (sensitivity analysis)
The advantage of retrieving WSn is that it is comparable to scatterometer derived wind speed. It would be of interest, before launch, to compare ECMWF WSn with scatterometer WS, in order to validate ECMWF WSn, and to decide the order of magnitude of differences between retrieved (from SMOS inversion) and first guess ECMWF WSn that are acceptable.
4.2.2. Practical considerations
18.104.22.168. Calibration and validation
It is likely that the factor 2 applied to the DV spectrum will need to be adjusted during the comissionning phase. Since Tbrough is proportionnal to this factor, the possibility of adjusting it should be kept.
Extrapolation of the tabulated values must be compared with model outputs to validate the extrapolation method.
22.214.171.124. Quality control and diagnostics
Values outside the min/max ranges given in the Tbrough tabulations should be deduced from a linear extrapolation of the two edge values of the tabulations (since most of the dependences are close to linear), except for low wind speed where Tbrough at WS between 0 and 2m/s should be deduced from a linear interpolation between 0 and Tbrough(2m/s).
4.2.3 Assumption and limitations
In the present approach, surface speed (uc) is neglected while studies like [Kelly et al., 2001] evidence that current speed has an impact on scatterometer measurements in case of strong currents gradients (equatorial Pacific); whether it should be taken into account or not will depend on the confidence we can put on ECMWF surface current speed (TBD).
Roughness is not necessarily related to local and instant wind only, and wind effects also imply itsduration and action distance, as well as the presence of swell. These effects are not included in the present model but may be included in U* computation.
Additional phenomena are likely to cause noticeable modification of Tb sea . The first one is foam,that appears above a threshold wind speed, and whose permittivity largely differs from the one of sea water. During experimental campaigns it is very difficult to separate roughness and foam effect so that it is possible that the factor of 2 applied to DV spectrum is slightly overestimated but it was not possible using WISE and Eurostarrs data to demonstrate that dependence of Tb with respect to WS was non linear, implying that foam effect was weak. The second one, still to be investigated for L-band radiometry, is the presence of surface slicks of natural or non-natural origin. Slicks are known to damp roughness at specific scales, and their permittivity different from that of sea water might change Tb sea .
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Sasaki, Y., I. Asanuma, K. Muneyama, G. Naito, and T. Suzuki, The dependence of sea-surface microwave emission on wind speed, frequency, incidence angle and polarization over the frequency range 1 to 40 GHz, IEEE Transactions on Geoscience and Remote Sensing, GE-25, 138-146, 1987.
Stogryn, A., The apparent temperature of the sea at microwave frequencies, IEEE Transactions on Antennas and Propagation, 77, 1658–1666, 1967.
Swift, C. T., Microwave radiometer measurements of the Cape Cod Canal, Radio Science, 9, 641– 653,1974.
Webster, W. J., Jr., and T. T. Wilheit, Spectral characteristics of the microwave emission from a winddriven foam-covered sea, Journal of Geophysical Research, 81, 3095–3099, 1976.
Weill, A., T. Besnard, S. Contardo, J. Etcheto, and J. Boutin, WISE results from whitecapping andstereophotogrammetry: a tentative of superposition of topography and foam surface to retrieve active and fossil foam, in First Results Workshop, EuroSTARRS/WISE/LOSAC Campaigns, ESA SP525, pp.89–94, ESTEC/European Space Agency, 2003.
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Yueh, S. H., Modeling of wind direction signals in polarimetric sea surface brightness temperatures, IEEE Transactions on Geoscience and Remote Sensing, 35, 1400–1418, 1997.
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Yueh, S. H., R. West, W. J. Wilson, F. K. Li, E. G. Njoku, and Y. Rahmat-Samii, Error sources and feasibility for microwave remote sensing of ocean surface salinity, IEEE Transactions on Geoscience and Remote Sensing, 39, 1049–1060, 2001.
4.3. Surface roughness 2: SSA
4.3.1. Theoretical description
126.96.36.199. Physics of the problem
Polarimetric passive remote sensing involves measurement of all four modified Stokes parameters of the microwave thermal emission:
where h T and v T are the brightness temperatures measured by horizontally and vertically polarized antennas respectively, and U T and V T are proportional to the real and imaginary parts of the correlation between fields in horizontal and vertical polarizations respectively [1] (T3 and T4 in the rest of the document).
The second equality follows from Kirchhoff's Law, which relates the emissivity of a medium at constant temperature to the corresponding reflectivity (rh, rv, rU and rV) multiplied with the surface physical temperature Ts. Reflectivities are calculated as an integral of bistatic scattering coefficients over the upper hemisphere in the reciprocal active scattering problem [2].
Particular interest in sea surface salinity remote sensing is given to brightness temperature variations with surface salinity and temperature when the sea surface is assumed smooth. In that case, it is straighforward to calculate reflectivities in Equation (1) at a given incidence angle using Fresnel reflection laws provided an accurate dielectric constant model is available at L-band. However, in the various discussions of the Sea Surface Salinity (SSS) retrieval schemes applied to spaceborne L-band radiometer data ([3]-[5]), it is clear that the major uncertainty in the required modelling is the effect of the wind and wave-generated roughness on the emissivity of the ocean's surface at L-band. The purpose of this section is to document one of the three forward models, namely the "SPM/small slope approximation (SPM/SSA)" that will provide roughness impact corrections in the version of the SSS retrieval algorithm used at launch of the ESA's Soil Moisture and Ocean Salinity (SMOS) satellite mission.
Analytical and numerical models for the calculation of the rough ocean surface polarimetric thermal emission have been developed [6]–[11], primarily through application of standard surface scattering approximate methods to calculate surface emissivity using Kirchhoff's law. Models based on both the small perturbation method (SPM) and the physical optics (PO) approximation have been presented. The physical optics (PO) approximation was shown to clearly underestimate the sea surface emissivity observations at L-band [12, 13], particularly in the low incidence angle range (less than about 20-30°). This is mainly because such model does not account for scattering on small roughness elements. Recent works [8-10] has further revealed that use of the SPM for emission calculations results in a small slope, rather than small height, emission approximation identical to that which would be obtained from the small slope approximation of [14], so that the SPM can provide accurate emission predictions even for surfaces with large heights in terms of the electromagnetic wavelength. Numerical tests of the SPM for a set of canonical periodic surfaces have confirmed this statement [15]. Moreover, the success of the SPM/SSA in matching measured brightness temperature [6,16-
19] has shown that the technique should be applicable for rough ocean surface brightness temperature predictions. These results motivate use of the SPM/small slope approximation (SPM/SSA) for the prediction of ocean polarimetric thermal emission at L-band. The Stokes vector of sea surface brightness temperatures observed at radiometer frequency f, incidence angle θ i and azimuth angle relative to wind direction i φ can be written:
where Ts is the sea surface temperature. ) , ( ) ( i o f R θ γ are the Fresnel reflection coefficients at polarization γ, and the ) , , ( i i f e φ θ γ ∆ are the first prediction of emissivity changes due to the rough sea surface. The physics of the forward problem here is to estimate accurately the windexcess emissivity Stokes vector ) , , ( i i f e φ θ γ ∆ at f=1.4 GHz for the range of ) , ( i i φ θ values encountered in L1C SMOS data and for a range of wind and sea state conditions representative of the global ocean.
The SPM/SSA applies standard small perturbation theory to predict the bistatic scattering coefficients of a rough surface, and integrates these scattering coefficients over the upper hemisphere to obtain the reflectivities and hence brightness temperatures. The resonance behaviours observed in the critical phenomena region [20] produce a significant sensitivity of emission harmonics predicted by the SSA to ocean length scales of order equal to the electromagnetic wavelength. However, these emission harmonics are also sensitive (with the exception of the fourth Stokes parameter) to anisotropy in ocean length scale much larger than the electromagnetic wavelength. Use of the SPM/SSA up to 2nd order produces an expansion in surface slope, with zero order terms reproducting flat surface emission results, first order terms identically zero, and second order terms providing the first prediction of changes from flat surface brightnesses.
The second order terms take the form of an integral of a set of weighting functions over the surface directional spectrum, so that the wind-excess emissivity Stokes vector ) , , ( i i f e φ θ γ ∆ can be expressed as follows using the second order SPM/Small Slope Approximation theory (e.g., see [19]):
where ) , ( φ k k = r is a surface wavenumber vector, W φ , (k ) is the sea surface directional waveheight wavenumber spectrum, sw ε is the sea water dielectric constant and the gγ kernels are electromagnetic "weighting" functions given explicitly in [19].
Note, that when deriving an asymptotic solution for EM scattering on the rough ocean surface, a key issue is to determine a tractable statistical description which specifies the sea surface geometry on a very wide range of scales (0.005-200 m). In most practical and/or theoretical studies, Gaussian statistics are assumed. Under such assumptions, the solution will then only depend upon the definition and the shape of the correlation function. Under Gaussian statistics assumption, which is used as well in the present SPM/Small Slope Approximation theory, the result can be expressed strictly in terms of a roughness spectrum. In the present algorithm, we used the Kudryatsev et al model [21] to estimate the sea surface roughness spectrum W φ , (k ) in Equation (3), which was recently developed based on available field and wave-tank measurements, along with physical arguments concerning the dynamics of short-gravity waves. These scales indeed represent particularly important surface components for emissivity at 1.4 GHz, since they belong to the so-called "critical phenomena" region [20] within which surface components are dominant scatterers at L-band. It is important to note that this spectral model was developed without any relation to remotesensing data. Moreover, by using the Kudryatsev et al spectral model, we avoided some deficiencies of the Elfouhaily et al spectral model as found by other (problems at the low to moderate wind speed transition).
In [19], it was shown that using a Fourier expansion in Eq (3), the wind-excess emissivity components can be separated out in individual emission azimuthal terms as follows:
where the ) (n e γ ∆ terms represent the nth azimuthal harmonics of the wind-excess emissivity.
Note that due to the assumption of gaussianity in the sea surface statistics, the solution can be expressed strictly in terms of a roughness spectrum. Properties of a directional spectrum result in no first azimuthal harmonic variations being obtained; introduction of non-gaussianity is required to obtain first azimuthal harmonics. As second azimuthal harmonics were measured to be already very small at L-band [22, 23], only the second order SSA/SPM expansion is considered here and no first azimuthal harmonic variations are neglected.
188.8.131.52. Mathematical description of algorithm
The nth azimuthal harmonics of the wind-excess emissivity ) (n e γ ∆ terms in Eq (4) can be determined numerically by calculating integrals of the products of the nth azimuthal harmonics of the surface curvature spectrum k 4 W φ , (k ) by the nth azimuthal harmonics of the electromagnetic weighting function gγ .
Typically, the Kudryavtsev curvature spectrum model k 4 W φ , (k ) is determined as function of the following geophysical parameters:
* The wind friction velocity U* [m/s],
WS [no unity] for
* The inverse wave age parameter Ω= p C the wind sea, where WS is the wind speed module at 10 meter height [m/s] and p C is the phase speed at the peak of the wind-sea spectrum [m/s]. Note that Ω= p p gT WS C WS π 2 = where g is the acceleration of gravity [m/s 2 ], and Tp is the peak period of wind-sea [s].
The electromagnetic weighting functions gγ can be determined as function of
* the incidence angle θ i at SMOS pixel, and,
* sw ε , the complex sea water dielectric constant, which is itself function of Sea Surface Temperature Ts and Sea Surface Salinity SSS.
Therefore, the mathematical description of the SSA roughness brightness temperature corrections includes 4 major parts:
(1) A five-dimension Look-Up Table (LUT) of the ) (n e γ ∆ coefficients.
Two options for the look-up table are foreseen as sw ε will be already calculated by the flat-sea surface module of the processor:
: LUT1 as function of
Option 1
* the wind friction velocity U* [m/s],
* the inverse wave age parameter Ω
* the incidence angle θ i at SMOS pixel,
* the real part of sw ε , and,
* the imaginary part of sw ε .
Or
: LUT2 as function of
Option 2
* the wind friction velocity U* [m/s],
* the inverse wave age parameter Ω
* the incidence angle θ i at SMOS pixel,
* the sea surface temperature Ts [K] and,
* the prior sea surface salinity SSS [psu].
* In case of option 2, the same dielectric constant model than the one used in the processor [24?] is used in the generation of the LUT.
Parameter or variable ranges
* For the wind friction velocity U*: 0 1 [m/s],
* For the inverse wave age parameter for wind sea Ω: 0.5 2.5 [m/s],
* For the incidence angle θ i at SMOS pixel [degrees]: 0 75°
* For the sea surface temperature Ts : 269.15 309.15 K
* For the prior sea surface salinity SSS : 0 40 psu
* For the azimuth angle relative to wind direction i φ [in rad] : 0 2 π
* For the real part of the dielectric constant sw ' ε [no unit]: 65 90
* For the imaginary part of the dielectric constant sw " ε [no unit] 0100
(2) A multi-dimensional interpolation step.
Given the four values of the "geophysical" auxiliary parameters estimated at a given SMOS pixel, namely u*i, Ωi, Real( sw ε ), Imag( sw ε ) where Real and Imag denote real and imaginary parts (respectively, u*i, Ωi, Tsi and SSSi ), plus the series of incidence angles (θ i=1,…,N ) associated to the L1C product considered, a cubic spline interpolation is performed from the LUT1 (resp LUT2) to evaluate, the values of ) ( ,..., 1 , n N i e = ∆ γ , the underlying multidimensional functions ) (n e γ ∆ at the pixel considered.
(3) Total roughness-induced emissivity correction.
From the value of azimuth angle relative to wind direction i φ estimated at the pixel [in rad], the total wind-excess emissivity Stokes vector is calculated using Equation (4).
(4) Total roughness-induced brightness temperature correction.
From the estimated values of the total wind-excess emissivity Stokes vectors for each L1C incidence angles, the corresponding brightness temperature changes are derived by multiplying the results by the sea surface temperature at the pixel Tsi. [K].
184.108.40.206. Error budget estimates
In Figure 1, we show the comparison between currently available experimental data collected at L-band over water surfaces [4; 13; 22; 25-29] and the SSA/SPM model predictions of the wind speed sensitivity of surface emissivity at H and V polarization. The figures reveal that the model emissivity dependencies with wind speed are in agreement with the data to roughly about ±5 x10 -4 , in both vertical and horizontal polarizations. This translates into an error in brightness temperature of about 1 K at SST=15°C and WS =7 m/s. Note that this is a very maximized error estimate. In general, the model is found to correctly reproduce the averaged trends observed at both polarization also it often slightly underestimates the data, particularly in V-polarization and around nadir. Discrepancies might be due to either foam, currents, slicks and swell impacts not accounted for in the model or to radiometric uncertainties in the experimental data (see error bars given for some of the data). It is however expected that using auxiliary wind friction velocity data, a measure of wind stress that implicitly carries a response to near-surface phenomena, instead of wind speed at 10 meter height, shall improve the error budget estimate.
There are no evidence of clear azimuthal/wind direction related signatures in the few available measured brightness temperature signals at L-band [22, 23] so that it is now very difficult to estimate errors due to the wind stress directionality.
Therefore, we estimate an overall error budget on the roughness correction factor ) ( i e θ ∆ , as predicted by the SSA/SPM model (without accounting for wind direction impacts), of about:
An additional error will be introduced by the multi-dimensional interpolation scheme from the LUT table. The error is not provided yet in the draft ATBD but will be given later. Note that no error budget can be estimated for the third and fourth Stokes parameters as no data as function of wind speed are currently available for validation.
JPL experiment [4]; ()EuroSTARRS [29]; (--): predictions from the SSA/SPM model at SST=15°C and SSS=35 psu. Error bars show uncertainties in the data of [13] and [27].
4.3.2. Practical considerations
220.127.116.11. Calibration and validation
Calibration and validation of the forward SSA/SPM emissivity model for roughness correction will be done during the commissioning phase and later-on by perfoming residual analysis of the future SMOS measurements and using a formalism proposed for and applied to NASA scatterometer (NSCAT), Special Sensor Microwave Imager (SSM/I) and ESA/ERS scatterometer measurements [see 30].
Using in situ SSS, SST and wind (TAO, Argo drifter+ satellite SST and winds and ECMWF model winds) and SMOS co-localized data, the first step will be to remove the flat sea surface contribution from the SMOS surface brightness temperature data (i.e., corrected for atmospheric, ionospheric, galactic and sunglint contribution) in order to estimate the residual Stokes vector of roughness impact ) ( i B e θ ∆ . The in situ and satellite SSS, SST and wind data will be the chosen reference. In addition, ECMWF analysis winds will be used as a thrid data source to completely determine the errors via a multiple collocation analysis. The main objective will be to present observed correlations between regional and seasonal model roughness correction factors ) ( i B e θ ∆ errors and nonwind oceanic and atmospheric factors such as the surface current and sea state. Following the methodology applied in [30], we shall explicitly take into account the errors in the reference datasets as well as in the roughness correction factors retrieved estimates. The gain shall come in more accurate assessment of bias and variance and less possible systematic contamination that can obscur geophysically driven impacts not accounted for by the SSA/SPM model.
18.104.22.168. Quality control and diagnostics
As explained in section 4.3.3 below, the SSA/SPM model is not expected to provide correct results for wind seas generated by winds less than about 2 m/s and larger than 15 m/s . This corresponds roughly to wind friction velocity u* less than 0.6 cm/s and larger than 0.5 m/s. The model can be applied as it is at launch for conditions out of this range however, we expect that the CAL/VAL activities will provide after commissioning phase a variability estimate at low winds and a residual foam impact at high winds which will be used to correctly tune the model.
22.214.171.124. Exception handling
There is no particular exception handling in the mathematical algorithm except if the following auxiliary data are not provided by the processor or exceed the ranges anticipated:
* the wind friction velocity u* [m/s], (which can be estimated from auxiliary 10 U , the wind speed module at 10 meter height and the auxiliary parameter "Coefficient of drag with waves Cd "defined by : u*= 10 U C d × )
* the inverse wave age parameter Ω for the wind sea (which can be deduced from estimates of both 10 U and the mean period of wind waves Tp: p gT U 10 2 π = Ω ),
* the incidence angles θ i at SMOS pixel,
* the sea surface temperature Ts,
* the prior sea surface salinity SSS, and,
* the azimuth angle at SMOS pixel relative to wind direction i φ .
4.3.3. Assumption and limitations
SSA/SPM approximation is by essence a first-order small slope perturbation approximation so that it is not expected to correctly estimate the roughness impact for sea surfaces exhibiting large slopes and most importantly, large curvature. Therefore, it is expected to fail in strong frontal conditions (strong wave-wave, wave-current or wind-wave interaction conditions). Moreover, the sea surface state model (i.e. Kudryavtsev et al) is only accounting for wind seas. Moreover, it should be valid for wind seas generated by winds stronger than about 2 m/s and less than 15 m/s. Out of these limits, it is not expected that the physics of air-sea interaction is correctly accounted for.
Therefore, we do not expect the model to perform well in presence of either strong swells, strong currents, very small and unsteady winds as well as stormy conditions. We expect however that accounting for the impact of waves on the drag coefficients will better characterize impact of these parameters on roughness.
References
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4.4. Surface roughness 3: empirical
4.4.1. Theoretical description
126.96.36.199. Physics of the problem
The brightness temperature can be expressed as the sum of two terms; the brightness temperature in the case of completely flat sea and the brightness temperature (∆Tb) due to the surface roughness:
where the first term is Tb due to specular reflection, which is well described by the Fresnel equations. The second term is the increment of brightness temperature due to sea roughness indicated here by a vector Prough, which includes the effect of some of the parameters that modify the surface roughness, like wind speed (WS), significant wave height (Hs), wave age (Ω)… Furthermore, Tb is polarization dependent.
Several models describe this increment on Tb in a theoretical basis as in the modules 2 and 3. However, these theoretical models are not fully well validated.
This module proposes to use an empirical model describing ∆Tb through several physically measurable parameters and coefficients which are derived from measurements.
The most important parameter that affects the roughness of the sea is the wind speed, due to the stress on its surface and then this is the main (and usually the only) parameter used in the description of the sea roughness. However, this impact is not linear with all wind speeds as shown in several works (Etcheto et al, 2004, Vall-llossera et al., 2003).
A good approximation can be done by using three linear approximations, each with a different slope, that form a continuous function. These three segments are defined in the regions of 0-3 m/s, 3-12 m/s, and > 12 m/s, when the foam factor begins to be important at L-band (Camps et al., 2005).
Miranda et al. (2003), using several wind speed sequences recorded during WISE 2000 and 2001 campaigns (Camps et al, 2004, Camps et al, 2002), found large differences between measured spectra and theoretical fully-developed spectra obtained with the measured local wind speed. This can produce errors on Tb of about a fraction of a Kelvin in both polarizations with opposite sign (therefore, these errors could be minimized by using the first Stokes parameter).
This is the case when swell is present, where some events of low local wind speed and high wave height are possible and therefore roughness can not be properly described only by the wind speed.
In Gabarró et al, 2004a, a new empirical model is proposed to describe the increment of Tb due to the roughness of the sea as function of wind speed and also significant wave height.
Comment [EL7]: Be careful there is already p parameter for polarization. Another notation should be used NR
No confusion possible: polarization always lower case, parameter upper case CG
That model is derived from WISE 2001 campaign measurements. Gabarró, 2004b compares the behaviour of this model with respect to other models which are only dependent on WS, and better performances are observed when the proposed model is used.
Another parameter that describes the degree of development of the waves is the so-called inverse wave age, Ω. It is defined Ω=WS/Cp, where WS is the surface wind speed at 10 meter height and Cp the phase speed at the peak of the wave spectrum. Ω=2.5 corresponds to very young seas at short fetches while Ω=0.8 corresponds to fully-developed sea state. Since the peak phase speed Cp can be deduced from a measure of the peak wave period Tp via the deep-water dispersions relationship for surface waves, Ω might be correctly evaluated from auxiliary peak wave period values. The inverse wave age is computed by oceanographic models like WAM, from ECMWF. Once the satellite will be flying, the impact of these parameters will be evaluated.
In Camps et al., 2004 authors have observed that azimuthal variations of the measured Tb during WISE 2000 at 25°, 35°, 45°, and 55° incidence angles, and at both polarizations, are within 0.5 K. However, they can be due to differences between calibrations, and the authors do not think there is any measurable azimuthal signature below 10 m/s. Only during very large storms (as the case of WISE2001, with a wind speed of 11m/s and very large waves (3 m < Hs < 5 m)), the azimuthal signature has been observed. Therefore, wind direction is not considered in the empirical model.
The coefficients that weight the contributions of the different parameters in the ∆Tb model will be determined and tuned once the MIRAS instrument will have measured brightness temperatures during the commissioning phase. With those measurements and the auxiliary geophysical parameters, the relations can be derived. Therefore, the software code should be flexible enough to allow these modifications.
The model should accomplish the condition that at nadir the contribution on Tb due to sea roughness is the same for H and V polarization. This assumption can be done since no azimuthal dependence (wind direction dependence) is considered in this model. Several campaigns and measurements have shown that at L-band this dependence is negligible.
A set of different models can be necessary (TBC), as different sea and meteorological conditions can change the relationship between Tb and the different parameters, this is, the coefficients (and so the model) can have spatial variability.
188.8.131.52. Mathematical description of algorithm
Taking into account the results from Etcheto et al., 2004, and Camps et al., 2005, a set of three different models is proposed. The first one will be valid for WS ≤ 3 m/s, the second one for 3 m/s < WS ≤ 12 m/s, and the last one for WS > 12 m/s.
The three models proposed in this module permit to consider several parameters that influence the roughness, or to make them null (by putting the coefficients equal to 0). Also the coefficients should be easily changeable, since once the satellite will be flying the model will be adjusted. Therefore, the general equation for each polarization is as follows (where x is the model used, from 1 to 3):
where the brightness temperature due to roughness can be described by the wind speed (WS), the significant wave height (Hs), the inverse wave age (Ω), the wind friction velocity (U * ), the mean square slope of waves (MSQS), and the air-sea temperature difference (Tair-sea). The wind speed WS is the module of the wind speed components vector (WC_U, WC_V). θi is the incidence angle, measured from the nadir. It should be defined in degrees.
These parameters can be obtained from ECMWF analysed data directly or indirectly. The wave age parameter is defined as p C WS = Ω , where Cp is the phase speed at the peak of wind sea spectrum [m/s]. Note that p p gT WS C WS 1.1 2 π = = Ω , where g is the acceleration of gravity
[m/s 2 ], and Tp is the mean period of wind waves [s], which is given by ECMWF analysis. It is multiplied by 1.1 to obtain the peak period (usually peak = mean + 10%), the parameter actually needed in the computation and not provided by ECMWF. The wind friction velocity U* [m/s], can be estimated by WS C U d × = * , where Cd is the coefficient of drag with waves which is given by the ECMWF data. Air-sea temperature difference should be obtained by subtracting one from the other both given by ECMWF. The rest of the parameters are directly given by models.
The coefficients Ci.x represent the slope of the sensitivity of ∆ΤΒ to the parameters when incidence angle is 0. Zi.x are the coefficients that adjust the values to the different incidence angles. All these coefficients (Ci,x and Zi,x) express the empirical relationship between Tb rough measured by SMOS and the descriptors of surface roughness, therefore they have to be obtained by fitting during the satellite commissioning phase. Consequently they should be written in an external file, so that they could be easily changed.
It has to be noted that no discontinuities should be introduced in the Tb rough equation at the edge values of WS (3 and 12 m/s).
In Gabarró et al., 2004, the model derived from WISE 2001 data set, which considers the WS and Hs parameters, has the following coefficients:
Comment [JF8]: Please note that the writing of coefficients has been changed
The roughness model should be continuous and derivable according to the retrieved parameters.
This empirical model is a linear fit to incidence angle. As will be discussed in section 14 (iterative convergence), not more than two parameters can be simultaneously retrieved per equation. Then, after a series of tests we have to decide what roughness parameters will be used in the model, but for sure not all six of them.
Note: It is not possible here to use the components of the wind speed, WC_U and WC_V, since they can have positive or negative values, depending on the wind direction. Therefore the contribution of Tb due to the wind components could have negatives values, which is physically inconsistent.
184.108.40.206. Error budget estimates (sensitivity analysis)
In Camps et al., 2004, authors observe that the uncertainty of the brightness temperature sensitivity to wind speed is on the order of 0.1 K/(m/s) for all incidence angles, when using the model only dependent on WS. Therefore, for WS=10 m/s, the uncertainty of the brightness temperature Tb is about 1 K. Taking into account the brightness temperature sensitivity to SSS (0.35-0.8 K/psu at V-pol, and 0.20-0.6 K/psu at H-pol), it translates at 10 m/s into a ∆SSS within 1.2-5 psu.
In the case of using a model dependent not only on WS, as part of the contribution on the brightness temperature are explained with other parameters, the sensitivity of the model to the WS will be smaller.
4.4.2. Practical considerations
220.127.116.11. Calibration and validation
During the commissioning phase, half of the measures could be used to adjust the coefficients of the three models. The rest of measures would then be the input for the validation of the model.
18.104.22.168. Quality control and diagnostics
When a significantly strong rain is present in the FOV, the model cannot be applied. This information will be known from the ECMWF data.
4.4.3. Assumption and limitations
We assume that wave and wind directions are negligible. This is argued in Camps et al., 2004 of the Synergy study.
Bibliography
Camps, A., Font, J., Vall-llossera, M., Gabarró, C., Villarino, R., Enrique, L., Miranda, J., Corbella, I., Duffo, N., Torres, F., Blanch, S., Arenas, J., Julià, A., Etcheto, J., Caselles, V., Weill, A., Boutin, J., Contardo, S., Niclòs, R., Rivas, R., Reising, S., Wursteisen, P., Berger, M., and Martín-Neira, M. (2004a). The WISE 2000 and 2001 Campaigns in Support of the SMOS Mission: Sea Surface L-band Brightness Temperature Observations and their Application to Multi-Angular Salinity Retrieval. IEEE Transactions on Geoscience and Remote Sensing, 42(4):804–823.
Camps, A., Font, J., Etcheto, J., Caselles, V., Weill, A., Corbella, I., Vall-llossera, M., Duffo, N., Torres, F., Villarino, R., Enrique, L., Julià, A., Gabarró, C., Boutin, J., Rubio, E., Reising, S., Wursteisen, P., Berger, M., and Martín-Neira, M. (2002b). Sea Surface Emissivity Observations at L-band: First Results of the Wind and Salinity Experiment WISE2000. IEEE Transactions on Geoscience and Remote Sensing, 40(10):2117–2130.
Camps, A., Font, J., Gabarró, C., Miranda, J., Obligis, E., Labroue, S., Boone, C., Sabia, R., Vall-llosera, M., Reul, N., June 2004. WP1100, ESTEC ITT 1-4505/03/NL/Cb
Camps, A., Vall-llossera, M., Villarino, R., Reul, N., Chapron, B., Corbella, I., Duffo, N., Torres, F., Miranda, J.J., Sabia, R., Monerris, A., and Rodríguez, R. (2005c). The Emissivity of Foam-Covered Water Surface at L-Band: Theoretical Modeling and Experimental Results From the Frog 2003 Field Experiment. IEEE Transactions on Geoscience and Remote Sensing, 43(5):925-937.
Etcheto, J., Dinnat, E., Boutin, J., Camps, A., Miller, J., Contardo, S., Wesson, J., Font, J., and Long, D. (2004). Wind speed effect on L-band brightness temperature inferred from EuroSTARRS and WISE 2001 field experiments. IEEE Transactions on Geoscience and Remote Sensing (in press).
Gabarró, C., Font, J., Camps, A., Vall-llossera, M., and Julià, A. (2004a). A New Emprical Model of Sea Surface Microwave Emissivity for Salinity Remote Sensing. Geophysical Research Letters, 31(L01309):1–5.
Gabarró, C. (2004b). Study of salinity retrieval errors for the SMOS mission. PhD thesis, Universitat Politècnica de Catalunya.
Miranda, J., Vall-llossera, M., Camps, A., Duffo, N., Corbella, I., and Etcheto, J. (2003). Sea State on the Sea Surface Emissivity at L-Band. IEEE Transactions of Geoscience and Remote Sensing, 41(10):2307–2315.
Vall-llossera, M., Miranda, J., Camps, A., and Villarino, R. (2003). Sea Surface Emissivity Modeling At L-Band: An InterComparison Study. Proceedings of the WISE/LOSAC/EuroSTARRS campaigns Workshop. ESA, SP-525:143–154.
4.5. Foam Contribution
4.5.1. Theoretical description
22.214.171.124. Physics of the problem
Although foam generated by breaking waves typically covers only a few percent of the sea surface, it has a profound effect on the average microwave brightness of the ocean surface [18]. For surface wind speeds greater than 15 m/s, foam-induced effects may provide as much as half of the total sea surface signature to an orbiting microwave radiometer [9;10].
At L-band, WISE [11 ] and FROG [12] experiments have provided detailed L-band emissivity measurements of the sea foam over a wide range of incidence angles and salinities at both polarizations. Although foam as a weaker impact at 1.4 GHz than at higher frequencies, it was shown that the presence of foam also increases the emitted brightness temperature at L-band, since it acts as a transition layer that adapts the wave impedance of the two media: water and air. The increase depends on the fraction of the sea surface covered by foam and its thickness, which can be parameterized in terms of the local wind strength, but it depends as well on other factors, such as the air-sea temperature difference, the sea water temperature, the fetch, etc… FROG 2003 experiments revealed that at a salinity of 37 psu, the foam-induced emissivity increase is ~0.007 per mm of foam thickness (extrapolated at nadir), increasing with increasing incidence angles at vertical polarization, and decreasing with increasing incidence angles at horizontal polarization. According to the model developed by [13], for a 12 m/s wind speed, one should expect in average a coverage-weighted foam thickness of about 0.5 cm: this translates to an increase in brightness temperature of about 0.2 K at an SST of about 15°C. At 20 m/s, the calculation predicts a 0.5 K increases: this might have a non negligible impact for salinity retrieval accuracy.
In [12], it was shown that the emissivity model proposed by [14] correctly predicts the measured foam emissivities at L-band provided some auxiliary parameter describing the foam-water system are tuned. The purpose of this section is to document this forward foam emissivity model, which is used here to provide foam impact corrections in the version of the SSS retrieval algorithm used at launch of the ESA's Soil Moisture and Ocean Salinity (SMOS) satellite mission.
As proposed by [13], foam formations contribute to the total sea surface brigthness temperature measured by a radiometer as function of wind speed WS following:
where
* f, p and θ i are the receiving electromagnetic frequency, polarization and incidence angle of the radiometer respectively,
* F(WS, h) is the fraction of sea surface area covered by whitecaps with thickness h at wind speed WS,
* Ts is the physical tempearture of foam, usually assumed the same as the bulk sea surface temperature and,
* e
typ is the emissivity of typical sea foam-layer with thickness
δ .
This model is used in the present algorithm to provide foam impact corrections for SMOS. It foam
contains two submodels: one to parametrize the emissivity of typical sea foam-layer with thickness h and the second to model the fraction of sea surface area covered by whitecaps with thickness h at wind speed WS. Both of them are successively detailed hereafter.
126.96.36.199. Emissivity modeling of the foam-water system
Following Guo et al. [6], it is assumed that foam on the ocean surface is composed of nearly spherical coated bubbles described by an outer radius r, made of an air core with permittivity a ε , surrounded by a shell of sea water with thickness δ and permittivity W ε . The foam covered ocean is modeled by the succession of three media: the air (region 0), a foam layer defined as a region of effective permittivity Nα ε with a layer thickness d (region 1), and the underlying seawater with some air bubbles (region 2) with permittivity W ε . Boundaries between each region are assumed flat.
The emissivity of a typical foam-water system at incidence angle θ i and polarization p= h (horizontal) or v (vertical) is given by:
where the coefficient p R is the spectral reflection coefficient of the foam layer medium with the effective dielectric constant Nα ε and is given by
where ψ is an attenuation factor that depends on the foam layer thickness d, the electromagnetic wavelength 0 λ , and the effective permittivity Nα ε :
Note that for the foam-covered ocean, Stokes 3 and Stokes 4 = 0.
In Eq.(3), 01 are the Fresnel reflection coefficients between the air (region 0) and the foam p R (region 1):
and
and 12 p R are the Fresnel reflection coefficients between foam (region 1) and water (region 2):
and
Region 2 consists of air bubbles embedded in the ocean background and is assumed to be absorptive. To solve the previous equations (2-6), one needs to define an effective permittivity for region 1, namely Nα ε , and for region 2, namely w ε .
The main parameter of the previous multi-layer emissivity model for foam is the effective permittivity Nα ε of the foam-layer considered. To define this parameter, the wellknown Lorenz-Lorentz and Hulst equations can be used and modified for the poly-dispersed system of bubbles. The first formula takes into account dipole interaction of bubbles in a close-packed dispersed system (the quasi static approximation). The Hulst equations describe the contribution of the multi-pole moment of bubbles into effective permittivity of the system. Spectral calculations by Cherny and Raizer [15] show that first resonant electromagnetic effects by Hulst's mechanism occur for bubbles radius a≈λ o/4. At L-band ( 0 λ =21 cm), this corresponds to bubble diameters on order of 10 cm. Such very large bubbles are extremely rare at the sea surface and therefore, the multi-pole mechanism may be neglected at L-band for which the dipole term might be considered only. In the present work, we use the dipole approximation model developed by Dombrovskiy and Raizer [16] to describe the effective permittivity of the system. It involves the use of a modification of the Lorenz-Lorentz equation and yields to the following simple formula for the complex effective permittivity Nα ε of a foam-layer [15, 16]:
where
and N is the volumetric concentration of the bubbles, ( ) r α is the complex polarizability of a single bubble with external radius r, κ is the so-called packing coefficient or stickiness parameter, and ( ) f p r is the normalized probability distribution function of the bubbles' size. In natural media such as foam, the densely packed particles can have adhesive forces that make them adhere to form aggregates. This effect is accounted for in the model by the stickiness parameter κ , which is inversely proportional to the strength of the attractive forces between bubbles [17].
According to Dombrovskiy and Raizer [16], the complex polarizability depends on the external radius of the bubbles r, the complex permittivity of the shell medium (salt water) w ε , and the bubble's filling factor 1 q r δ = − following
Experimental measurements on stable foam reveal that the effective permittivity might be dependent on the vertical position within the foam layer, i.e, ( ) N N z α α ε ε = . In the simplest case, the foam-water system may be modeled as a succession of elementary foam-layers, each of them having a homogeneous effective dielectric constant. However, the exact dependence of such function with the vertical position, which depends on the vertical distribution of the bubble's size, is very poorly known. It is very likely that the vertical distribution of the bubble's size ( ) , f p r z is a function of the intensity and scale of the underlying breaking event. Moreover it will certainly strongly evolve during a transient breaking event. Nevertheless, in order to keep a tractable number of parameters in the present model, we choose to consider a uniform vertical distribution of bubbles sizes ( ) ( ) , f f p r z p r = within the foam layer.
The foam void fraction (i.e., the ratio of the volume of air to the total volume of the foam) depends on the distribution of the bubble's filling factor q. Therefore, the distribution of bubbles radii pf(r) together with the distribution of coating thicknesses f(δ ) determine the foam layer void fraction. In the present simplified model, we fixed the value of the shell thickness δ , but the outer bubble radius r is randomly distributed. According to Dombrovskiy [18], this approximation reflects an experimentally established fact for an emulsion layer of foam (young foam), but it requires verification for a foam with honeycomb structure (aged foam). Numerous observations of oceanic bubble size distributions are reported in the literature based on acoustic, photographic, optical, and holographic methods [19]. Currently, it is not clear how to parameterize the ocean surface bubble size distribution. Following Bordonskiy et al. [18] and Dombrovskskiy and Raizer [16], we used a Gamma distribution for the size distribution function of the bubbles:
where A and B are parameters of the distribution defined with rp=A/B being the most probable radius. Finally, to calculate w ε , a simple physical model based on induced dipoles is used. Let sw ε denote the permittivity of the seawater at L-band, and fa the fractional volume occupied by the air bubbles. Then, the effective permittivity w ε , is given by the Maxwell-Garnett mixing formula [6]:
where
Note that the effective permittivity w ε here does not include scattering extinction, which is small due to the fact that the seawater is heavily absorptive.
According to our simplified model, the emissivity induced by a typical sea foam layer at Lband is a function of:
where i θ is the radiometer incidence angle, p is the polarization, s T is the foam physical temperature, p r is the most probable radius, δ is the bubble's water coating thickness, κ is the bubble's packing coefficient, d is the foam layer thickness, a f is the void fraction beneath the foam layer, and finally, SSS and SST are the sea surface salinity and temperature respectively.
188.8.131.52. Foam coverage Model
In [13], it was shown that the fractional sea surface covered by foam-layers with thicknesses between h and h+dh at wind speed WS, namely, the term F(WS,h)dh in Equation (1), can be decomposed as follows:
where dFc(WS,h) and dFs(WS,h) are the contributions to the coverage of actively breaking crests or active foam and of the passive foam, or static-foam formations (see [7] for detailed terminology), respectively.
The model with used for these two terms is described in detailed in [13], wher the following empirical expression for dFc(WS,h) was derived:
where WS is the 10 meter height wind speed, αc and βc are numerical constants and ∆Τ is the air-sea temperature difference.
No direct empirical expression can be given to estimate the corresponding expression for the coverage due to passive foam formations coverage with thicknesses between h and h+dh at wind speed WS. However, it can be evaluated numerically as function of h and WS, as described in [13]. As well, the air-sea stratification impact is accounted for in the paramerization through an exponential correction term similar to the one in (14) but with modified numerical constants αs and βs.
α
The parameters α and β of the thermal correction factors were determined in [13] for both 'crest-foam' and 'static-foam' by best fitting the model to Monahan and Woolf [1989]'s empirical laws [19]. Using a least-square method, the determined numerical values for α and β are:
= 0.198 andβ
= 0.91 for 'crest-foam coverage', and,
c
c
αs = 0.086 and βs= 0.38 for 'static-foam coverage'.
According to that model, the fractional sea surface covered by foam-layers with thicknesses between h and h+dh at wind speed WS used in Equation (1) is finally function of:
* the foam-layers thicknesses h[m]
* the wind speed WS at 10 meter height [m/s]
* the temperature difference between air and sea ∆Τ [°C]
4.5.2. Mathematical description
The total contribution of foam formations to the sea surface brigthness temperature measured at L-band as given in Eq. (1) will be mathematically expressed for implementation into the processor using:
1) Three Look-Up tables (LUTs) that will provide (1) the foam-induced sea surface brigthness temperature (one LUT1 for H and LUT2 for V polarization) and (2) an additional LUT (LUT3) that will also provide the total foam-coverage.
LUT1 and LUT2 will be provided as function of the following parameters (with associated ranges):
* the incidence angle θ i at SMOS pixel [deg], (0 75°)
* the sea surface temperature Ts [K], (269.15 309.15 K)
* the prior sea surface salinity SSS [psu] (0 40 psu)
* the wind speed WS at 10 meter height [m/s],(0 30 m/s) and,
* the temperature difference between air at 2 m height and sea surface : ∆Τ=Τa−Τs, [°C] ],(-35 25°C*)
LUT3 will be provided as function of the following parameters (with associated ranges):
* the wind speed WS at 10 meter height [m/s],and,
* the temperature difference between air at 2 m height and sea surface : ∆Τ=Τa−Τs, [°C] ],(-35 25°C*)
LUT1 and LUT2 will provide directly Tb_foam (H or V) , expressed as the result of the integral in Eq. 1 times SST. The reason why we provide LUT3 as well is that in Eq 1, only incremental foam coverages dF as function of thickness are included and NOT the total foam coverage, namely F(U). However the processor will need the later to evaluate the total surface contribution including foam and no-foam surface contributions (flat+rough), as follows:
Note that in the mathematical expression for e typ Bf , the numerical values for p r , the most probable bubble radius, for δ , the bubble's water coating thickness, for κ , the bubble's packing coefficient, and for a f , the void fraction beneath the foam layer will be assigned constant values derived by best-tunning the model to the data observed during FROG campaign [12]. These values are not provided yet in the draft ATBD but will be given later.
2) Multi-dimensional interpolation schemes
Given the four values of the "geophysical" auxiliary parameters estimated at a given SMOS pixel, namely Tsi, SSSi, WS and ∆Τ, plus the series of incidence angles (θ i=1,…,N ) associated to the L1C product considered, a multi-dimensional cubic spline interpolation scheme will be applied to LUT1 ands LUT2 to evaluate, the values of ) ( ,..., 1 , n N i Bf T = , at both H and V polarization. An additional 2D cubic spline interpolation scheme will be applied to LUT3 as function of WS and ∆Τ, to determine the total foam coverage.
4.5.3. Error budget estimates
Inter-comparison between the FROG measurements [12] of the foam emissivities scaled at 100% coverage and the theoretical values computed with the model described above for e typ Bf using as inputs the measured foam parameters have been perfomed in [12]. The values of the stickiness parameter κ, which were not measured during FROG, used in the model are the optimum ones found at each salinity, which in general increases with SSS as the bubbles are more densely packed.
The rms error between the measured data and the theoretical foam emissivity model was found to vary from 0.008 to 0.017 at H-polarization, and from 0.011 to 0.033 at Vpolarization. In general the agreement is much better at H-polarization than at V-polarization. At V-polarization, the measured values show a larger variation with the incidence angle than the model predictions, which requires further analysis and refinement of the model. At Hpolarization the agreement is excellent, except at low salinities, where there is a bias between the measured and predicted emissivites at all incidence angles.
A much higher uncertainty source in the model is the whitecap coverage model. Indeed, the model derived by [13] to parameterize F(U,h) is constructed to match the empirical laws derived by [20]. Is is well known that extremeley large scatter in the whitecap coverage data as reported from one author to the other, which might yield to uncertainties of 100% to 600 % on empirical fits for F(U,h). However, being the only source of validation we have, these empirical fits shall be used here as the basis for modeling.
Accounting for an error of 100% in the foam coverage and assuming a maximum coverage of 10%, we expect a maximum rms error budget on the foam emissivity contribution modelling of about:
This transaltes into about 0.5 K and 0.9 K maximal errors at H and V polarization, respectively.
4.5.4. Practical consideration
The model is not expected to provide significant contribution for wind speeds less than about 10 m/s. We could practically consider to perform that correction only for wind speeds more than that threshold value, using the decision tree.
Note as well that when foam correction is applied to SMOS Tbs, the foam-free surface contribution (i.e. flat sea surface+ roughness correction) as to be weighted by 1-F(U), the free foam fractional surface so that F is an output of the present forward model.
184.108.40.206. Calibration and validation
Calibration and validation of the forward foam emissivity model for roughness correction will be done during the comissionning phase, and later-on, by perfoming residual analysis of the future SMOS measurements and using a formalism proposed for and applied to NASA scatterometer (NSCAT), Special Sensor Microwave Imager (SSM/I) and ESA/ERS scatterometer measurements [see 21].
Using in situ SSS, SST and wind (TAO, Argo drifter+ satellite SST and winds and ECMWF model winds) and SMOS co-localized data, the first step will be to remove the modelled flat sea surface and free-foam roughness contributions from the SMOS surface bightness temperature data (i.e., corrected for atmospheric, ionospheric, galactic and sunglint conribution) in order to estimate the residual foam impact. This shall be done in selected ocean area with strong winds (southern ocean and North seas). The in situ and satellite SSS, SST and wind data will be the chosen reference. In addition, ECMWF analysis winds will be used as a thrid data source to completely determine the errors via a multiple collocation analysis. The main objective will be to present observed correlations between regional and seasonal model predictions of the foam correction factors errors and nonwind oceanic and atmospheric factors such as the surface current and sea state. Following the methodology applied in [30], we shall explicitely take into account the errors in the reference datasets as well as in the foam correction factors retrieved estimates. The gain shall come in more accurate assessment of bias and variance and less possible systematic contamination that can obscur geophysically driven impacts not accounted for by the foam model.
220.127.116.11. Quality control and diagnostics
As explained in section 4.5.5 below, the foam correction model based on fixed geophysical parameters (bubbles radius, stickiness factors, etc ..) which might generate biases on the estimated correction.
The model can be applied as it is at launch but we expect that the CAL/VAL activities will provide after commisionning phase a possible tunning for these parameters.
18.104.22.168. Exception handling
In presence of very stormy conditions (Hurricane like situations) it is likely that high foam coverage will be associated with high rain rates. Foam correction in that case would be nonphysical if no atmospheric correction to account for rain absorptivity is also provided by the processor.
4.5.5. Assumption and limitations
*: Note that there is no impact of stratification when atmopshere is stable, i.e., ∆Τ <0 so that, the tables will be computed only for ranges where it has an impact and where the model is thought to be valid, i.e., ∆Τ: 0 15°C. Out of this range, the LUTS will duplicate values at extreme borders of the validity range.
A strong limitation may come from the fact that the numerical values for p r , the most probable bubble radius, forδ , the bubble's water coating thickness, for κ , the bubble's packing coefficient, and for a f , the void fraction beneath the foam layer are assigned constant values derived by best-tunning the model to the data observed during FROG campaign [12]. This is a strong assumption, as these parameters clearly evolve as function of the synoptic wind and wave forcing conditions.
References
[1] Rosenkranz, P. W., and D. H. Staelin, Microwave emissivity of ocean foam and its effect on nadiral radiometric measurements, J. Geophys. Res., 77, 6528-6537, 1972.
[2] Stogryn, A., The emissivity of sea foam at microwave frequencies, J. Geophys. Res., 779, 1658-1666, 1972.
[3] Ross, D. B., and V. Cardone, Observations of oceanic whitecaps and their relation to remote measurements of surface wind speed, J. Geophys. Res., 79, 444-452, 1974.
[4] Smith, P. M., The emissivity of sea foam at 19 and 37 ghz, IEEE Trans. Geosci. and Remote Sens., 26, 541-547, 1988.
[5] Kunkee, D. B., and A. J. Gasiewski, Simulation of passive microwave wind direction signatures over the ocean using an asymmetric-wave geometrical optics model, Radio Sci., 32, 59-78, 1997.
[6] Guo, J., L. Tsang, W. Asher, K.-H. Ding, and C.-T. Chen, Applications of dense media radiative transfer theory for passivemicrowave remote sensing of foam covered ocean, IEEE Trans.Geosci. and Remote Sens., 39, 1019-1027, 2001.
|7] Monahan, E., Oceanic whitecaps: Sea surface features detectable via satellite that are indicators of the air-sea gas transfer coefficient, in Proc. Indian Acad. Sci. (Earth Planet Sci.), vol.111, pp. 315-319, 2002.
[8] Anguelova, M., Whitecaps, sea-salt aerosols, and climate, Ph.D. thesis, Graduate College of Marine Studies, University of Delaware, Lewes, Delaware, 2002.
[9] Droppleman, J. D., Apparent microwave emissivity of sea foam, J. Geophys. Res., 79,696698, 1970.
[10] Barber, R. P., and J. Wu, Sea brightness temperature effects of spray and whitecaps, J. Geophys. Res., 102, 5823-5827, 1997.
[11] A. Camps, J. Font, M. Vall-llossera, C. Gabarro, R. Villarino, L. Enrique, J. Miranda, I. Corbella, N. Duo, F. Torres, S. Blanch, J. Arenas, A. Julia, J.Etcheto, V. Caselles, A. Weill, J. Boutin, S. Contardo, R. Niclos, R. Rivas, S. Reising, P. Wursteisen, M. Berger, and M. Martn-Neira, The WISE 2000 and 2001 Campaigns in support of the SMOS Mission: Sea surface L-band Brightness Temperature Observations and their application to Multi- Angular Salinity Retrieval, IEEE Trans. Geosci. Remote Sensing, vol. 42, no. 4, pp. 1039-1048, 2004.
[12] A. Camps, M. Vall-llossera, R. Villarino, N. Reul, B. Chapron, I. Corbella, N. Duff, F. Torres , J. Miranda, R. Sabia, A. Monerris, R. Rodríguez, "The Emissivity Of Foam-Covered Water Surface at L-Band: Theoretical Modeling And Experimental Results From The Frog 2003 Field Experiment", IEEE Transactions on Geoscience and Remote Sensing, vol 43, No 5, pp 925-937, 2005.
[13] N.Reul and B. Chapron, "A model of sea-foam thickness distribution for passive microwave remote sensing applications", J. Geophys. Res., 108 (C10), Oct, 2003.
[14] N.Reul and B. Chapron, "Effects of foam on the emissivity of the sea surface at L-band", WP1300 Report, ESA contract N°15165/01/NL/SF, April 2001.
[15] V. Cherny and V. Y. Raizer, Passive Microwave Remote Sensing of Oceans, wileypraxis series in remote sensing ed. Wiley, 1998.
[16] Dombrovskiy, L. A., and V. Y. Raizer, Microwave model of a two-phase medium at the ocean surface, Izvestiya, Atmospheric and Oceanic Physics, 28, 650-656, 1992.
[17] L. M. Zurk, L. Tsang, K. H. Ding, and D. P. Winebrenner, .Monte carlo simulations of the extinction rate of densely packed spheres with clustered and non-clustered geometries,. J. Opt. Soc. America, vol. 12, pp. 1772.1781, Aug. 1995.
[18] L. A. Dombrovskiy, .Calculation of the thermal radiation emission of foam on the sea surface,. Izvestiya, Atmospheric and Oceanic Physics, vol. 15, no. 3, pp. 193.198, 1979.
[19] J. Wu, .Variation of whitecap coverage with wind stress and water temperature,. J. Phys. Oceanogr., vol. 18, pp. 1448.1453, 1988.
[20] Monahan, E., and D. K. Woolf, Comments on variations of white-cap coverage with wind stress and water temperature, J. Phys.Oceanogr., 19, 706-709, 1989.
[21] Y. Quilfen, B. Chapron and D. Vandemark, "The ERS Scatterometer Wind measurement accuracy: evidence of seasonal and regional biases", Journal of Atmopsheric and Oceanic Technology, vol 18, p 1684-1697, 2001.
4.6. Galactic noise contamination
4.6.1. Theoretical description
This section has been written with the help of [LeVine and Abraham, 2004] and [Delahaye et al., 2002] papers.
22.214.171.124. Physics of the problem
At L-band, radiation from celestial sources is strong and spatially variable; they have been reviewed by Delahaye et al. (2002), Le Vine and Abraham (2004), and associated corrections needed to interpret L-band radiometric measurements have been thoroughly described by Le Vine and Abraham (2004). Radiation originates from three types of sources. The hydrogen line emission corresponds to a hyperfine atomic transition in neutral hydrogen: the radiation is maximum around the plane of the galaxy, most of the time less than 2 K. The cosmic background is a remnant signal of the origin of the universe and is almost constant in space and time (2.7 K). In addition to the almost constant cosmic background, a very variable (in space) continuum radiation (up to more than 10 K) is due to emissions from discrete radiosources.
As in the case of atmospheric emission, the cosmic background adds a contribution to the radiometric temperature that depends on the incidence angle linked to the reflection of the signal on the sea surface.
The two other types of sources add a signal that varies according to the incidence and azimuth angle of the measurement.
126.96.36.199. Mathematical description of algorithm
188.8.131.52.1. Data conversion
The common practice in passive microwave remote sensing of the earth is to consider equivalent brightness temperatures. Thence, for the purpose L-band radiometry, it is common to present data from radioastronomy surveys in the form of equivalent black-body temperatures, i.e., as if they were from an equivalent thermal source with total power:
where k is the Boltzmann constant and ∆B is the bandwidth of the receiver used for the survey, or as a total power integrated over a frequency range as in the case of the hydrogen line emission.
a) Hydrogen Line emission:
The line emission has a relatively narrow spectrum. For hydrogen at rest, it occurs at a frequency associated with the hyperfine transition at 21.106cm. However the line is shifted by the motion of the hydrogen relative to the observer (Doppler shift) and spread by thermal energy of the gas (collisions and vibrations). Nevertheless the spectrum is relatively narrow: Leiden/Dwingeloo survey [Hartmann and Burton, 1997] in the Northern hemisphere and IAR survey in the southern hemisphere [Arnal et al., 2000] cover the velocity range from -450 to +400km/s which corresponds to a frequency range of 4.025MHz (see below) about the center frequency of 1.42GHz of hydrogen at rest. The integrated power reported in
Formatted: Font: 12 pt
radioastronomy survey, P, is given in Kelvin kilometers per second (K-km/s). In order to convert it to a brightness temperature that will be recorded by a radiometer having a bandwidth ∆B, it is necessary to convert it in Kelvin-MHz using the line emission bandwidth and then to calibrate it with respect to the radiometer bandwidth.
Given the standard form for Doppler shift:
with ν0 the center frequency (1.42GHz), ν the frequency associated with the velocity v and c the light speed, a velocity range from -450 to +400km/s corresponds to a frequency bandwidth of 4.025MHz.
Thence the integrated power reported in radioastronomy survey corresponding to a velocity range of 850km/s, Pint, can be converted in Kelvin-MHz using:
Since the SMOS radiometer bandwidth, ∆Bsmos in MHz, is well above 4MHz, this value can be converted to get an equivalent Tb for SMOS, as follows:
Tb=Pint(K-MHz)/∆Bsmos=Pint(K-km/s) . 4.735 10 -3 /∆Bsmos
b) Continuum radiation and cosmic background
These radiations are usually given in terms of effective brightness temperature, Tb, i.e. they include the correction for the bandwith of the survey (e.g. Reich and Reich maps). Thence, as these radiations are supposed to be homogeneous over the frequency range of SMOS bandwidth, there is no need to correct Tb deduced from radioastronomy surveys.
184.108.40.206.2. Galactic noise reflected towards the radiometer
In the following we will call the effective brightness temperature of the galactic radiation, Tbgal, as the sum of the hydrogen emission line plus the continuum radiation plus the cosmic background.
First it is necessary to determine the location in the celestial sky from which incident radiation will be reflected from one point in the field of view into the antenna. Given ϑi and ϕi respectively the incidence and the azimuth (0 towards the north; positive westward) angles of one radiometer measurement at this point, the incident galactic ray that will be specularly reflected towards the radiometer comes from an incidence angle, ϑigal:
where Re is the earth radius and hrad is the altitude of the radiometer.
The elevation angle (in degrees; 0 towards the horizon and positive above the horizon) is defined as:
Usually celestial maps are given in celestial coordinates system (declination, δ, and right ascension, α). It is therefore necessary to derive δ and α from the latitude, lat, longitude, lon, sideral time, T, ϑi and ϕi. This can be done by solving the following implicit equations:
sin(
)
cos()
cos()
cos()
sin()
sin()
H
lat lat
el
δ
δ +
=
where H is the sidereal angle (see for instance Appendix C of Le Vine and Abraham (2004)) defined as:
H= T-lon-α
In the following we consider three cases:
a) a simple case assuming a flat sea
b) a simple case assuming a rough sea and an homogeneous sky
c) a more complicated case where we take into account the sea surface roughness and the sky inhomogeneity.
In the following we will distinguish two polarizations for Tbgal. At present, existing galactic maps do not distinguish between V and H pol but there is suspicion about a possible polarization dependency.
a)Assuming a flat sea:
The galactic noise reflected towards the radiometer, Tbgal_refl, can be computed as:
Tbgal_refl(lat,lon, T,ϑ ,ϕ ,p) =Tbgal(δ,α,p).Rfresnel(ϑ , SSS, SST,p)
where p is one of the polarisation (H or V).
i
i
igal b)Assuming an homogeneous sky:
In that case the reflection coefficient computed for estimating Tbrough, Rrough, can be used:
Tbgal_refl(lat,lon, T, ϑi , ϕi,p) =Tbgal(δ,α,p).(Rfresnel(ϑigal , SSS, SST,p) +Rrough(ϑigal , SSS, SST,p))
where Rrough=-Tbrough/SST (Rrough is negative)
If the sky were homogeneous, it is expected that the introduction of the roughness would have a small effect in most cases: for instance, for a 10m/s wind speed, (the reflection coefficient is modified by about 2.5% (at nadir)) and a galactic noise of 5K, neglecting the roughness effect would introduce an error of less than 0.08K. Thence it is expected that Tbgal_refl estimated using a) and b) will be very close except in case of large galactic noise which is usually associated with large inhomogeneities. However, because of the inhomogeneities in the galactic maps, it is necessary to take into account the roughness when dealing with celestial points close to the galactic plane. Therefore case a) will not be considered.
c)Taking into account the roughness of the sea:
Introducing bistatic reflection coefficients that can be extracted from 2-scale or from SSA models, σ0 , in theory the galactic noise over the whole sky should be convoluted with these scattering coefficients. However since they are expected to decrease rapidly
Deleted: may be
Deleted: (TBD)
outside of the specular reflection, the integration could be done over an interval +/-dϑigal which value needs TBD:
Both cases b) and c) should be kept. A switch will allow to select the desired case.
220.127.116.11.3. Integration over the antenna beam
In addition it is necessary to integrate the reflected brightness temperature over the antenna pattern to obtain Tbgal_refl_lobe, which is the quantity measured by the radiometer :
where Plobe is the normalized power pattern of the antenna. In case Plobe is an axially symmetric pattern, according to Le Vine and Abraham (2004)) it is possible to make the integration on δ and α and thence to precalculate galactic maps integrated over the antenna pattern before computing the reflection over the sea surface. Since the SMOS lobe varies accross the FOV and is not symmetric, it will be necessary to test if such an approximation is acceptable.
18.104.22.168. Error budget estimates (sensitivity analysis)
The main uncertainty is expected to come from inaccuracies of the galactic noise maps. [Reich and Reich, 1986] estimate the accuracy on their maps (due to the calibration of the instrument) of 0.5K. From SRS study, a constant bias of 0.5K on galactic noise map will induce a mean bias on retrieved SSS of 1psu.
In addition to a constant bias, uncertainties are likely to appear on these maps close to the equatorial galactic plane. Comparisons between the maps derived from the Stokert survey, commonly called the Reich and Reich map, and the ones deduced from the Effelsberg survey are in progress to better apprehend the error on these maps. Both maps include the continuum radiation and the cosmic background; Stockert survey was performed with a 34mn angular resolution instrument while Effelsberg used a 9mn angular resolution instrument. Stockert map for the northern hemisphere and Effelsberg maps are available on the http://www.mpifrbonn.mpg.de/survey.html site; the Stokert map for southern hemisphere was provided by ESA. Stockert maps are global but region around Cassiopeia is excluded (no data) and strong sources are suspected to be underestimated; Effelsberg survey is concentrated close to the equatorial plane (cygnus excluded).
4.6.2. Practical considerations
22.214.171.124. Calibration and validation
As suggested before, it may be necessary to introduce a calibration factor proportional to Tbgal during the Cal/Val phase to correct for calibration and saturation problems of the existing surveys.
126.96.36.199. Quality control and diagnostics
Looking towards North (azimuth=0) with an incidence angle equal to the elevation of the observer, one looks towrds the celestial North pole which location is invariant.
4.6.3. Assumption and limitations
Depending on the reliability we can put on galactic noise maps (TBD), it could be necessary to discard some SMOS Tb affected by radiation coming from the galactic plane if it is demonstrated that this radiation is very badly known. Tests are in progress to estimate the impact of radiation errors in the galactic plane (as estimated from the difference between Effelsberg and Stockert surveys) on the retrieved SSS.
Bibliography
Arnal, E.M., E. Bajaja, J.J. Lararte, R. Morras, and W.J.L. Poppel, A high sensitivity HI survey of the sky at δ<=−25°, Astron. Astrophys. Suppl. Series, 142, 35-40, 2000.
Delahaye, J.Y., P. Golé, and P. Waldteufel, Calibration error of L-band sky-looking groundbased radiometers, radio science, 37, 10.1029/2001RS002490, 2002.
Hartmann, D., and W.B. Burton, Atlas of galactic neutral hydrogen, 235 pp., Cambridge university press, New York, 1997.
LeVine, D.M., and S. Abraham, Galactic noise and passive microwave remote sensing from space at L-Band, IEEE Transactions on Geoscience and Remote Sensing, 42, 119-129, 2004.
Reich, P., and W. Reich, A radio continuum survey of the northern sky at 1420 MHz, Astron. Astrophys. Suppl. Ser., 63, 205-292, 1986.
Deleted: The a) model assumes a specular reflection over the ocean surface. Because galactic noise is inhomogeneous spatially, especially close to the galactic plane, this may be not completely justified. Whether this assumption is acceptable needs to be checked; nevertheless, this limitation is expected to be of second order with respect to uncertainties on galactic noise maps.¶
4.7. Sunglint contamination
4.7.1. Theoretical description
188.8.131.52. Physics of the problem
Beyond geophysical sources of error, Yueh et al. [1] noticed that the solar radiations pose a significant challenge for the remote sensing of ocean surface salinity. The sun is indeed an extremely strong radiation source at L-band, exhibiting a time-dependent blackbody temperature that ranges between 100000 K and 10 million K, depending on the solar activity [2] and the next solar maximum is expected in 2010, that is 3 years after SMOS launch.
Two distinct mechanisms may contribute to the solar radiation intercepted by a radiometer antenna: one is the reflection of sun radiations by the earth-surface (sunglitter effects) and the other is the direct leakage into the antenna. Here, we only focussed on the modeling for the reflected contamination over the ocean, direct contaminations being addressed by the Level 1 processor.
In [3a, 3b], it was shown that the centre of the sun's glitter pattern will never be located in the area of SMOS' synthesized field of view. However the expected range of surface wind speeds (zero wind is very uncommon) will cause the sun's glitter pattern to spread within the alias free field of view which might contamine the useful measured signals. More specifically, frequent pixel contaminations are expected around winter solstices when the the centre of the sun's glitter pattern will lye close to the right-hand border of the FOV.
Experimental evidences of the sunglitter strong impacts on the passive microwave sensing of the ocean using L-band radiometers was first given by Swift [4] in 1974, who analyzed the forward scattering of sun microwave radiations from the Cape Code Canal in Massachusetts. Data were collected at 1.4, 4.0, and 7.5 GHz for horizontal and vertical polarization at a fixed nadir viewing angle of 40°. As the sun passed through the main beam of the antennas, Swift found that the excess temperature due to reflected solar radiation increased dramatically with decreasing frequency and was polarization dependent. The sun was found to be such a dominating source at 1.4 GHz that the horizontally polarized component saturated the radiometer.
As shown by Wentz [5], these sun-glitter effects might be modelled using approximate scattering models to compute the forward scattering of the sun radiations from the rough water surface. Sun glitter does not occur frequently in practice. However, when it does, this phenomenon may have severe effects on the brightness temperature signals measured by spaceborne L- band radiometers.
If an incremental rough sea surface area dA located within the MIRAS antenna field of view is illuminated by the sun radiations along the direction of the unit vector i n r , part of the intercepted energy might be scattered in the direction s n r , i.e., toward the radiometer antenna. The solar energy scattered by dA in the direction s n r at time t is represented by the radiometric temperatures ) , ( t n T s ss r , given for h and v-polarization respectively by:
where , , , hv o vh o vv o hh o and σ σ σ σ are the bistatic scattering coefficients of the sea surface at 1.4 GHz for HH, VV, VH and HV polarizations, respectively, at scattered direction s n r and incident direction i n r . The scattering elevation angle is denoted s θ . The integration limits is over the solid angle subtented by the sun where 2 sun β is the angular radius of the sun as viewed from the earth. At 1.4 GHz, 2 sun β ≈0.293°, which is 10% greater than the optical angular radius [6]. ) , ( t n T i sun r is the brightness temperature of the sun at 1.4 GHz in the direction i n r and at time t .
Equations (1) show that in order to estimate the contamination due to sunglint temperature at a given SMOS pixel with node corresponding to position T on the earth surface, determined by the latitude φ and longitude ψ of the observer, and at a given time t, the following parameters are needed:
1) i n r : the direction (incidence and azimuth angles) of sun radiations at the considered earth surface position and time T =(φ ,ψ ,t),
2) s n r : the direction (incidence and azimuth angles) of observation from MIRAS at target T=(φ ,ψ ,t)
3) ) , ( t n T i sun r : the brightness temperature of the sun at 1.4 GHz in the direction i n r and at time t, and,
4) , , , hv o vh o vv o hh o andσ σ σ σ : the bistatic scattering coefficients of the sea surface for HH, VV, VH and HV polarizations, respectively, at scattered direction s n r , incident direction i n r , and corresponding to the sea state conditions at target T=( φ , ψ ,t).
Parameters 1) can be obtained from accurate ephemerides and parameters 2) are easily deduced from SMOS observation geometry. The main difficulties in estimating ) , ( t n T s ss r therefore consist in providing accurate estimates for the brightness temperature of the sun at 1.4 GHz and for the sea surface bistatic coefficients at L-band. The brightness temperature of the sun at 1.4 GHz being considered here as an auxiliary parameter, we ony focussed on the physical description of the bistatic coefficients model.
In the present algorithm, the bistatic scattering coefficients of the rough sea surface needed in Equations (1) are estimated using the Small Slope Approximation theory ([7], [8]), which is known to work well from moderate to high incidence angles ( ° ≤ ≤ ° 80 40 i θ ). The lower order-approximation (referred to as the SSA-1) is used here and is appropriate for both large(the Kirchhoff regime) and small scale (the Bragg regime) roughness within a single theoretical scheme.
The calculation yields the following expression for a dimensionless scattering cross section o o αα σ for scattering of the wave of polarization α into the wave of polarization o α :
where ) , ( i k q q represent the vertical projections of the wave vectors and the kernel functions ) , ( i n s n o B r r αα are given in Appendix of [9]. These kernels are geometric functions of the dielectric constant: we used the Klein and Swift's model [10] to estimate the dielectric constant of sea water at L-band.
Here, the function ) (r ρ is defined by the relation:
]
where <…> means averaging over the space homogeneous statistical ensemble of sea surface roughness, described by the surface elevation signal ) ( 1 r h r , and i k q q Q + = . For Gaussian statistics ρ represents the correlation function of roughness and can be expressed strictly in terms of a roughness spectrum:
r
where ) (k W is the directional wavenumber spectrum of the rough sea surface at surface wavenumber vector k r .
In the present work, sea surface statistics is assumed Gaussian and ρ is obtained from the sea surface spectrum model of Kudryavtsev al. [11]. In our approach, the calculation of o o αα σ is performed using an azimuthal harmonic decomposition for the autocorrelation function. Moreover, to calculate accurately the autocorrelation function, we introduced a sufficiently dense net on the surface wavenumber vector plane within the range 3 3 10 10 ≤ ≤ − k rad/m, applying a uniform step with respect to log(k) rather than to k.
4.7.2. Mathematical description
An additional model simplification is used to estimate the amount of solar energy scattered by the sea surface and impinging the MIRAS antenna. We assumed than within the solid angle subtended by the sun as seen from any of the observed terrestrial targets, the local sun direction i n r is almost constant, so that, at any target T , the radiometric sunglint temperatures ) , ( α s ss n T r of a sunglint Stokes vector component, can be approximated locally at polarization α, by:
where s n r and i n r are the local MIRAS observation and sun illumination directions at target T, respectively. Ωsun is the solid angle intercepting the sun as seen from the earth, and with 2 sun β ≈0.293° at 1.4 GHz:
To evaluate ) , ( α s ss n T r using equation (3) at a given earth position and time, one need the following parameters as inputs:
1) [ ] i i φ θ , the local sun angles (incidence and azimuth angles) at the considered earth surface position and time, given by T =(φ ,ψ ,t);
2) [ ] s s φ θ , : the local observation angles (incidence and azimuth angles) from MIRAS antenna at target T=(φ ,ψ ,t)
,
3) ) (t T sun : the brightness temperature of the sun at 1.4 GHz and at time t
4) the following ocean surface parameters at target T=(φ ,ψ ,t).
:
a) the prior sea surface salinity SSS [psu],
b) the sea surface temperature SST [°C],
c) the wind friction velocity U* [m/s], and,
d) the wind direction u ϕ [in rad].
Assuming that the main factors influencing the spread and intensity of the sunglint pattern will be the sun brightness temperature, the wind (friction) velocity and direction, we assume for the processor algorithm constant values for SSS=35 psu and for SST=15°C.
The processor shall therefore evaluate mathematically Equation (3), using a LOOK-UP Table for the bistatic scattering coefficients and as inputs :
Table I: Input parameters for computing the sunglint Stokes vector using Eq 3 and bistatic coefficients LUTS
| Input parameters | Range of values |
|---|---|
| Sun incidence angleθ [deg] i | 30°->90° |
| Relative azimuth angle between sun and MIRAS observation angle φ -φ [deg] i s | 0°->180° |
| MIRAS observation incidence angle θ [deg] s | 0°->90° |
| Wind friction velocity [m/s] | 0->1 m/s |
| Local 10 meter height wind direction ϕ [deg] u | 0°->360° |
4.7.3. Error budget estimates
Main sources of errors in the estimation of ) , ( α s ss n T r using Eq. (3) will be
Errors on the estimation of the bistatic scattering coefficients of the sea surface at Lband, and
Errors on the estimation of the sun brightness temperature at 1.4 GHz the SMOS time of acquisition.
Comment [JF9]: As well as for galactic noise, I guess an integration over the SMOS antenna beam needs also to be taken into account. (J. Boutin)
An estimates of the errors on the modelling of the bistatic scattering coefficients of the sea surface at L-band can be based on the errors on the asymptotic electromagnetic, namely the SSA-1 approximation. SSA-1 gives qualitatively correct 3D bistatic scattering coefficient when compared to exact numerical simulation using the Method of Moment with a general agreement between SSA-1 and MoM within 3dB in VV and within 1.5 dB in HH polarizations [12]. In average, SSA-1 overestimate HH and underestimates VV so that SSA-1 systematically overestimates the H/V ratio with a mean of order +20%. The errors on the sea surface roughness statistics are difficult to estimate but will clearly have an important impact as well.
A complete error budget estimate can not be provided without any estimate of the error on the auxiliary sun brightness temperature data at 1.4 GHz. If it comes out of L1 processor, we need an error budget on the estimate of that parameter from L1.
4.7.4. Practical consideration
184.108.40.206. Calibration and validation
Dedicated CAL/VAL activities should be envisaged for the SMOS sunglint model with two main components:
-an earth-based campaign aiming at measuring precisely the sunglint scattering at Lband (e.g., experiment similar to [4]), with high-quality concomitant auxiliary solar fluxes measurements at 21 cm as well as surface roughness information to calibrate and validate the bistatic-scattering coefficient models.
-a SMOS-data based analysis. Re-analysis of all flagged pixels and brightnesses for which good quality (close in time and space) co-localized auxiliary wind and solar flux data at 21 cm are available shall be performed to assess the efficiency of the model.
220.127.116.11. Quality control and diagnostics
Assuming the major source of error in the model shall be the estimation of the sun brightness temperature at 1.4 GHz, quality control and diagnostics will strongly depend on the accuracy for that auxiliary data.
If it comes out of L1 processor (without a priori geophysical input), a complementary quality check shall be performed for that auxiliary data using earth-based solar flux measurements available at 1.4 GHz. These are available from sun-tracker radiometers by the US Air Force, at Sagamore Hill(Massachusetts), since 1966. They can be obtained through the National Geophysical Data Center at Boulder, Colorado. These data sets also include other solar fluxes measurements conducted at 1415 MHz since 1988 from radiometers in Palehua (Hawaii), San Vito (Italy) and Learmonth (Australia), and 1GHz data are also collected daily at Nobeyama Radio Observatory (Japan). If high temporal resolution solar fluxes can be obtained, the closest data in time from SMOS acquisitions shall be used to monitor quality controls, as sun brightness temperature values might evolve very significantly over short time scales. The socalled R-components of the sun brightness temperature indeed consist of the second and minute-duration bursts produced by the active sun components: sunspots (manifestations of magnetically disturbed conditions at the sun's visible surface), flares (huge explosions on the surface of the sun) and other transient activity. This high-temporal varaibility of the sun signals might strongly affect the quality of the forward model estimates.
18.104.22.168. Exception handling
If there is no estimation of the sun brightness temperature at 1.4 GHz output from L1 processor (e.g., sun eclipsed by MIRAS), there is a need for other source of that auxiliary data.
4.7.5. Assumption and limitations
First assumption in the model is that within the solid angle subtented by the sun as seen from any of the observed terrestrial targets, the local sun direction i n r is almost constant. This is not a strong assumption. However, it is as well assumed that the sun brightness temperature at 1.4 GHz is not polarized and homogeneous within the solar disc. This is known to be unrealistic [2] and certainly will limitate somehow the applicability of the predicted sunglint pattern polarized features.
Another source of limitation is the bistatic coefficient modeling. The SSA-1 approximation is by essence a first-order small slope perturbation approach so that it is not expected to correctly estimate the roughness impact for sea surfaces exhibiting large slopes and most importantly, large curvature. Therefore, is it expected to fail in strong frontal conditions (strong wave-wave, wave-current or wind-wave interaction conditions) and does not account for breaking wave and foam impacts. Moreover, the sea surface state model (i.e. Kudryavtsev et al) is only accounting for wind seas and should be valid only for wind seas generated by winds stronger than about 2 m/s and less than 15 m/s. Out of these limits, it is not expected that the physics of air-sea interaction is correctly accounted for.
Therefore, we do not expect the model to perform well in presence of either strong swells, strong currents, very small and unsteady winds as well as stormy conditions. We expect however that accounting for the impact of waves on the drag coefficients will help better characterizing the impact of these parameters on roughness.
References
[1] S. H. Yueh, R. West, W. J. Wilson, F. K. Li, E. G. Njoku, and Y. Rahmat-Samii, Error sources and feasibility for microwave remote sensing of ocean surface salinity, IEEE Trans. Geosci. and Remote Sens., vol. 39, no. 5, pp. 1049-1060, 2001.
[2] G. A. Duck and D. E. Gary, The sun at 1.4 GHz, Astron. Astrophys., vol. 124, pp. 103107, 1983.
[3a] N. Reul, WP1500 : support for solar effects in "Retrieval Concept and Architecture Document for Sea Surface Salinity Retrieval for SMOS mission", ref. SMOS-TN-ACR-LOD001, Issue 1, Revision 2, Dated 17/08/2004. Appendix A (contract CCN-2 of 16027/02/NL/GS)
[3b] B. Picard, N. Reul, P.Waldeufel, and E. Anterrieu, "Impacts of Solar Radiations on sea surface salinity remote sensing from Synthetic Aperture Imaging Radiometers " , proceeding of IGARRS 2004.
[4] C. T. Swift, Microwave radiometer measurements of the Cape Cod Cannal, Radio Sci., vol. 9, no. 7, pp. 641-653, 1976.
[5] F. Wentz, The forward scattering of microwave solar radiation from a water surface, Radio Sci., vol. 13, no. 1, pp. 131-138, 1978.
[6] J. Aarons, Solar System Radio Astronomy. Plenum, 1965.
[7] A. G. Voronovich, Small-slope approximation in wave scattering by rough surfaces, Sov. Phys.-JETP, vol. 62, pp. 65-70, 1985.
[8] A. G. Voronovich, Small-slope approximation for electromagnetic wave scattering at a rough interface of two dielectric half-spaces, Waves in Random Media, vol. 4, pp. 337-367, 1994.
[9] A. G. Voronovich and V. U. Zavorotny, Theoretical model for scattering of radar signals in ku and c-bands from a rough sea surface with breaking waves,Waves in Random Media, vol. 11, pp. 247-269, 2001.
[10] Klein L.A., and C.T. Swift, An improved model for the dielectric constant of sea-water at microwave frequencies, IEEE Trans. Antennas and Propag., AP-25, 1043-111, 1977.
[11] Kudryavtsev V.N., Makin V. K. and Chapron B., Coupled sea surface-atmosphere model. 2. Spectrum of short wind waves, J. Geophys. Res, C4, 7625-7639, 1999.
[12] N Reul, CA Guerin, G. Soriano, E. Bachelier, P. Borderies, F. Mattia, C. Ruiz and N. Floury, "On the Use of Rigorous Microwave Interaction Models to Support Remote Sensing of Natural Surfaces" , ESA contract 17335/03/NL/AG, 2005.
4.8. Moon contamination
This module will not be implemented in a first version of the algorithm, due to being considered a second order effect
4.9. Atmospheric effects
4.9.1. Theoretical description
This section of the ATBD takes advantage of the analysis reported in an ESA study [1: Peichl et al, 2004].
22.214.171.124. Physics of the problem
126.96.36.199.1. The radiative transfer equation
This section assumes a bare surface, and ignore the sky contribution as well as ionospheric effects. The geometrical rotation from the surface to the SMOS antenna is not considered either.
Several components of the atmosphere are radiatively active, which generates effects to be accounted for in the radiative transfer equation (RTE).
In the absence of atmosphere, the measured brightness temperature Tbm is simply the upwelling brightness temperature from the surface Tbs:
Where
* Ts is the physical surface temperature
* es is the surface emissivity
Introducing the atmosphere, the RTE equation is written:
Where
* Tbup is the brightness temperature self-emitted by the atmosphere upwards
* Γ is the surface reflection coefficient, with Γ = 1 - es;
* Tbdown is the brightness temperature self-emitted by the atmosphere downwards
* τ is the equivalent optical thickness of the atmosphere.
Comparing both equations, it is seen that the atmosphere will generate 3 corrective terms, which are best seen when writing equation (2) as follows:
There are 4 atmospheric components to be considered: dry atmosphere, water vapor, clouds and rain. Ideally, the quantities to be known in equation (2) (τ , Tbup , Tbdown ) are the sums of the 4 corresponding contributions.
In every case, the basic quantity from which atmospheric contributions can be estimated is normally the lineic absorption coefficient κ, generally expressed in dB/km.
188.8.131.52.2. Dry atmosphere
The radiatively active component in dry atmosphere is molecular oxygen.Oxygen molecules have a permanent magnetic moment; therefore absorption and radiation in the microwave region occur due to magnetic interactions with the incidence field. This interaction produces a family of rotation absorption lines in the vicinity of 60GHz (known as the oxygen complex) and an additional isolated line at 118.8GHz [Crane, 1971]. Due to pressure characteristics of the lower part of the Earth's atmosphere, pressure broadening causes the complex of lines to blend together to a continuous absorption band centered around 60GHz.
The oxygen absorption and radiation change due to changes in the meteorological parameters, and are dependent on the pressure P(z) and the temperature T(z) of the gas as a function of the height z.
A model for the absorption by oxygen for lower frequencies is described in [2: Ulaby, 1981]. For frequencies below 45GHz, the contribution from the 118.75GHz oxygen absorption line can be neglected, and thereby we only have the contribution from the 60GHz absorption line. Then the lineic absorption from oxygen at f=1.413 GHz can be written in dB/km as:
where
* f is the frequency (1.413 GHz)
* f0 is the absorption line frequency (60 GHz)
* P is the pressure in hectoPascal (hPa)
* T is the physical temperature in K
* γ is the line width parameter written in GHz as:
Where the line width γ0 is pressure dependent:
γ0 = 0.59 above 333 hPa, 1.18 below 25 hPa, and varies linearly with P between 333 and 25 hPa
184.108.40.206.3. Water vapor
In the microwave region, water vapor has rotational absorption lines at 22.235 GHz and at
183.31 GHz. Furthermore there are also some absorption lines above this region, which contributes to the microwave absorption spectrum. For calculation of the absorption at L band one can, according to [Ulaby, 1981], group the contributions from the 183.31GHz and all the absorption lines above in a residual term through the use of low frequency approximation. The resulting absorption coefficient κH2O can then be written as a sum of the contribution from the 22.235 GHz absorption line κ22 and a residual term κr:
According to [4: Waters, 1976]:
Where
* γ1 is the line width parameter (GHz):
* ρv is the water vapor density (gm -3 )
Concerning the residual term, according to [2: Ulaby, 1981]:
And finally:
220.127.116.11.4. Clouds
When electromagnetic radiation interacts with particles such as those in snow, clouds, fog and rain, it involves absorption and scattering. But if only drops, which have a diameter much smaller than the wavelength, are considered – which is the case for 1.4GHz - then scattering is unimportant, and the absorption coefficient can be calculated from the Rayleigh approximation.
The particles are assumed to be randomly distributed within the volume, and therefore the contribution of the individual particles can be summed assuming an incoherent process.
Furthermore, it is also assumed that the particles are spherical, which is a reasonably assumption for most atmospheric water and ice droplets. The scattering and absorption characteristics of a spherical particle are governed by three factors: electromagnetic wavelength, index of refraction, and particle radius.
Clouds are complex phenomena, which consists of water either in liquid or in frozen form. The amount of water and the phase of the water in the cloud depend on the altitude, the temperature and indirectly of the pressure. The clouds are described by cloud base, cloud top, the mass density of the liquid water in the cloud and principal composition of the cloud. The water content of a cloud is according to [Ulaby, 1981] typically less than 1g/m 3 .
Radiative effects of ice clouds are negligible at L Band. Concerning liquid water clouds, according to [1] and [2], empirical expressions have been developed by [5: Benoit, 1968] for the lineic absorption coefficient. It appears that the only cases where the overall radiative effect at L Band might not be negligible concerns deep cumuli. However there is no reliable auxiliary data allowing select a depth for these clouds. In addition, they are mostly associated with rain events, which are dealt with next.
18.104.22.168.5. Rain
Physically, rain occurrence is similar to clouds. However the problem is complicated by several factors:
* Due to the size of raindrops, the Rayleigh approximation is no longer strictly valid, hence a dependence appears with the granulometry of rain, which is variable and not accurately known;
* Large raindrops are not spherical
* While ice particle do not contribute to atmospheric extinction, there is often a melting zone (just below the 0°C isotherm which is very poorly predicted and may not be negligible in terms of radiative effects
* Finally the rain is often expressed in rainfall intensity, whereas the relevant quantities are lineic densities (liquid water content) in the atmosphere.
For all these reasons, it does not seem practical to correct for rain. According to [1], rain in the atmosphere producing a non negligible radiative contribution when the rain intensity exceeds about 10 mm/hr; this is estimated to happen less than 0.2% of the time over all latitudes, up to less than 0.65% of the time over equatorial areas (these figures may be pessimistic for a 06h local time).
One should also mention the more in depth analysis carried out by Schultz [6].
Therefore rain occurrences are a matter for flagging rather than correcting. As stated above, the heavy clouds should be associated with rain events.
However, there are obviously cases for which rain attenuation effects will be significant. This will deserve further studies, including an attempt to build and a forward model for the rain contribution, an special attention for calibration operations. This is all the more true since rain is a major component of the global water cycle, in which the SMOS mission is expected to bring improved insights.
22.214.171.124. Mathematical description of algorithm
126.96.36.199.1. Ratiative transfer for gaseous components
From section 1.1, it is concluded that atmospheric contribution should be computed for oxygen and water vapor.
Numerical simulations show that, for L band, the Tbup + Tbdown radiative contributions are extremely close one to each other and can be assumed equal to a single value Tbatm in equation (2). Therefore what is needed is:
Equations (2a) and (2b) can be written again:
Contributions to absorption come from the whole thickness of the atmosphere. However, for oxygen it is not necessary to consider altitudes higher than a level ZM ≈ 30 km (TBC), where absorption becomes completely negligible. For water vapor, the altitude range to be considered is limited to ZM ≈ 10 km (TBC).
Over the required altitude range, the exact computation requests knowledge of altitude profiles for T and P; then, the atmosphere is divided in slices δz. For each slice and for each
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component, the elementary optical thickness δτG (where G is replaced by either O2 or H2O) is computed from the lineic absorption coefficient κ G:
The effect of incidence angle ι on optical thickness must be introduced in the above equation:
The total optical thickness τG is obtained by summing the δτG over the relevant altitude range:
The radiative contribution TbG is (taking the upwelling case) computed as follows:
This formulation yields the upwelling oxygen contribution. As mentioned earlier, the downwelling contribution is found very close, with differences well below 0.01K.
Assuming the attenuation through an elementary layer is very small, and that the physical temperature variation at this scale is linear, the estimate for the physical temperature T(z) in (6d) can be taken as the average between T values for the bottom and the top of the elementary layer.
188.8.131.52.2. Further simplifications
From equation (5c), it is seen that the 2 quantities linked to atmospheric radiative contributions τatm and Tbatm are fixed during the retrieval. Looking at equation (5d), it is seen however that the atmospheric contribution will vary with Tbs and Γ; therefore, strictly speaking, this contribution cannot be considered as a fixed additive correction.
The oxygen overall contribution is by far the largest atmospheric contribution. It may reach up to 6 K and beyond, is described in [1]. As shown above, after some simplifications, integrations along the vertical still remain necessary in the equations. Three ways are identified to compute τO2 and TbO2 :
1. Carry out the integrations as indicated in equations (6). The necessary altitude range and the necessary number of levels are TBC.
2. Tabulate τ O2 and TbO2 as functions of the surface (atmospheric) temperature P0, the surface pressure P0 and some parameter still TBD describing the structure of the temperature profile, and then interpolate from these tables.
3. Build empirical laws to compute τO2 and TbO2. Actually, the most efficient (and physically meaningful) way to do this consists in writing the oxygen emission as the product of optical thickness by an equivalent layer temperature:
Then, empirical laws are needed to compute both optical thickness and the difference DTO2 between the equivalent layer temperature and the surface temperature. Preliminary tests suggests that this will be achieved fairly easily, except that again a parameter still TBD describing the temperature profile structure and its possible variations is needed.
For water vapor, the atmospheric contribution is seldomly significant, only for very moist atmosphere. Hence, although basically the 3 approaches mentioned for O2 still need be considered, it is expected that it will be possible to characterize water vapor by a single parameter: either the surface value, or the columnar content, and then to process using the empirical law approach. This is TBD.
In order to update this section of the ATBD, what is needed is to perform a series of test based on representative atmospheric profiles concerning temperature and water vapor.
References
[1] M Peichl, V. Wittmann, E Anterrieu, B Picard, N Skou and S. Sobjaerg: Final report: SCIENTIFIC INPUTS FOR THE SMOS LEVEL 1 PROCESSOR DEVELOPMENT, in response to ESA contract No. 10508/02/NL/GS. The section referred to here was written by Skou and Sobjaerg.
[2] Ulaby, Fawwaz T. and Richard K. More and Adrian K. Fung, (1981), "Microwave Remote Sensing – Active and Passive", Artech House Inc. , Vol. 1 & 3
[3] Crane R.K. (1971)."Propagation Phenomena Affecting Satellite Communication Systems Operation in the Centimeter and Millimeter Wavelength Bands", Proceedings of the IEEE, 59, pp 173-188.
[4] Waters, J. W. (1976), "Absorption and Emission of Microwave Radiation by Atmospheric Gases", in Methods of Experimental Physics, M.L. Meeks, ed. 12, Part B, Radio Astronomy, Academic Press, Section 2.
[5] Benoit, A. (1968) "Signal attenuation Due to Neutral Oxygen and Water Vapor, Rain and Clouds", Microwave Journal, 11, pp. 73-80
[6] J. Schulz, in WP1200: "Impact of rain on sea surface brightness temperature", Scientific requirements and impact of space observations of ocean salinity for modeling and climate studies, ESA study 14273/00/NL/DC, 2002, p51-43.
184.108.40.206. Error budget estimates (sensitivity analysis)
The method selected for computing gazeous radiative contributions has to be selected in such a way that the resulting error on upwelling brightness temperatures due to approximating the effect of physical atmospheric properties (pressure, temperature, water vapor concentration) never exceeds 0.05 K for SMOS operating conditions. It is expected that this goal is compatible with computing power/time requirements.
Then, the major error source will be due to estimates of absorption cross sections, which in turn reflect the uncertainty on spectroscopic measurements. This uncertainty is estimated around 5% .
4.9.2. Practical considerations
220.127.116.11. Calibration and validation
Since the uncertainty on absorption cross sections cannot be overcome, the resulting error will have to be corrected within the overall SMOS validation process. However, the variation with incidence angle offers a possibility to discriminate among other effects.
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Assuming one succeeds in determining correctly the absorption cross sections, the resulting uncertainty would be permanently eliminated.
18.104.22.168. Quality control and diagnostics
In case a simplified algorithm is applied (see § 1.2.2), care must be applied, based on considering a representative sample of experimental atmospheric data or analyses, in order to ensure that either tables or empirical laws cover the whole ranges of physical situations.
4.9.3. Assumption and limitations
Assumptions are related to laboratory knowledge of spectral properties of atmospheric gases. Limitations concern the presence of liquid (cloud or rain) water in the atmosphere, for which a flagging approach is suggested rather than a correction.
4.10. Swell and other unknown effects
This module will not be implemented in a first version of the algorithm, due to being considered a second order effect
4.11. Bias correction
This potential correction at L2 comes from a problem in level 1: A scene dependent bias of a few Kelvin in brightness temperatures has been detected in simulations of SMOS observations and processing (Camps et al., 2005 and also confirmed by other groups). It appears that L1c products may likely not be calibrated according to specifications, and then hamper the determination of absolute ocean salinity. This serious issue has been raised to the SMOS project management, and the following action line has been proposed and accepted:
An activity will be initiated to first confirm such scene dependant biases, understand its causes, and attempt to correct it at L1. In the event that the L1 correction is insufficient, the L2 SSS team will investigate the possibility of minimizing the impact of such errors, based on a TN - to be provided by the project - describing in detail the source of such scene dependant bias, the limitation of the corrections performed at L1, and any other analysis and /or necessary information needed by a non-instrument cognisant engineer/scientist to understand the problem.
This module of the ATBD describes a correction to be applied at L2 just in case the problem is not solved at L1. It will be behind a switch. Alternative correction schemes are being investigated by the ESLs
4.11.1. Theoretical description
22.214.171.124. Physics of the problem
From Camps et al. (Radio Science, 2005):
"The properties of the brightness temperature images obtained from SEPS exhibit an excellent agreement with the SMOS error budget predictions in terms of radiometric accuracy and sensitivity [Camps et al., 2003c]. However, when comparing these images with respect to the ideal ones (same angular resolution but without noise and instrumental errors), there is often a bias.
Three sources of bias have been identified:
1. Instrumental inaccuracies in the noise injection radiometers (NIRs) used to measure the antenna temperature (average value of the scene). These errors are: thermal noise (DT~0.2 K), offset, and linearity errors. While the offset causes a scene-independent brightness temperature bias, the linearity error causes a brightness temperature error, which is dependent on the antenna temperature corresponding to the scene being imaged. These terms are also temperature-dependent and therefore depend on satellite's argument of the latitude.
2. Inherent difference between the antenna temperature (average value of the brightness temperature of the scene in the unit circle) and the average brightness temperature in the AFFOV since the AF-FOV does not cover the whole space. This error has been found to be more important in inhomogeneous scenes (e.g., near the coastline).
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3. Sun contribution to the antenna temperature. Even though some image reconstruction algorithms include Sun brightness temperature estimators and cancellators such as Camps et al. [2004b], Sun cancellation is never perfect and there is always a residual error which appears as ripples (''tails'' of the quasi-impulse response) and a residual contribution to the antenna temperature.
If the sensitivity of the brightness temperature at nadir to the sea surface salinity is DT/DSSS ~ 0.5 K/psu at 25ºC (even smaller at lower temperatures) and the goal is to achieve an SSS error of 0.1 psu, the absolute accuracy of a real aperture radiometer should be 0.05 K, which is very challenging for any type of radiometer. This level of accuracy is very unlikely in a MIRAS-type of instrument with internal calibration only [Torres et al., 1996; Corbella et al., 1998], and therefore some sort of external calibration must be envisaged.
The use of one or several tie points to match the retrieved brightness temperature does not produce satisfactory results since the radiometric sensitivity of MIRAS is ~2.4 K at boresight, and worsens away from this direction [Camps et al., 2004c]. The proposed external calibration technique relies on the use of ancillary SST and WS data, and SSS estimates to predict the brightness temperature of nadir pixels (0_ incidence angle), for all the snapshot images containing the pixels where the SSS is going to be retrieved. For the whole series of snapshots, the nadir brightness temperatures at both polarizations are added together to form the estimated first Stokes parameter at nadir (^In), and finally the ^In values corresponding to each snapshot are then averaged (I model) to reduce its noise.
The same procedure is followed with the measured data. Finally, the average bias for the set of snapshots used in the retrieval is computed as DI = I data – I model, which is then subtracted from In data, for all image pixels, and for all the snapshots in which the píxel is visible.
The performance of this technique improves with: (1) the number of visible snapshots (N observations) with nadir pixels corresponding to sea, and (2) homogeneous brightness temperature scenes (smaller antenna temperature bias value from second source), which is the case of the ocean. (Nadir land pixels are not considered since their brightness temperature depends on more geophysical parameters and exhibit a much larger variability than in the case of sea.)"
What is proposed here is not a modification of the modelled Tb at surface level (contribution to the forward model) as in most of modules in section 4, but a correction of the measured Tb. That is the salinity retrieval would not be performed from the L1c product as provided by the L1 processor, but from these corrected values.
To take better into account that this Tb bias is scene-dependent, a second approach for the correction has also been proposed by UPC (A. Camps, personal communication). Instead of using a series of consecutive nadir measurements, the averaging is made over all the grid points in a single snapshot. The ocean area included in an AF-FOV is expected to have a bias that we propose to remove by comparing the average of both the instantaneously measured Tb and the modelled Tb (at the corresponding incidence angle) for all the grid points classified as ocean. This technique can be improved by not including in the computation of the average those points lying far from boresight and hence having the maximum noise (the threshold should be defined by a trade-off between number of observations and level of noise).
126.96.36.199. Mathematical description of algorithm
For each snapshot Tb values at antenna reference frame in those grid points that have been marked as "Ocean OK" (no land or sea ice contamination + theoretical radiometric sensitivity below threshold L0) are averaged, either I=Tx+Ty or Tx and Ty separately (and Txy = Tyx in case of full-pol). Tb_mean_data is/are obtained.
The same forward model and auxiliary data to be used in the salinity retrieval are applied to each one of the marked grid points (using climatology for SSS) and its Tb is computed at the incidence angle that corresponds to the specific snapshot considered. Then all the terms for additional contributions are applied (atmospheric, galactic noise …) and resulting Tbs transported to antenna reference frame. All the I=Tx+Ty (alternatively Tx and Ty, or plus Txy if full-pol) of the snapshot are averaged. Tb_mean_model is/are obtained.
Finally the scene dependent bias is computed as DTb = Tb_mean_data – Tb_mean_model, and the measurements for all points changed to I corrected = I_data – DI (alternatively Tx corrected = Tx_data – DTx, Ty corrected = Ty_data – DTy, or even Txy corrected = Txy_data – DTxy = Tyx corrected).
Sequence (for I in dual-pol):
1- After one pair of snapshots (1.2 + 1.2 s) examine all grid points in the AF-FOV
2- Check if they are "Ocean OK"
3- If total number N of "Ocean OK" points is above minimum N0, then continue
4- For each ocean grid point I_data = Tx + Ty measured taken from L1c (detailed description of this equation in module 13)
5- I_mean_data = 1/N Σ I_data (1 to N "Ocean OK" grid points)
6- In parallel, for every "Ocean OK" grid point compute I_model from SST, WS (and if necessary other parameters for roughness description) as provided by the auxiliary data set (same to be used in the retrieval) and SSS provided by climatology, following the complete forward model described in this ATBD (see module 13). The result is I_model at antenna level
7- I_mean_model = 1/N Σ I_model (1 to N "Ocean OK" points)
8- DI = I_mean_data – I_mean_model
9- For every ocean grid point (not only "Ocean OK", but also those above noise threshold) I_data_corrected = I_data – DI
10- Go to next snapshots (pair of Tx and Ty measurements)
Thresholds TBD, e.g. L0 = 4K, N0 = 50 points. (L0 is called Min_Rad_Acc_SBC and N0 is called Min_Num_SBC in the output procut table).
The same procedure applies for A1, A2 and A3 if necessary
Note: this bias correction has to be made using exactly the same options (roughness model, swell correction, etc.) that will be used in the further SSS retrieval
188.8.131.52. Error budget estimates (sensitivity analysis)
The application of this bias correction module does not modify the measurements noise and is expected to reduce significantly the scene-dependent bias. In Camps et al. (2005) the application of the first approach to the bias correction (named there as external calibration) in a simulation for an area of the equatorial Pacific on 4 February 2003 results in a bias correction of about 4 K, that implies a reduction of SSS error from 5.5 psu to less than 1 psu in a swath width of approximately +- 700 km. The second approach has not yet been tested with SEPS.
4.11.2. Practical considerations
184.108.40.206. Calibration and validation
This bias correction will probably not be complete and a second bias removal will be necessary once SSS has been computed. But this is a problem that lies in the cal/val domain, beyond the scope of the L2 processor.
We have to consider that, having used a climatological SSS for the correction, it is likely that an additional small bias can have been introduced to Tb. However, the spatial distribution of SSS (gradients) as measured by SMOS will not be altered, and best values can be recovered through this cal/val second bias removal.
220.127.116.11. Quality control and diagnostics
The scenes that are considered not to have enough "Ocean OK" grid points to proceed with the bias correction, have to be flagged accordingly. The SSS retrieved from these scenes will initially be not reliable, but depending on availability of in situ information a further correction during cal/val can be attempted
4.11.3. Assumption and limitations
This module has to be systematically applied to all scenes that include a significant part of ocean. The definition of "significant" here should come from the minimum number of observations necessary to allow computing the average. My guess is that this number can be low, just enough for an average of noisy data to have sense.
Bibliography
Camps, A., I. Corbella, F. Torres, N. Duffo, and M. Vall-llossera (2003c), SMOS system performance model and error budget, Rep. SO-TN-UPC-PLM-02, Eur. Space Res. and Technol Cent., Noordwijk, Netherlands.
Camps, A., M. Vall-llossera, L. Batres, F. Torres, N. Duffo, and I. Corbella (2005) Retrieving sea surface salinity with multiangular L-band brightness temperatures: Improvement by spatiotemporal averaging. Radio Science, 40, RS2003, doi: 10.1029/2004RS003040
Camps, A., M. Vall-llossera, N. Duffo, M. Zapata, I. Corbella, F. Torres, and V. Barrena (2004b), Sun effects in 2D aperture synthesis radiometry imaging and their cancellation, IEEE Trans. Geosci. Remote Sens., 42(6), 1161–1167.
Camps, A., M. Zapata, I. Corbella, F. Torres, M. Vall-llossera, N. Duffo, C. García, and F. Martín (2004c), SMOS radiometric performance evaluation using SEPS: Evaluation of thermal drifts, paper presented at International Geoscience and Remote Sensing Symposium IGARSS 2004, Inst. of Electr. and Electron. Eng., Anchorage, Alaska.
Corbella, I., F. Torres, A. Camps, and J. Bará (1998), A new calibration technique for interferometric radiometers, Proc. SPIE, 3498, 359–366.
Torres, F., A. Camps, J. Bará, I. Corbella, and R. Ferrero (1996), On-board phase and modulus calibration of large aperture synthesis radiometers: Study applied to MIRAS, IEEE Trans. Geosci. Remote Sens., 34, 1000–1009.
4.12. Transport ground level Tb to antenna level
4.12.1. Theoretical description
18.104.22.168. Physics of the problem
The iterative process to retrieve salinity from SMOS measurements requires comparing the measured data with Tb modeled through the algorithms described in this ATBD. All the different sub-models are describing the processes that contribute to sea surface L-band emission (flat sea, roughness, foam, …), the effects of incoming radiation that need to be added to this emission (sun, moon, cosmic and galactic background, …), plus the modifications to this radiation in its transit through the atmosphere. The result is the modeled value of Tb on top of the atmosphere expressed in the Earth reference frame.
The next step is to transport this Tb to the SMOS antenna reference frame, considering both the change in geometry and the ionospheric effects (Faraday rotation), to allow the comparison with the measured Tb.
22.214.171.124. Mathematical description of the algorithm
With the viewing geometry as defined in ACRI Reqts_L2Draft-2.doc (see figure and annex)
Faraday
rotation
ω
Faraday
rotation
ω
that follows the conventions described in Earth Explorer CFI Software Mission Convention Document (Deimos), we introduce the mathematical expressions for the angles to be used in the transport from ground to antenna reference frames.
ψ
for π/2 ≤ φg ≤ 3π/2: φ has to be replaced by π − φ and ψ by π −
We define the rotation angle a = − φ − ψ − ω, being ω the Faraday rotation angle. Then, following ACRI Reqts_L2Draft-2.doc
Dual polarization mode:
Direct transformation from surface reference frame to antenna reference frame is
If T3 is assumed to be zero then the equation becomes:
There is a singularity problem if cos(a ) = sin(a ), i.e. a = ± π/4 or ± 3π/4. In such a configuration, A1 = A2 = (TH + TV)/2 and it is not possible to derive TH and TV from A1 and A2.
Full polarization mode:
No singularities appear in this mode.
As it has been shown by simulation studies and experimental data that over the ocean Thv ≈ Tvh ≈ 0, the third Stokes parameter at Earth reference frame is considered also to be 0 at first approximation. . However, theoretical models provide non zero T3 and T4 so we recommend to keep the possibility of taking into account non zero T3, even in dual pol mode. Then the different sub-models provided in this SSS ATBD are valid either for dual-pol or full-pol formulation.
If the first Stokes parameter is used for the iterative retrieval I = A1 + A2 = Th + Tv and there is no need to apply any of the above described transformations.
References
ACRI, Reqts_L2Draft-2c.doc
Camps, A., M. Vall-llossera, N. Duffo, F. Torres, and I. Corbella (2005), Performance of Sea Surface Salinity and Soil Moisture retrieval algorithms with different auxiliary datasets in 2-D L-band aperture synthesis interferomètric radiometers, IEEE Trans. Geosci. Remote Sens., 43(5), May 2005
Claassen, J.P., and A.K. Fung, The Recovery of Polarized Apparent Temperature Distributions of Flat Scenes from Antenna Temperature Measurements, IEEE Transactions on Antennas and Propagation, AP-22 (3), 433-442, 1974.
Waldteufel, P. et Caudal, G. Off-axis Radiometric Measurements; Application to Interferometric Antenna Design. IEEE TGARS, 40, 6, juin 2002, 1435-1439
Waldteufel, P, Floury, N., Dinnat, E., Caudal, G., Ionospheric Effects for L-abnd "-D Interferometric Radiometry, IEEE TGARS, 42, 1, janvier 2004, 105-118
4.13. Sum of contributions
4.13.1. Theoretical description
126.96.36.199. Physics of the problem
This module consists in the addition of all the sub-models used to compute the brightness temperature of a specific ocean grid point at antenna level. Then it includes the forward model for L-band emissivity of a flat sea, plus correction for surface roughness (3 different options are considered by now, that can incorporate additional terms for foam, swell effects or others), the introduction of galactic noise contamination, sun glint and moon contamination, atmospheric effects, and finally transport from ground level to antenna level.
The input to module 13 are the equations provided by modules 1 to 12 and will be applied to those grid points that have been selected as adequate for SSS retrieval in the Decision Tree step.
188.8.131.52.1. Note on first Stokes parameter computation
As information to the rest of modules, we indicate here the detail of the first Stokes parameter (I=Th+Tv=A1+A2) computation from a SMOS measurement snapshot (2.4 s), in fact a pair of two consecutive measurements in orthogonal polarisations:
As A1 and A2 are measured in two consecutive (in case of dual-pol) 1.2 s slots, the incidence angle for a specific grid point is not exactly the same for both, but will differ (in case of dualpol) in some 0.6º (approx. 8 km displacement at 756 km height). A little bigger in case of fullpol. To build I a correction is needed to have both components shifted to a unique incidence angle. Although this correction is for sure much below the noise of the measurement, and then is not expected to have a very significant impact, it is worth computing it routinely and in a future evaluation of the algorithm check if it is necessary to keep the correction or just bypass it to save computing time.
As the variation of Tb on incidence angle is very similar for the flat sea model or in any roughness parameterisation, the angular correction will be implemented using the flat sea case for simplicity.
Let's assume that for a specific grid point A1 is measured under θx and A2 under θy. We want to shift both measurements to a value that corresponds to the angle that is just in the middle of θx and θy ("mean angle"). The approximation consists in calculating for each polarisation the difference between Tb emitted by a flat sea (computed with SST from the auxiliary data set and SSS from climatology) at the measured angle and at the "mean angle", and add this difference to the actually measured value.
i1) θ_mean=(θx+θy)/2
i2) A1(θ_mean)=A1(θx)-A1_flat(θx)+A1_flat(θ_mean)
i3) A2(θ_mean)=A2(θy)-A2_flat(θy)+A2_flat(θ_mean)
i4) I(θ_mean)=A1(θ_mean)+A2(θ_mean)
where A1 and A2 are provided by L1 and A1_flat and A2_flat are computed using the flat sea model (described in 4.1) with auxiliary SST for the specific grid point and SSS from climatology.
As noise in A1 and A2 is uncorrelated, σ 2 I = σ 2 A1 + σ 2 A2
Alternative approach: To avoid the possible introduction of any bias on Tb due to the use of climatological SSS, the interpolation to the mean angle could be done based on accumulated SMOS data versus incidence angle statistics.
Third approach: At SRR meeting in ACRI it was proposed to define a 'pseudo Stokes' vector, with the first parameter defined as A1+A2, where A1 and A2 have slightly different geometries, since having been acquired in different instants, and therefore with different incidence angles. However, this parameter might be sensitive to Faraday rotation (TBC).
This issue needs to be clarified A switch should allow selecting one of these options.
184.108.40.206.2. Sum of modules
The iterative method for salinity retrieval requires computing Tb with expected SST, SSS and roughness descriptors values at the adequate incidence angle, correct it for the presence of all envisaged contaminations (galactic, sun, moon and atmospheric), and transport the resulting value to antenna level for comparison with the measured Tb (level 1c) that has been previously corrected for bias. This series of computations will be made following the different sub-models described in sections 4.1 to 4.12 of this ATBD.
When an angular dependence is present, the computations are made for θ_mean.
1- Tb_1 = Tb_flat computed with equation described in 4.1
2- Tb_2 = Tb_1 + Tb_rough computed with surface roughness sub-model described in 4.2, 4.3 or 4.4. It is clear that from this step three versions of the Tb exist in parallel
3- Tb_3 = Tb_2 with corrections for foam and/or swell if applicable, following submodels described in 4.5 and 4.10 (description of these modules includes instructions on applicability, depending on roughness sub-model used and on auxiliary information, e.g. wind speed)
4- Tb_4 = Tb_3 modified for sun glint contamination as described in 4.7
5- Tb_5 = Tb_4 modified for moon contamination as described in 4.8 (if necessary)
6- Tb_6 = Tb_5 modified for reflected galactic noise contamination as described in 4.6, which is attenuated by the atmosphere, when down-welling (described in 4.9).
7- Tb_7 = Tb_6 modified by the reflected down-ward atmospheric emission as described in 4.9.
8- Tb_8= Tb_7 attenuated by the atmosphere (described in 4.9).
9- Tb_9=Tb_8 modified by the atmosphere self emission direct to antenna (described in 4.9).
10- Tb_10 = Tb_9 transported from ground to antenna level as described in 4.12
Comment [JF10]: Proposed by N. Reul
Comment [JF11]: Definition of pseudo-Stokes (proposed by J.L. Vergely if I am not wrong) should be checked
Comment [C12]: . No, in case we don't use the first Stokes parameter, this is not necessary, we can keep thetax and thetay. In case using the first Stokes parameter, the correction for theta_mean could be done at the end after step 8?
This Tb_10 is the brightness temperature that has to be included as "Tb mod" in the iterative convergence module (4.14) where it is compared with the "Tb meas" measured by SMOS
We have to indicate that the choice of retrieving SSS using I or using Th and Tv separately does not affect modules 4.1 to 4.11, that are mathematically described using Th and Tv. It is only in step 10 above when either the Tb to be transported is Th+Tv (then equal to A1+A2) or both components are transported separately and then the Faraday rotation has to be taken into account.
220.127.116.11. Mathematical description of algorithm
The Sum of contributions can be expressed mathematically as follows:
Firstly the brightness temperature of the sea at the bottom of the atmosphere is computed. Latter the atmosphere and extraterrestrial sources are applied, and finally the transport from ground to antenna is considered.
The brightness temperature at the ground level (BOA) due to sea surface emission (at BOA there is also the reflection of atm. signal + galactic signal etc) is as follows:
Tbflat is the Tb for a flat sea, as described in module 1 of the ATBD, and Tbrough is the contribution of the roughness of the sea, which is described by 3 different modules in 2, 3 and 4. F is the fraction of sea foam coverage that mainly depends on the wind speed (WS) and is given in module 5. Tbfoam is the brightness temperature due to the foam and described also in module 5. If the empirical model is chosen, then F and Tbfoam must be set to 0, since the empirical model takes already into account the foam effect. The effect of foam is only appreciable for wind speeds higher than 12 m/s. However, the terms envolving the foam contribution (F and Tbfoam) should be applied always, independently from the wind speed value, and it is already considered in the definition of F and Tbfoam in module 5.
Then atmosphere and extraterrestrial sources are considered:
where Tbreflected is the radiometric temperature from the sky and atmosphere scattered by the surface, which is the addition of two terms; the downward emitted atmospheric radiation (TbDN) and the brightness due to extraterrestrial sources. The extraterrestrial sources considered here (Tgal) are the hydrogen line, and the cosmic and galactic contribution, as explained in part 6 of this document. The atmospheric contribution term is multiplied by Γ, that is the reflection coefficient computed by the Fresnel equation. And Tgal is multiplied by an attenuation factor due to the atmosphere, since its formulation is at top of the atmosphere.
To compute Tb at top of the atmosphere (without considering Faraday rotation) in the Earth reference frame:
Comment [EL13]: Why not
using here for Gamma the real estimation of surface reflectivity from combined flat+rough emissivity models ? (N. Reul)
Comment [JF14]: TbDN does not speak to me: There is a need to adjust notations with atmospheric part but maybe BTatm is not a good choice; I would prefer Tbatm for the Tb coming from atm. emission. (J. Boutin)
Deleted: Tbglint is the contribution of the sun glint and it is defined in module 7.
where TbUP is the atmospheric self emission direct to the antenna (but computed at TOA and with Earth reference frame) and atm τ e − is the attenuation produced by the atmosphere. Section 4.9 specifies that TbUP and TbDN are very close, and considered equal to Tbatm, which is defined in that section..
Finally to compute this temperature at the antenna reference frame, the geometrical transformation and the ionospheric effect should be considered, following module 12, as:
where MR4 is the matrix that describes the geometrical transformation plus the Faraday rotation
18.104.22.168. Error budget estimates (sensitivity analysis)
The addition of the different modules implies an analysis of the impact of the individual errors on the overall error budget. This was planned in the ESL proposal as WP2600 and expected to be finished by the end of the study.
4.13.2. Practical considerations
22.214.171.124. Calibration and validation
The validation of this module can be done by running some tests cases with exactly the same configuration (in terms of sub-models switched on and use of auxiliary data) with the summation module used in the SRS study and the equivalent used by UPC from SEPS, to check that the result is the same
126.96.36.199. Quality control and diagnostics
The range of validity of this module comes from the intersection of the corresponding ranges for all sub-models.
4.13.3. Assumption and limitations
The module has to be applied to all grid points selected as good for salinity retrieval at the Decision tree.
Comment [JF15]: After
discussion at PDR: we have to decide whether we consider TOA below ionosphere or at satellite level
4.14. Iterative Scheme
4.14.1. Theoretical description
188.8.131.52. Physics of the problem
The iterative method Levenberg and Marquard is choosen to use in the inverse algorithm.
This method was already implemented in the simulator for soil moisture study and gives very similar results to the [Jackson, 1972] method used in SR1600. The mathematical problem is described below in detail.
Set of measurements are brightness temperatures Tbi meas observed for a single pixel at different incidence angles, θ i. These data need to be fitted into a direct model to find the solution of the parameters.
where Prough is a vector that includes the parameters used in each model to describe the sea roughness.
This implies minimization of the following cost function :
Being Pj, the j parameters that influence the Tb: SSS, SST, WS, and depending on the cases, also significant wave height Hs, wind direction φ, wave-age Ω, and TEC parameter in case of not using first stoke, etc.
Pj prior is a value of that parameter known a priori to the measurements, and known with an uncertainty σ Pj (Waldfteufel, 2003, Gabarró, 2004). .θi is the incidence angle of measurements from nadir.
Some experiments seem to advise not using SSS as one of the parameters Pj, as the retrieved value tends to the a priori value. A way of avoiding this is by setting the uncertainty of SSS as a high value (i.e. σSSS=99999), to not consider this term in practice.
Note: As mentioned in section 4.4 the empirical model that describes the Tb due to sea roughness is linearly dependent on the incidence angle. Then it is only possible to retrieve two roughness parameters for each polarisation. In the case of using H and V polarisation independently, the maximum number of retrieved is 4. If the first Stokes is used, then only 2 parameters can be retrieved.
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Comment [EL16]: Might be u* should be used as THE wind roughness retrieval parameter as it is used as imput by the three forward models NR
We tried it with the empirical model and gave worst results than WS JF
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Comment [C17]: It may be dangerous to minimize over all the parameters entering in the f() function; for the 2-scale model part, I propose to minimize on the components of WS in neutral atmosphere (that includes information of u* + influence of wind direction), on SSS and on SST. It is better to consider wind components instead of wind speed as wind components errors better satisfy the gaussian condition contrary to the WS parameter JB
184.108.40.206. Mathematical description of algorithm
Mathematically the above equation can be written as follows:
Where the Tb meas are the Nm observations performed at different incidence angles, T represents the transposition operation, and CTb is the variance/covariance matrix for Tb. The diagonals of this matrix are the radiometric sensitivity of Tb measurements. Off diagonal elements are 0 in the antenna frame.
Pj are different parameters that should be retrieved, Pj prior are the a priori knowledge of the parameters (obtained from models or satellites, the auxiliary information), and CPj is the variance/covariance matrix of these parameters. The diagonal of the matrix are the uncertainties on the a priori parameters.
Finally the above equation can be expressed as follows:
Where CZ matrix is built by aligning along the main diagonal the matrixes CTb and CPj; the vector X has a Nm+Np length and consists on:
Where Pprior is the a priori information of the parameter; X_mod has the same length as X and is defined as:
Where P is the parameter to be retrieved that will change at each iteration. It is the first guess value at the first iteration.
Let's call a to the vector of Np parameters to be retrieved (for example a= [SSS, SST, WS, Hs, Ω]).
Sufficiently close to the minimum the cost function is approximated by a quadratic form:
Then jumping from current trial parameters acur (equal to a first guess value for step 0) to a minimizing one amin is done by the inverse Hessian method:
But if the minimum functions couldn't be approximated by a quadratic form, a steepest decent method has to be used:
The gradient (d) and the Hessian (D) of χ 2 need to be calculated:
Let,
The inverse Hessian method can then be written as:
And the steepest decent method can be rewritten as:
With δa=amin-acur or δa=anext-acur and k∈[0:Np-1]
The Levenberg & Marquardt method put forth a method for varying smoothly between the extremes of the Inverse-Hessian method and the steepest decent method using a factor λ. This factor will replace the constant term in the steepest descent method:
and then if we define a new matrix α', by the following prescription:
the two methods can be expressed as:
When λ is very large, the matrix α' is forced into being diagonally dominant, so method is like steepest descent method and as λ approaches 0 method is like Hessian gradient method.
Given an initial guess for the set of fitted parameters a, the iterative method consists of:
1 Compute χ 2 (a).
3 Solve the linear equations for δa and evaluate χ 2 (a+δa).
2 Select an initial modest value for λini, say λini = 0.001.
4 If χ 2 (a+δa) ≥ χ 2 (a), increase λ by a factor Kd and go back to 3.
5 If χ 2 (a+δa) < χ 2 (a), decrease λ by a factor Kd update the trial solution a=a+δa and go back to 3.
This iteration loop is stopped when χ 2 is decreased with respect the previous iteration by less than a threshold δχ as an absolute value. It can be considered as a first approach to be: δχ=10e 5 (Press, 1986; Marquardt 1963). (See also 'Retrieval Concept and Architecture for Sea Surface Salinity Retrieval for SMOS Mission' document from the CNN2 of contract
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16027/02/NL/GS). This threshold should be easy modifiable and should be calibrated once the satellite will be flying.
Also the step at the first iteration, this is, λini, can be adjusted to better values, to optimize the computing time. By default it will be set to 0.001.
The maximum number of iterations allowed to the system is it_max, and should be also modifiable. It could be changed once the computing time for each grid point will be better known. By default Nmax can be set to 20.
The first guesses of each parameter need to be adjusted. It is proposed to use for the first guess of salinity a fixed value of 35. For the other parameters the first guess could be the a priory value + 10%. TBC
Once the acceptable minimum has been found, then λ should be set to 0, and compute the covariance matrix as:
However, in some circumstances, the estimation can "get stuck," and as a result, we would see a very large value of the loss function. Therefore a FLAG should be raised to inform that the inversion is probably incorrect.
No boundaries will be applied in the inversion process, therefore the retrieved parameters should be considered as effective values, since, they could result in physically impossible values (i.e. negative wind speeds).
220.127.116.11. Error budget estimates (sensitivity analysis)
The algorithm will iterate until χ 2 decrease less than a threshold between two consecutive iterations. Another reason to stop the iterative process is if the number of iterations is higher than an Nmax which is previously defined.
Therefore it is impossible to obtain better results if any of the two conditions described above have been accomplished.
4.14.2. Practical considerations
18.104.22.168. Calibration and validation
The adjustments to be done to the model once it is working with real values, as it is explained in 22.214.171.124, will have to do with:
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Comment [C18]: I don't understand why is the first guess not equal to the a priory value?. JB
o first value of λini;
o maximum number of iterations it_max.
o threshold δχ;
The validation of the retrieved SSS may also consider the quality of the retrieved auxiliary parameters adjusted during the minimization process.
126.96.36.199. Quality control and diagnostics
If convergence is not achieved after it_max iterations, this is, if once it_max iterations are performed, the condition χi+1 2 -χi 2 < δχ is not true, then a FLAG should be raised, and the parameters given by the algorithms should be the value obtained in the last iteration. TBC
4.14.3. Assumption and limitations
Assumptions:
- We are assuming that all the measurement errors are Gaussian and that all the parameters follow a Gaussian distribution.
Limitations:
- If the number of observations of a pixel (observed with different incidence angles) is less than Nmmin (could be set to 10), then the inversion process cannot be performed. This is because with not enough measures, the inversion process could lead to retrieved values with an unacceptable precision.
Bibliography
Gabarró, C., Vall-llossera, M., Font, J., and Camps, A. (2004b). Determination of Sea Surface Salinity and Wind Speed by L-band Microwave Radiometry from a fixed Platform. Internation Journal of Remote Sensing, 25(1):111–128.
Marquardt, D. (1963). An algorithm for least-squares estimation of non-linear parameters. Journal on Applied mathematics, 11(2):431–441.
Press, W, Teukolsky, S., Vetterling, W., Fannery, B. (1986) Numerical Recipes. Ed: Cambridge University press.
Waldteufel, P, Boutin, J., Kerr, Y. (2003) Selecting an optimal configuration for the Soil Moisture and Ocean Salinity mission. Radio Science, Vol. 38, No. 3, 8051, doi:10.1029/2002RS002744.
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4.15. Brightness temperature at surface level
One of the outputs of the SMOS SSS L2 processor has to be to provide, for each grid point, the set of brightness temperatures measured by MIRAS that have been used to compute salinity. But, unlike in L1c product, these have to be values at surface level (not antenna level) that can be used for example for assimilation in general circulation models.
In this module we will describe how these values have to be computed, essentially by reversing the transformation described in module 4.12 and applying the atmospheric corrections described in 4.9.
To be completed
5. Secondary algorithm description
5.1. Theoretical description
5.1.1. Physics of the problem
In the context of developing SSS inversion methodologies from the SMOS brightness temperature data, both iterative and neural networks retrieval algorithms have been studied and their performance evaluated. In [1] and [2], both inversion methods (iterative and neural) have been evaluated with respect to their robustness to noise/biases on (i) the measured brightness temperatures, (ii) the needed auxiliary geophysical parameters and (iii) to inaccuracies in the forward models.
For both inversion methodologies, it was shown that the noise on measured brightness temperatures, if it is conform to what currently expected, seems not to be an issue. This is not the case for a bias on the measured brightness temperatures that will provide a strong retrieval error using both methodologies.
The sensitivity of inversion accuracy to auxiliary parameters (sea surface temperature, wind speed, surface roughness, a priori values for the salinity) reveal that both methods are very sensitive to the accuracy of the auxiliary parameters. It is especially true for an iterative method, in which, the search of the minimum of the cost function is constrained inside an interval of width equal to plus and minus a given standard deviation for each auxiliary parameter around first guess values. If these auxiliary parameters are known with an accuracy equal or better than 1°C, 1psu and 2 m/s for SST, SSS and wind speed, respectively, the salinity error should match the Level 2 processor requirements. But if it is not the case (for example in regions with strong SSS, SST and wind variability), the iterative inversion is too much constrained by these first guesses. The neural inversion seems to be less sensitive to these auxiliary parameters: they are used in the calculation of the retrieved salinity but do not define a domain for the search of the solution.
To provide an estimation of the impact of the imperfections in the direct models, measured brightness temperatures were simulated and inverted with two different emissivity models, which were nevertheless very close (same dielectric constant for sea water, same wave spectrum for roughness corrections). The retrieval accuracy was found to be strongly reduced for both methods revealing a clear impact of the forward model on the retrieved SSS accuracy.
Therefore, if one consider the complete error budget of the salinity retrieval including errors in the measured brightness temperatures, errors in forward emissivity models, errors in the inversion methods and errors in the auxiliary parameters, it is clear that a secondary, purely empirical, inversion algorithm (which do not need a direct surface emissivity model), shall provide a useful added-value salinity product, at least at the beginning of the mission to help
tuning the forward surface emissivity models. A Neural Network (NN) formulation is particularly adapted to the development of such algorithms.
The two major difficulties in implementing a neural network inversion algorithm for SMOS are
1) the definition of the network topology, since the number of incidence angles and their values varies with pixel's distance to the ground track, and are different for the same pixel in different overflights. Therefore, it should be expected to define and train as many neural networks as independent pixels are in a swath width, with the added difficulty of training neural networks with noisy data at the swath edges.
2) The generation of geophysical databases. The choice for generating a learning database to train the NN is known to be crucial in the development of a neural inversion algorithm. Whereas in the iterative method no major off-line component is identified (leaving aside external calibration), in the NN a major off-line component is necessary with the data used to build the learning basis and the software necessary to train the networks. Two other important off line geophysical databases are needed to develop the algorithm: first, a validation database to control the quality of the algorithm and the capacity of generalization during the learning phase, and, second a testing and independent database to evaluate the performances of the algorithm where it has not learnt.
Concerning the network topology, it is not clear that NN can handle incidence angle dependant fractions in retrieval as provided in SMOS Level 1C data. Incidence angle coverage of Tb must be therefore interpolated/averaged to categories to be defined and NN will be developed for each category. These categories will certainly be dependent on the dwell line position of the considered input brightness data (probably a few tens).
The geophysical databases required to estimate the statistical relationship between the SSS and the SMOS Tb's at surface level will be built during the commissioning phase with collocated in-situ SSS and surface Tb's estimated from SMOS measurements (i.e., corrected for atmospheric and ionospheric effects), as well as "all" possible sets of other pertinent geophysical parameters.
Both the NN topology and the geophysical databases are not yet defined, therefore only the interface for a neural network algorithm is defined here in order to populate this net at a later date.
5.1.2. Mathematical description of the algorithm
The algorithm shall use as inputs multi-angular brightness temperature data at the surface level ,i.e, Level 1C data corrected for atmospheric and ionospheric contributions. The mathematical implementation of the Neural Network inversion algorithm, as it is anticipated now, will consist in three main processing steps:
1) A data preprocessing step to provide adapted inputs to the NN algorithm. Multiangular brightness temperature data at the surface level will be categorized as function of their incidence angle coverage and/or corresponding pixel dwell line positions (categories still to be defined). The incidence angle coverage of Tb's will be therefore interpolated/averaged to these categories.
2) An internal decision tree. Assuming there will be several neural networks developed for each identified input data category (based on input data dwell line position and/or incidence angle coverage), the decision tree shall determine which sub-Neural Network will be used for retrieving SSS from those data.
3) An output processing step to deliver SSS from a final expression given by the combination of the transfer function with weights and biases corresponding to the neural network selected by the decision tree.
Inputs to the algorithm shall be:
1) SMOS brightness temperatures at the surface level,i.e., corrected for atmospheric, ionospheric and galactic contributions, in H and V polarization if the instrument is operated in dual mode or the full-stokes data in full polarimetric mode.
2) Category definitions of SMOS brightness temperatures at the surface level used in the data preprocessing and decision tree,
3) Auxiliary sea surface temperature, wind speed module at 10 meter height and a priori SSS estimate,
4) Lookup table of coefficients (biases and weights in the network) for all sub-networks corresponding to a given input data category.
There will be one Lookup table of coefficients (biases and weights) for each sub-network, corresponding to each data category.
Ecah sub-neural network is defined by the number of layers, the number of neurons for each layer and the transfer function associated to each neuron.
There are n inputs: the categorized multi-angle brightness temperatures at surface level and one output the salinity and its associated error. The information goes forward in one of the developed network from the inputs X to the output Y. All the information between two neurons is quantified by a weight W.
For one given neuron i, its output Si is expressed by :
Where
* Sj are the contributions of the p other neurons in the previous layer
* Wi0 is the bias of neuron i
* Wij is the weight between neuron i and neuron j
* f is the transfer function associated to the neuron.
The transfer function that will be used is the sigmoid function:
It is the function generally used for neural networks because it has good properties : it is a symmetric function bounded between -1 and 1.
There is no mathematical rule to fix the number of neurons. However, the number of neurons is linked to the number of samples in the database since the number of weights and biases has to be proportional to the amount of data used to train the network. The determination of the adapted architecture is done in an empirical way, testing for various architectures.
The network output has a final expression given by the combination of the transfer function with weights and biases :
5.1.3. Error budget estimates (sensitivity analysis)
Table 1. In each tested configurations bias and standard deviation (psu) between retrieved and reference salinity.
| Testing Database | Neural Network | |
|---|---|---|
| | Bias | Stdev |
| Tbs without noise Auxiliary parameters with noise (1 psu, 1°C, 2m/s) | -0.29 | 0.52 |
| Tbs without noise (θ) Auxiliary parameters with noise (1psu,1°C,2m/s) | -0.29 | 0.56 |
| Tbs with a bias of 1K Auxiliary parameters with noise (1 psu,1°C,2m/s) | -0.70 | 0.50 |
| Tbs with noise (θ) Auxiliary parameters perfectly known | -0.27 | 0.44 |
| Tbs with noise (θ) Auxiliary parameters with noise (2 psu, 2°C, 4m/s) | -0.34 | 0.84 |
| Tbs with noise (θ) Independent auxiliary parameters | -0.24 | 0.47 |
| Tbs simulated with the SSA model with noise (θ) Auxiliary parameters with noise (1 psu, 1°C, 2m/s) | -0.27 | 0.54 |
Table 1 summarizes results (bias and standard deviation on retrieved SSS) obtained in [2] from different tested configurations for SSS retrieval from neural Networks. For these tests, SMOS Tb's were simulated through a forward model. In almost all simulated cases, the standard deviation error on retrieved salinity is lower than 0.9 psu with the neural inversion.. The neural inversion has the advantage to be much less sensitive to a priori values for auxiliary data than an iterative method. It is also less sensitive to the noise and to a possible bias on the brightness temperatures. Nevertheless, the results obtained with the neural algorithm are not perfect. In particular, the behavior of the algorithm for low and high salinity that results in a systematic slope, can be greatly improved.
While these results are indicative of expected retriveal errors using Neural Networks, it is still difficult to provide at that step of processor development a correct error budget. Indded, the network that be used later will be based on real SMOS data and real in situ SSS, which shall provide quite different functionnal relationship than the one predicted by a forward emissivity model.
5.2. Practical considerations
5.2.1. Calibration and validation
The performance of the global empirical salinity neural network algorithm will evaluated by comparing in situ SSS salinity with retrieved salinity. The correlation between algorithm results and in situ data, limited with regression coefficients, will allow adjustments to be done to the Neural network biases and weigths for classified SMOS brightness temperature categories.
Therefore, we will have to perform a post launch adjustment of the coefficients for salinity parameter retrieval. Salinity validation will be performed over selected test sites for different sea surface conditions (cold, warm, high and low winds, rainy, wind seas, wind seas+swell, frontal area) to assess the accuracy of the algorithm under different salinity conditions. Test sites associated with the salinity classes will be selected where in situ information is most readily available (e.g., ARGO float locations).
5.2.2. Quality control and diagnostics
The first step in quality control will be visual examination of the salinity products products to ensure that the SMOSs are consistent with our understanding of climate, and no gross errors are being made. We will further compare retrieved. We will utilize the kriging process ([3],[4]) to construct statistical relationships from the widely scattered in situ SSS measurements. We will continue comparing ocean model generated salinities of a basin and sub-basin with estimates derived from the algorithm. We will also compare SMOS with Aquarius derived salinities (if available) for comparison. When a particular assumption is found to be deficient (e.g. category choice for incidence angle coverage, network toipology), we will employ a better procedure to correct the problem.
Diagnostic checks for out-of-range data or unreasonable results will be used in the algorithms to determine whether the output should be flagged as unacceptable. Some diagnostic checks may trigger alternative decision tests in the algorithm. An example of such diagnostics is determination of salinity at the sea-ice border or under strong rainfalls. The retrieval algorithms are not expected to be reliable in these conditions, but they may be used with appropriate adjustments. A diagnostic test may determine, for example, the amount of rain in a pixel scene, and based on that determination we can proceed with the salinity decision tests or mark the data as 'salinity under rain".
5.2.3. Exception handling
Occasional missing pixel data or missing lines of data may be worked around by flagging that missing data and proceeding with the algorithm, carrying that missing data flag through to the output data set. In cases where input data files are unavailable but necessary for completing intermediate calculations, the algorithm should not proceed until those data are available.
Numeric errors and out-of-range values are errors that may arise from equations in the algorithm. Numeric errors will be handled by flagging them, i.e., filling with a code value and continuing with processing the rest of the data set. Intermediate calculations will probably be checked for out-of-range values and filled with a code value if out-of-range values are detected.
If sunglint or sea ice is present for an entire sub-cycle period (3 days) over a pixel or group of pixels, no usable salinity data could be generated and that will be indicated on the SMOS products.
Other predicted exceptions are as follows:
(a) Abnormal program termination: Unless the program termination code is set to normal termination, the appropriate error message will be sent to the operator. This will require immediate corrective action as needed.
(b) Files not found: The program will terminate and the appropriate error message will be sent to the operator.
(c) Fatal computation error: This will result in an abnormal termination.
(d) Non-fatal computation error: Warning messages will be sent to the operator who will decide whether to halt the processing or continue the processing until the problem can be resolved.
References
[1] Zanifé, O. Z., Reul, N., Chapron, B., Obligis, E., Boone, C., Labroue, S., Sagen, H. and Evensen, G., "SMOS Salinity Data Processing Study", ESA contract 15165/01/NL/SF, 2001.
[2] Camps, A., Font, J., Gabarró, C., Miranda, J., Obligis, E., Labroue, S., Boone, C., Sabia, R., Vall-llosera, M., Reul, N., Technical report WP1100: A review on practical issues for SSS retrieval, ESA contract 4505/03/NL/Cb, 2004.
[3] Matheron, G., The theory of regionalized variables and its applications. Techn. Rep. Fascicule 5, Les cahiers du centre de morphologie Mathématique de Fontainebleau, Ecole supérieure des Mines, Paris, 1971.
[4] Servain J., Gohin F., and A. Muzellec, Wind fields at the surface determined from combined ship and satellite altimeter data, J. Atmos. Oceanic. Technol., 10,6, 880-886, 1993.
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... [1]
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... [2]
Numbering
... [49]
FH: Fixed Header
MPH: Main Product Header SPH: Specific Product Header
Same fields as in L1C and UDP MPH
* Binary fields of DAR (three SSS retrievals)
GPILB: Grid Points Info List Binary
GPD: Grid Point Data
Same as in UDP
M1: Measurement 1
Data on measurement basis, shared by all forward models (e.g. atmosphere, L2 flags on measurements) or from L1C (angles, flags of L1C)
Mn: Measurement n=Nb_InputMeas_valid+Nb_InputMeas_invalid
List_of_Retrieval_Schemes count=3
RAR: Retrieval Analysis Report Binary
RAR: Retrieval Analysis Report Binary
RAR: Retrieval Analysis Report Binary
Sizing:
Table below gives estimates of product sizes assuming UDP includes three SSS values.
| | Typical | Maximum |
|---|---|---|
| Number of grid points in Sea | 44912 | 82257 |
| Number of measurements | 3.93 106 | 7.20 106 |
| UDP | 22.3Mb | 40.8Mb |
| DAR | 1.44Gb | 2.63Gb |
6
Mb: 10 bytes
Gb: 10
9
bytes
A detailed list and description of the different fields included in these two files is now under revision and will be provided in ATBD issue 1
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7. ANNEX: AUXILIARY DATA PROCESSING
See attached file Annex7_ATBD-AGDP_v1.pdf
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8. ANNEX: SMOS L1c product requirements for sea surface salinity retrieval at level 2
This note describes the needs of L2 prototype processors in terms of brightness temperature, radiometric uncertainty, geometry of observations and synthetic antenna pattern. Section 0 gives definitions of all quantities needed by L2 prototype processor. Section 0 gives a textual description of L2 processor needs for Sea Surface Salinity and Soil Moisture retrievals. Section 0 reports the current understanding of L1 product content and details our proposal for interfacing L1 and L2 processing. Section 0 addresses other operation modes like the strip adaptive processing.
Definitions
Reference frames
Satellite reference frame
The Satellite reference frame is defined in section 5.2.1 of Earth Explorer CFI Software Mission Convention Document 1 : "The Zs axis points along the radial satellite direction vector, positive from the centre of the TOD reference frame towards the satellite, the Ys axis points along the transversal direction vector within the osculating orbital plane (i.e the plane defined by the position and velocity vectors of the satellite), orthogonal to the Zs axis and opposed to the direction of the orbital motion of the satellite. The Xs axis points towards the out-of-plane direction vector completing the right hand reference frame." Figure 3 of Earth Explorer CFI Software Mission Convention Document is reproduced below for clarity:
1 ESA ref CS-MA-DMS-GS-001 version 1.3 dated 15-07-2003.
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Figure 2: The Satellite Reference Frame as defined in EE CFI Mission Conventions Document Antenna reference frame
The antenna reference frame is a satellite relative reference frame, as defined in section 5.2.2 of Earth Explorer CFI Software Mission Convention Document. The antenna reference frame is obtained by rotating the Satellite Reference Frame by two rotations because no rotation around –Ys is necessary, i.e. (Xs,Ys,Zs) = (X 1 s,Y 1 s,Z 1 s). First rotation is around -X 1 s, with a pitch angle ξ>0 equal to the antenna tilt angle. The second rotation around Z 2 s (i.e the rotated Z 1 s axis) over a yaw angle ζ=π, so that the angle between the orbital motion vector and Y's axis is the tilt angle.
In the antenna frame, the director cosines are often used. They are defined by ( ) ( ) ) sin( sin ) cos( sin ϕ θ η ϕ θ ξ = =
Eq. 1
where θ is the angle between the light of sight and –Z's. ϕ is the azimuth of the line of sight in the antenna reference frame, with ϕ=0 for the X's axis and ϕ=π/2 for the Y's axis.
Target reference frame
At surface level, topocentric 2 reference frames are adopted, where the line of sight hit the Earth's surface.
From antenna reference frame to target reference frame
Reference frames adopted in this note are depicted in . The antenna reference frame is noted (S,X,Y,Z) instead of (X's,Y's,Y's).
2 See section 5.1.7 of Earth Explorer CFI Software Mission Convention Document
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Faraday
rotation
ω
Faraday
rotation
ω
Figure 3: Definition of viewing geometry
In the surface reference frame, the horizontal (H) polarization direction is perpendicular to the incidence plan and is the product of two unit vectors that are collinear with PS and OP directions. The vertical (V) polarization direction is perpendicular to both PS and the H polarization direction.
In the antenna reference frame, the X polarization direction is along X=X's axis and the Y polarization direction is defined by the Y=Y's axis.
To link directions of polarization at surface and at antenna levels, two angles ψ and φ are considered, together with an intermediary angle θ. For –π/2 ≤ φg ≤ π/2:
If π/2 ≤ φg ≤ 3π/2, and give π−φ and π−ψ respectively, instead of φ and ψ. It is worth noting that for φ and ψ rotation angles are define along the SP direction (toward the Earth), positive counterclockwise.
Faraday rotation
If the antenna looking toward the Earth sees a fully polarized electromagnetic waves propagating from the surface, the polarization directions rotate while the electromagnetic waves cross the ionosphere because the medium contains free electrons and is under the influence of Earth magnetic field 3 . The rotation angle is:
Eq. 5
where N is the electron number density and B|| is the component of the magnetic field parallel to the propagation direction. From the antenna reference frame, ω angle is positive counterclockwise.
Brightness temperatures
Brightness temperatures in the antenna frame in X and Y polarization directions are noted A1 and A2, instead of TX ad TY respectively. This convention avoids confusion in full polarization mode: Stokes parameters 3 and 4 at the antenna level are noted A3 and A4 (A like Antenna), whereas they are noted T3 and T4 at surface level.
Dual polarization mode
Direct transformation from surface reference frame to antenna reference frame is as follows:
6
where
4
a = -ω – φ − ψThere is a singularity problem if cos(a ) = sin( a ), i.e. a = ± π/4 or ± 3π/4 . In such a configuration, A1 = A2 = (TH + TV)/2 and it is not possible to derive TH and TV from A1 and A2.
Full polarization mode
No singularities appear in this mode. T3 and T4 are expected to be equal to 0. If Faraday rotation is not removed (ω =0), T3 becomes different of 0. T4 is always equal to 0.
3See http://farside.ph.utexas.edu/teaching/jk1/lectures/node60.html for details.
4 Signs of this sum are TBC because they depend on sign conventions.
Radiometric uncertainty
The most adequate reference although not complete is:
Camps A., Corbella I., Bara J and Torres F.: Radiometric sensitivity computation in aperture synthesis radiometry, IEEE trans. Geosci. Rem Sens., 36, pp 680-685, March 1998 Radiometric uncertainty gives the amplitude of radiometric noise in K. It is derived from the total scene temperature, the system temperature and is a function of viewing direction according to the average LICEF receiver gain. It depends on the integration time and the receiver bandwidth as well as other parameters of the receiving channels.
8
* G is the gain of the antenna element. Expressed linearly (rather than in dB): G ≈ 7.2 TBC
* d is the spacing ratio: d = (distance between elements) / wavelength; d = 0.875
* Tsys is the system temperature (K); Tsys ≈ 215K, for a 2.4 dB noise figure
* B is the equivalent receiving bandwidth in Hz; B ≈ 19 10 6 Hz
* Tscene is the scene temperature (K)
* τeff is the effective integration time for a given polarization: τeff = τ / ceff, where τ is the actual integration time. In the dual pol mode τ is always equal to 1.2s. In full pol mode, for the four Stokes components, the 4 τ values alternate between (1.2, 0.4, 0.4, 0.4) and (0.4, 1.2, 0.4, 0.4) (see Martin Neira, M., Polarimetric mode of MIRAS, IEEE Transactions on Geoscience and Remote Sensing, 40, 1755-1768, 2002) TBC. The coefficient ceff accounts for the 1 bit correlation (dominant factor 2.46), for oversampling (factor 0.74) and for the hermiticity of the cross visibilities hv and vh : ceff ≈ 1.81 for Tv and Th, ceff ≈ 1.81/2 for the third and fourth Stokes parameters.
* frd is a factor to account for redundant visibilities: frd ≈ 0.82 TBC
* αW is a coefficient which accounts for integration over the apodization window. For a rectangular window, αW = 1; for an exact Blackman window, αW ≈ 0.452 in the SMOS case. for Kaiser window with parameter = 13, αW ≈ 0.365 TBC
* NV is the total number of visibility samples: NV = 6 NEL 2 + 6 NEL + 1, where NEL is the number of elements per arm. In the SMOS case, NEL = 23 and sqrt(NV) = 52.7
In full polarimetric mode, Tscene is taken equal to 0.
The 2 or 4 σT values computed using the radiometric sensitivity equation yield the radiometric sensitivity on boresight.
It makes sense to request one separate value per Stokes parameter, as changes are expected in antenna gains and in scene temperatures.
When applying the visibility equation, it is seen that reconstructed Tb are weighted by the inverse product of element directional gains: GVk(θ,φ) GV*l(θ,φ) , where GV are voltage directional gains. Similarly, the std on the Tb must be corrected. In this case however, it is not necessary to account for differences between elements, and an average directional pattern is all that is needed.
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With ( ) φ θ , G the average LICEF receiver directional power gain function, normalized so that max(G) = 1 on boresight, the radiometric uncertainty on brightness temperature AP in polarization direction P=1, 2, 3 or 4 is given by: Eq. 9
Therefore the map of ( ) φ θ , G is needed for L2 processing. This is a static map. It can be expressed either in polar coordinates in the antenna frame, or conveniently in the director cosines, provided they are part of the L1 output.
For brightness temperatures at surface level, the radiometric uncertainties on TH and TV are given by:
H
V
cov(TH,TV) tends towards: - σ TH σ TV
The matrix described by σ 2 TH and σ 2 TV is the variance/covariance matrix of brightness temperatures in surface reference frame and ([MR2] -1 ) T , the t ra nsp ose d ma t r i x of [M R 2] -1 . The variance/covariance matrix carries the radiometric unce rtai n t ie s a s s o c i a te d wi t h T H and T V on its diagonal and the correlation coefficient between T H and T V (covariance) on the nondiagonal terms. The non-diagonal terms are equal. While A 1 an d A2 are ma in ly u n co rrelated (ignoring correlations due to common channels), T H and T V are strongly correlated because they are derived from A1 and A2 through linear relationships. In case MR2 is singular, σ T and σ T tend towards infinity;
In full polarimetric mode, no singularity is expected at the ground level.
Synthetic antenna pattern
Function S gives the synthetic antenna pattern as a function of (ξ,η) that are small variations around the viewing direction (ξ0,η0) in the director cosine frame 5 :
Where:
( ) c l U , and ( ) c l V , are coordinates of visibilities.
0
ξand
0
ηare director cosines of viewing direction.
5 This is equation C.3 page 218 of SEPS ADDD v4.1 ref SO-TN-GMV-PLM-003 dated 18-12-2003. In SEPS documentation, the synthetic antenna pattern is called equivalent array factor.
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Numbering
Bullets and
d is the spacing ratio: distance between LICEF receivers in wavelength (d=0.875)
1 − = j
0 min f B W r = with min B is receiver bandwidth and 0 f is the receiver center frequency
(1413.5MHz)
W is the apodization function computed where coordinates of visibilities are provided.
The weighting function to be applied at surface level is derived from S(ξ,η) after geometrical transformations:
* from (ξ0+ξ,η0+η) frame to (θ,ϕ) frame according to .
* Introducing the smearing effect along the track.
* from (θ,ϕ) frame to (longitude, latitude) using Earth Explorer CFI.
Needs for L2 prototype processing
For sea surface salinity retrieval
The final report (ref SMOS-TN-ACR-LOD-006 v1 dated 21-03-2005) of the sea surface salinity retrieval study (contract 16027/02/NL/GS) recommends that the TEC is a constrained parameter in the iterative process. This means that Faraday rotation shall not be corrected at level 1 processing.
The SSS L2 processor needs brightness temperature in the antenna reference frame (A1 and A2 for dual pol; A1, A2, A3 and A4 for full pol), along with radiometric uncertainties (σA1 and σA2, for dual pol; σA1, σA2, σA3 and σA4 for full pol), and one angle, (φ + ψ), which depends on observation geometry. These needs are compliant with SMOS product definition baseline (see page 9 of SO-TN-ESA-GS-1250, v1.3 dated 28-01-2005).
The Faraday rotation angle ω will be computed and adjusted during level 2 processing. This angle depends on the geomagnetic field and the Total Electronic Content (TEC) of the ionosphere 6 . The TEC data will be used to compute the initial guess for Faraday rotation angle.
The SSS L2 processor needs all orbital data necessary to use the Earth Explorer CFI software. All requirements in terms of geometry (angles) shall be covered by EE CFI software.
The SSS L2 processor needs a way to compute the weighting
fun ct
iontobeappliedatsurface
level for estimating land or ice contamination for flagging and pos
si bl
ya
cc oun
tforthem.
The SSS L2 processor takes in charge surface reflected terms such as galactic background o Sun glint, but not their possible side effects due to the reconstruction process.
r
For soil moisture retrieval
To be completed by ARRAY.
Interface with L1 processing
Understanding of L1c products
6 See Appendix A of SEPS ADDDv4.1, ref SO-TN-GMV-PLM-0003 dated 18-12-2003.
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Our understanding of the content of L1C products, based on
* SMOS L1 Processor Input/Output Definition ref. SO-IS-DME-L1PP-014 v2.1 dated 22-02-05
* SMOS L1 Product Format Specification ref. SO-IS-DME-L1PP-0002 v1.1 dated 2202-05
* SMOS L1 Auxiliary Data Specification Format ref. SO-IS-DME-L1PP-0003 v1.1 dated 22-02-05
is that they include
* all information to compute (φ + ψ) using Earth Explorer CFI, 8
* TH and TV 7 + eventually U and V
* Geomagnetic field 9 and TEC 10 data in auxiliary data products.
* Apodization function 11
The L1c products do not suit the needs on L2 processors. Radiometric uncertainties are not provided. For sea surface salinity retrieval, correction of Faraday rotation is not needed.
Proposed interface with SSS prototype processor
For sea surface retrieval, it is proposed that the L1c products include in dual polarization:
* A1 and A2
and for full polarization:
* σA1 and σA2
* A1, A2, A3 and A4
* σA1, σA2, σA3 and σA4
For each set of brightness temperature reconstructed for one element of the SMOS grid:
* A reference to the apodization function used during reconstruction.
Acquisition time
*
* Integration time (for smearing effects).
For sea surface retrieval, it is proposed that the L1c auxiliary products include:
* Synthetic antenna patterns S (see ), tabulated for |ξ|<2/7 and |η|<2/7 (TBC 12 ) and sampling is TBD. Each Synthetic antenna pattern table is referenced and the reference number is found in the L1c product. This referencing is used in case the apodization function changes or the strip adaptive approach is adopted (see section 0).
* Orbit information (see inputs of Earth Explorer CFI).
* The SMOS fixed grid (ISEA grid).
Extension to other operating modes
Strip-adaptive processing
7 See Table 26 of SO-IS-DME-L1PP-0002 page 69.
9 TBD, see section 4.16 of SO-IS-DME-L1PP-0003 page 45.
8 See Table 25 of SO-IS-DME-L1PP-0002 page 65.
10 TBD, see section 4.15 of SO-IS-DME-L1PP-0003 page 44.
12 In first approximation, with a spacecraft at 700km altitude, to cover an area 200km around the target, we have sin(θ−θ0)<200/700 at nadir. Knowing that ϕ ranges from 0 to 2π, indicates that the condition is |ξ|<2/7 and |η|<2/7.
11 TBD, see section 4.17 of SO-IS-DME-L1PP-0003 page 45.
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The strip-adaptive processing, also known as equi-pixel processing, uses different apodization functions in the reconstruction process in order to minimize distortions of SMOS footprints. This means that the Synthetic antenna pattern S is not unique. It is proposed that L1 processing provides a series of Synthetic antenna pattern S, referenced by a number, and that this reference number is included in the L1c product. The number of Synthetic antenna functions S is estimated to be less than several thousands.
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¶
This note describes the needs of L2 prototype processors in terms of brightness temperature, radiometric uncertainty, geometry of observations and synthetic antenna pattern.¶ Section 0 gives definitions of all quantities needed by L2 prototype processor. Section 0 gives a textual description of L2 processor needs for Sea Surface Salinity and Soil Moisture retrievals. Section 0 reports the current understanding of L1 product content and details our proposal for interfacing L1 and L2 processing. Section 0 addresses other operation modes like the strip adaptive processing.¶ Definitions¶ Reference frames¶ Satellite reference frame¶ The Satellite reference frame is defined in section 5.2.1 of Earth Explorer CFI Software Mission Convention Document 13 : "The Zs axis points along the radial satellite direction vector, positive from the centre of the TOD reference frame towards the satellite, the Ys axis points along the transversal direction vector within the osculating orbital plane (i.e the plane defined by the position and velocity vectors of the satellite), orthogonal to the Zs axis and opposed to the direction of the orbital motion of the satellite. The Xs axis points towards the out-ofplane direction vector completing the right hand reference frame." Figure 3 of Earth Explorer CFI Software Mission Convention Document is reproduced below for clarity:¶ ... [50]
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ANNEX: SMOS L1c product requirements for sea surface salinity retrieval at level 2
This note describes the needs of L2 prototype processors in terms of brightness temperature, radiometric uncertainty, geometry of observations and synthetic antenna pattern.
Section 0 gives definitions of all quantities needed by L2 prototype processor. Section 0 gives a textual description of L2 processor needs for Sea Surface Salinity and Soil Moisture retrievals. Section 0 reports the current understanding of L1 product content and details our proposal for interfacing L1 and L2 processing. Section 0 addresses other operation modes like the strip adaptive processing.
Definitions
Reference frames
Satellite reference frame
The Satellite reference frame is defined in section 5.2.1 of Earth Explorer CFI Software Mission Convention Document 1 : "The Zs axis points along the radial satellite direction vector, positive from the centre of the TOD reference frame towards the satellite, the Ys axis points along the transversal direction vector within the osculating orbital plane (i.e the plane defined by the position and velocity vectors of the satellite), orthogonal to the Zs axis and opposed to the direction of the orbital motion of the satellite. The Xs axis points towards the out-of-plane direction vector completing the right hand reference frame." Figure 3 of Earth Explorer CFI Software Mission Convention Document is reproduced below for clarity:
1 ESA ref CS-MA-DMS-GS-001 version 1.3 dated 15-07-2003.
Figure 2: The Satellite Reference Frame as defined in EE CFI Mission Conventions Document
Antenna reference frame
The antenna reference frame is a satellite relative reference frame, as defined in section 5.2.2 of Earth Explorer CFI Software Mission Convention Document. The antenna reference frame is obtained by rotating the Satellite Reference Frame by two rotations because no rotation around –Ys is necessary, i.e. (Xs,Ys,Zs) = (X 1 s,Y 1 s,Z 1 s).
First rotation is around -X s, with a pitch angle ξ>0equal to the antenna tilt angle.
1
The second rotation around Z 2 s (i.e the rotated Z 1 s axis) over a yaw angle ζ=π, so that the angle between the orbital motion vector and Y's axis is the tilt angle.
In the antenna frame, the director cosines are often used. They are defined by
ξ
( )
( )
)
sin(
sin)
cos(
sin
ϕ θ η ϕ θ =
=
where θ is the angle between the light of sight and –Z's. ϕ is the azimuth of the line of sight in the antenna reference frame, with ϕ=0 for the X's axis and ϕ=π/2 for the Y's axis.
Target reference frame
At surface level, topocentric 2 reference frames are adopted, where the line of sight hit the Earth's surface.
From antenna reference frame to target reference frame
Reference frames adopted in this note are depicted in Figure 3. The antenna reference frame is noted (S,X,Y,Z) instead of (X's,Y's,Y's).
2 See section 5.1.7 of Earth Explorer CFI Software Mission Convention Document
Eq. 1
Figure 3: Definition of viewing geometry
Faraday
rotation
ω
Faraday
rotation
ω
In the surface reference frame, the horizontal (H) polarization direction is perpendicular to the incidence plan and is the product of two unit vectors that are collinear with PS and OP directions. The vertical (V) polarization direction is perpendicular to both PS and the H polarization direction.
In the antenna reference frame, the X polarization direction is along X=X's axis and the Y polarization direction is defined by the Y=Y's axis.
To link directions of polarization at surface and at antenna levels, two angles ψ and φ are considered, together with an intermediary angle θ. For –π/2 ≤ φg ≤ π/2:
If π/2 ≤ φg ≤ 3π/2, Eq. 3 and Eq. 4 give π−φ and π−ψ respectively, instead of φ and ψ. It is worth noting that for φ and ψ rotation angles are define along the SP direction (toward the Earth), positive counterclockwise.
Faraday rotation
If the antenna looking toward the Earth sees a fully polarized electromagnetic waves propagating from the surface, the polarization directions rotate while the electromagnetic waves cross the ionosphere because the medium contains free electrons and is under the influence of Earth magnetic field 3 . The rotation angle is:
where N is the electron number density and B|| is the component of the magnetic field parallel to the propagation direction. From the antenna reference frame, ω angle is positive counterclockwise.
Brightness temperatures
Brightness temperatures in the antenna frame in X and Y polarization directions are noted A1 and A2, instead of TX ad TY respectively. This convention avoids confusion in full polarization mode: Stokes parameters 3 and 4 at the antenna level are noted A3 and A4 (A like Antenna), whereas they are noted T3 and T4 at surface level.
Dual polarization mode
Direct transformation from surface reference frame to antenna reference frame is as follows:
a = -ω – φ − ψThere is a singularity problem if cos(a ) = sin(a ), i.e. a = ± π/4 or ± 3π/4 . In such a configuration, A1 = A2 = (TH + TV)/2 and it is not possible to derive TH and TV from A1 and A2.
Full polarization mode
No singularities appear in this mode. T3 and T4 are expected to be equal to 0. If Faraday rotation is not removed (ω =0), T3 becomes different of 0. T4 is always equal to 0.
Radiometric uncertainty
The most adequate reference although not complete is:
3See http://farside.ph.utexas.edu/teaching/jk1/lectures/node60.html for details.
4 Signs of this sum are TBC because they depend on sign conventions.
Camps A., Corbella I., Bara J and Torres F.: Radiometric sensitivity computation in aperture synthesis radiometry, IEEE trans. Geosci. Rem Sens., 36, pp 680-685, March 1998
Radiometric uncertainty gives the amplitude of radiometric noise in K. It is derived from the total scene temperature, the system temperature and is a function of viewing direction according to the average LICEF receiver gain. It depends on the integration time and the receiver bandwidth as well as other parameters of the receiving channels.
G is the gain of the antenna element. Expressed linearly (rather than in dB): G ≈ 7.2 TBC
d is the spacing ratio: d = (distance between elements) / wavelength; d = 0.875
Tsys is the system temperature (K); Tsys ≈ 215K, for a 2.4 dB noise figure Tscene is the scene temperature (K)
B is the equivalent receiving bandwidth in Hz; B ≈ 19 10 6 Hz
τeff is the effective integration time for a given polarization: τeff = τ / ceff, where τ is the actual integration time. In the dual pol mode τ is always equal to 1.2s. In full pol mode, for the four Stokes components, the 4 τ values alternate between (1.2, 0.4, 0.4, 0.4) and (0.4, 1.2, 0.4, 0.4) (see Martin Neira, M., Polarimetric mode of MIRAS, IEEE Transactions on Geoscience and Remote Sensing, 40, 1755-1768, 2002) TBC. The coefficient ceff accounts for the 1 bit correlation (dominant factor 2.46), for oversampling (factor 0.74) and for the hermiticity of the cross visibilities hv and vh : ceff ≈ 1.81 for Tv and Th, ceff ≈ 1.81/2 for the third and fourth Stokes parameters.
αW is a coefficient which accounts for integration over the apodization window. For a rectangular window, αW = 1; for an exact Blackman window, αW ≈ 0.452 in the SMOS case. for Kaiser window with parameter = 13, αW ≈ 0.365 TBC
frd is a factor to account for redundant visibilities: frd ≈ 0.82 TBC NV is the total number of visibility samples: NV = 6 NEL 2 + 6 NEL + 1, where NEL is the number of elements per arm. In the SMOS case, NEL = 23 and sqrt(NV) = 52.7
In full polarimetric mode, Tscene is taken equal to 0.
The 2 or 4 σT values computed using the radiometric sensitivity equation yield the radiometric sensitivity on boresight.
It makes sense to request one separate value per Stokes parameter, as changes are expected in antenna gains and in scene temperatures.
When applying the visibility equation, it is seen that reconstructed Tb are weighted by the inverse product of element directional gains: GVk(θ,φ) GV*l(θ,φ) , where GV are voltage directional gains. Similarly, the std on the Tb must be corrected. In this case however, it is not necessary to account for differences between elements, and an average directional pattern is all that is needed.
With ( ) φ θ , G the average LICEF receiver directional power gain function, normalized so that max(G) = 1 on boresight, the radiometric uncertainty on brightness temperature AP in polarization direction P=1, 2, 3 or 4 is given by:
Therefore the map of ( ) φ θ , G is needed for L2 processing. This is a static map. It can be expressed either in polar coordinates in the antenna frame, or conveniently in the director cosines, provided they are part of the L1 output.
For brightness temperatures at surface level, the radiometric uncertainties on TH and TV are given by:
The matrix described by σ 2 TH and σ 2 TV is the variance/covariance matrix of brightness temperatures in surface reference frame and ([MR2] -1 ) T , the transposed matrix of [MR2] -1 . The variance/covariance matrix carries the radiometric uncertainties associated with TH and TV on its diagonal and the correlation coefficient between TH and TV (covariance) on the non-diagonal terms. The non-diagonal terms are equal. While A1 and A2 are mainly uncorrelated (ignoring correlations due to common channels), TH and TV are strongly correlated because they are derived from A1 and A2 through linear relationships.
In case MR2 is singular, σ TH and σ TV tend towards infinity; cov(TH,TV) tends towards: - σ TH σ TV
In full polarimetric mode, no singularity is expected at the ground level.
Synthetic antenna pattern
Function S gives the synthetic antenna pattern as a function of (ξ,η) that are small variations around the viewing direction (ξ0,η0) in the director cosine frame 5 :
Where:
( ) c l U , and ( ) c l V , are coordinates of visibilities.
0 ξ and 0 η are director cosines of viewing direction.
d is the spacing ratio: distance between LICEF receivers in wavelength (d=0.875)
5 This is equation C.3 page 218 of SEPS ADDD v4.1 ref SO-TN-GMV-PLM-003 dated 18-12-2003. In SEPS documentation, the synthetic antenna pattern is called equivalent array factor.
0 min f B W r = with min B is receiver bandwidth and 0 f is the receiver center frequency
(1413.5MHz)
W is the apodization function computed where coordinates of visibilities are provided.
The weighting function to be applied at surface level is derived from S(ξ,η) after geometrical transformations:
from (ξ0+ξ,η0+η) frame to (θ,ϕ) frame according to Eq. 1.
from (θ,ϕ) frame to (longitude, latitude) using Earth Explorer CFI.
Introducing the smearing effect along the track.
Needs for L2 prototype processing
For sea surface salinity retrieval
The final report (ref SMOS-TN-ACR-LOD-006 v1 dated 21-03-2005) of the sea surface salinity retrieval study (contract 16027/02/NL/GS) recommends that the TEC is a constrained parameter in the iterative process. This means that Faraday rotation shall not be corrected at level 1 processing.
The SSS L2 processor needs brightness temperature in the antenna reference frame (A1 and A2 for dual pol; A1, A2, A3 and A4 for full pol), along with radiometric uncertainties (σA1 and σA2, for dual pol; σA1, σA2, σA3 and σA4 for full pol), and one angle, (φ + ψ), which depends on observation geometry. These needs are compliant with SMOS product definition baseline (see page 9 of SO-TN-ESA-GS-1250, v1.3 dated 28-01-2005).
The Faraday rotation angle ω will be computed and adjusted during level 2 processing. This angle depends on the geomagnetic field and the Total Electronic Content (TEC) of the ionosphere 6 . The TEC data will be used to compute the initial guess for Faraday rotation angle.
The SSS L2 processor needs all orbital data necessary to use the Earth Explorer CFI software. All requirements in terms of geometry (angles) shall be covered by EE CFI software.
The SSS L2 processor needs a way to compute the weighting function to be applied at surface level for estimating land or ice contamination for flagging and possibly account for them.
The SSS L2 processor takes in charge surface reflected terms such as galactic background or Sun glint, but not their possible side effects due to the reconstruction process.
For soil moisture retrieval
To be completed by ARRAY.
Interface with L1 processing
Understanding of L1c products
Our understanding of the content of L1C products, based on
6 See Appendix A of SEPS ADDDv4.1, ref SO-TN-GMV-PLM-0003 dated 18-12-2003.
SMOS L1 Processor Input/Output Definition ref. SO-IS-DME-L1PP-014 v2.1 dated 22-02-05
SMOS L1 Product Format Specification ref. SO-IS-DME-L1PP-0002 v1.1 dated 2202-05
SMOS L1 Auxiliary Data Specification Format ref. SO-IS-DME-L1PP-0003 v1.1 dated 22-02-05
is that they include
T
H
and T
V
7
+ eventually U and V
all information to compute (φ + ψ)
Geomagnetic field
8
9
and TEC
10
using Earth Explorer CFI,
11
data in auxiliary data products.
Apodization function
The L1c products do not suit the needs on L2 processors. Radiometric uncertainties are not provided. For sea surface salinity retrieval, correction of Faraday rotation is not needed.
Proposed interface with SSS prototype processor
For sea surface retrieval, it is proposed that the L1c products include in dual polarization:
A1 and A2
σ andσ
and for full polarization:
A1
A2
A1, A2, A3 and A4 σA1, σA2, σA3 and σA4
For each set of brightness temperature reconstructed for one element of the SMOS grid:
A reference to the apodization function used during reconstruction.
Acquisition time
Integration time (for smearing effects).
For sea surface retrieval, it is proposed that the L1c auxiliary products include: Synthetic antenna patterns S (see Eq. 12), tabulated for |ξ|<2/7 and |η|<2/7 (TBC 12 ) and sampling is TBD. Each Synthetic antenna pattern table is referenced and the reference number is found in the L1c product. This referencing is used in case the apodization function changes or the strip adaptive approach is adopted (see section 0). Orbit information (see inputs of Earth Explorer CFI).
The SMOS fixed grid (ISEA grid).
7 See Table 26 of SO-IS-DME-L1PP-0002 page 69.
9 TBD, see section 4.16 of SO-IS-DME-L1PP-0003 page 45.
8 See Table 25 of SO-IS-DME-L1PP-0002 page 65.
10 TBD, see section 4.15 of SO-IS-DME-L1PP-0003 page 44.
12 In first approximation, with a spacecraft at 700km altitude, to cover an area 200km around the target, we have sin(θ−θ0)<200/700 at nadir. Knowing that ϕ ranges from 0 to 2π, indicates that the condition is |ξ|<2/7 and |η|<2/7.
11 TBD, see section 4.17 of SO-IS-DME-L1PP-0003 page 45.
Extension to other operating modes
Strip-adaptive processing
The strip-adaptive processing, also known as equi-pixel processing, uses different apodization functions in the reconstruction process in order to minimize distortions of SMOS footprints. This means that the Synthetic antenna pattern S is not unique. It is proposed that L1 processing provides a series of Synthetic antenna pattern S, referenced by a number, and that this reference number is included in the L1c product. The number of Synthetic antenna functions S is estimated to be less than several thousands.
|
Golden State Finance Authority PACE Consumer Protection Policies
(Residential PACE Programs)
(August 17, 2016)
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March 31, 2022
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GSFA Residential PACE Consumer Protection Policies March 31, 2022
GSFA Residential PACE Consumer Protection Policies
August 17, 2016 August 17, 2016
ugu st
17, 2016
GSFA Statement on Public Benefits of PACE Programs:
Thirty-twoseven states and the District of Columbia have enacted legislation enabling PACE programs. PACE programs provide an essential public benefit and contribute to the general public welfare by reducing carbon emissions, improving the quality of the environment, and improving energy and water resiliency of the U.S. building stock.
PACE programs provide demonstrated public benefit while enabling an unprecedented range of homeowners to access energy efficiency, renewable energy and water efficiency measures that improve the financial, functional and environmental aspects of home ownership. Such improvements make homes less costly to operate and more comfortable to live in, while reducing energy and water consumption. Without PACE programs many homeowners would have no, or more costly, access to such benefits.
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1. ELIGIBILITY AND RISK
Policy Summary:
The GSFA and Ygrene Energy Fund's "Ygrene Works'Residential PACE Program (the "Program") blends traditional credit risk considerations together with"), administered by Ygrene Energy Fund California LLC as Partner, overlays statutory requirements andwith administrative policy objectives to develop specific risk and eligibility criteria for participation in the Program. These criteria take into account the unique risk profile that PACE financing presents to enable qualifying homeowners to access it. While this process will exclude unqualified homeowners and properties, special consideration has been given to develop inclusive standards. to the greatest extent possible without undermining consumer protections. The criteria examine four key attributes of every financed project, in addition to the minimum statutory requirements set forth in California law for PACE financing: (1) the real property ("Property") on which the improvements will be installed, (2) the encumbrances presently recorded against the Property, (3) the nature of the improvements to be installed; and (4) the homeowner's mortgage and property tax payment history.
1.1. Properties. Consistent with foundational considerations, it is the policy of the Program to make the Program available to the entirety of the existing residential housing stock within the jurisdictional boundaries of the Program. Applicable law governs the eligibility criteria for Properties for which the Consumer Protection Policies (CPP) does and not apply include: (i) commercialall properties (including residential properties comprising five (5) or more units),
1.1. (ii) new commercial properties under construction and (iii) properties that cannotmay be subject to an assessment or levyeligible for PACE. The Partner will examine the Property for compliance with the criteria set forth in applicable law. If requested in good faith by a homeowner whose Property has been found ineligible, the Program or Partner may undertake a "second look" eligibility review of the applicant's Property, re-examining the specific attributes of the Property in question and confirming or modifying the original determination.
1.2. Encumbrances. The encumbrance profile of properties is an important element in determining whether or not they qualify for Program participation. The Program is designed to harness unused financing capacity of homes in which eligible improvements are installed. Such financing is inappropriate if it burdens properties and their owners too greatly. Accordingly, properties eligible for Program financing will have the following attributes:
1.2.1. All mortgage-related debt on the Property may not exceed 90% of the Property's fair market value ("FMV"), or assessed value if market value data is unavailable or unreliable, at the time of initial approval;
1.2.2. Reliability of the Program FMV model should be derived from residential industry accepted and reputable third-party valuation services;
The financing mayProperties for which the Consumer Protection Policies (CPP) does not apply include: (i) commercial properties (including residential properties comprising five (5) or more units), (ii) new commercial properties under construction
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GSFA Residential PACE Consumer Protection Policies
August 17, 2016
and (iii) properties that cannot be subject to an assessment or levy.
1.2. Underwriting PACE Program assessments appear as line items on property tax bills and homeowners repay their financing when they pay their property tax bills. Encumbrances on the property, mortgage and property tax payment history of a homeowner of record are, thus, an important factor in determining a homeowner's eligibility to participate in the Program. In California, the requirements for assessment contracts are set forth in Government Code section 53328.1, Streets and Highways Code sections 5898.10 et seq. and 5900 et seq., and Financial Code sections 22680 et seq. Those requirements, together with additional requirements adopted by the Authority, include but are not limited to the following:
* The applicant is the owner of record.
* The property that will be subject to the assessment contract has no recorded and outstanding involuntary liens in excess of one thousand dollars ($1,000).
* The property that will be subject to the assessment contract has no notices of default currently recorded that have not been rescinded
* The property owner has not been a party to any bankruptcy proceedings within the last four years, except that the property owner may have been party to a bankruptcy proceeding that was discharged or dismissed between two and four years before the application date and the property owner has had no payments more than 30 days past due on any mortgage debt or nonmortgage debt, excluding medical debt, during the 12 months immediately preceding the application date.
* The property owner is current on all mortgage debt on the subject property and has no more than one late payment during the six months immediately preceding the application date and if the late payment did not exceed 30 days past due.
* The property that will be subject to the assessment contract is within the geographical boundaries of the applicable PACE program.
* The measures to be installed pursuant to the assessment contract are eligible under the terms of the applicable PACE program.
1.2.3.• The financing shall not exceed (A) (i) fifteen15 percent (15%) of the FMVvalue of the Propertyproperty, up to the first seven hundred thousand dollars ($700,000) inclusive of the Property's FMV,existing assessments and (ii) tenshall not exceed 10 percent (10%) of the remaining value of the Propertyproperty above seven hundred thousand dollars ($700,000) minus (B) any existing PACE assessments on the Property;).
1.2.4. The total PACE assessments and the mortgage-related debt on the underlying Property plus Program financing
* mayproperty subject to the PACE assessment will not exceed the FMV97 percent of the Property; andmarket value of the property as established by the valuation required by Section 22685.
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* The term of the assessment contract shall not exceed the estimated useful life of the measure to which the greatest portion of funds disbursed under the assessment contract is attributable. The program administrator shall determine useful life for purposes of this subdivision based upon credible third-party standards or certification criteria that have been established by appropriate government agencies or nationally recognized standards and testing organizations.
* The property that will be subject to the assessment contract is not subject to a reverse mortgage, as defined in Section 1923 of the Civil Code.
* The total amount of any annual property taxes and assessments shall not exceed five percent of the statutory capproperty's market value.
* The homeowner has no delinquent federal or state tax obligations greater than $1,000.
1.2.5.• The homeowner has reported to the Partner any and all as established-yet unrecorded encumbrances on the Property and their full amounts, including any contractual assessments or special taxes levied by the relevanta PACE lawProgram, and those verified encumbrances will be included in any calculations of the total amount of debt secured by the Property.
1.3. Eligible Improvements. The Program provides financing for a broad range of eligible products and projects permanently- affixed to the Property, the details of which are set forth in Section 11 below. The Program is not available to finance ineligible products and projects, which comprise anything not specified in Section 11, subject to an appeal and review of specific measures on a case -by -case basis by the Partner and/or Program.to determine whether the measure nonetheless complies with the requirements of the applicable PACE statutes. While the ProgramPartner is responsible for confirming compliance with the Section 11 requirements, it is not responsible for determining postinstallation energy performance, savings or efficacy of such products or projects. The Program relies on applicable state lawThe Partner shall rely on applicable state law, including but not limited to Government Code section 53328.1, Streets and Highways Code sections 5898.10 et seq. and 5900 et seq., and Financial Code sections 22680 et seq., and data and ratings from the U.S. Department of Energy, the Environmental Protection Agency, and other federal and state government agencies and applicable PACE laws in determining what constitutes an eligible Improvement or Measure.
Page 7 of 30 1.4. Homeowners. PACE Program assessments typically appear as line items on property tax bills and homeowners repay their financing when they pay their property tax bills. The mortgage and property tax payment history of a homeowner of record is, thus, an important factor in determining a homeowner's eligibility to participate in the Program. Accordingly, at the time of application, homeowners eligible for Program financing will at a minimum have status and
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payment histories that are consistent with the following:
1.4.1. The applicant is the homeowner of record;
1.4.2. Property tax payments for the assessed Property are current. Additionally, the homeowner must certify that there has been no more than one late payment for the shorter of (i) the previous three years, or (ii) since the present homeowner acquired the Property;
1.4.3. The homeowner is current on all mortgage debt, and does not have an active Notice of Default (NOD) recorded on the property;
1.4.4. The homeowner is not currently in bankruptcy; and
1.4.5. The homeowner has no involuntary lien(s) recorded against the Property in excess of $1,000.
2. DISCLOSURES & DOCUMENTATION
Policy Summary: The enforceability of the Program is derived from the documentation established and approved by GSFA consistent with enabling state legislation. In states where judicial validation proceedings are available, it is considered best practice to complete judicial validation of the Program prior to commencement. The GSFA Ygrene WorksPACE program judicial validation was competed on July 22, 2015. Documentation for Program participants shoulddeveloped or utilized by the Partner shall ensure compliance with these consumer protection policies and must be clear, complete, and fair to all parties. A reader who has spent time with the documentation should developmust have an unambiguous understanding o f each and every right, risk and obligation associated with the Program's financing product. PACE is a new and developing form of financing that, while sharing some features of traditional financing, presents new considerations for homeowners. Best practices counsel the Program to T he documentation shall disclose traditional "know before you owe" financing terms ("Disclosures" e.g., interest rates, financing t e rm , payment amounts ). ) in compliance with state law and these policies. Disclosures covering the Program financing's specific repayment cycle (typically, annual or semiannual) and the Federal Housing Finance Authority's announcement regarding payoff of Program financing at the time of sale or refinance are among the new considerations. In the end, a homeowner who understands the Program's disclosures will be informed and have a clear understanding of the Pro g ram's traditional and non-traditional features.
2.1. Document Timing. BeforeExcept in the case of refinancing, before commencement of any Program-financed project, a homeowner must: (i) submit an application; (ii) receive approval of the Measures from the Partner; and (iii) execute documentation covering the terms and disclosures summarized in this Section. Following installation of the Measures, a homeowner must: (i) execute an acknowledgement that the installation of the Measures has been completed satisfactorily; and (ii) receive and approve a final summary of costs and payments. Delivery to and execution of all such documentation by the homeowner is the responsibility of the Partner.
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2.2. Terms. Terms that are fundamental to the Program and that need to be reflected in its Disclosures compriseinclude, in addition to any statutory requirements, all of the following: (i) the amount financed including the cost of the installed Measure(s), together with Program fees and capitalized interest, if any, (ii) the repayment process and schedule, (iii) the payment amounts, (iv) the term of the financing (that does not exceed the average useful life of the Measures as defined in this policy), (v) the rate of interest charged (such rate to be fixed and not variable), (vi) a payment schedule that fully amortizes the amount financed, (vii) the nature of the lien or obligation created upon recordation, (viii) the specific improvements to be installed, (ix) the 3-day or 5day right to cancel the financing, (x) the right to withhold approval of payment until the project is complete, and (xii) any other relevant state specificstatutory rights, notices, or requirements (e.g. in California, Section 5899.2 rights for solar lease improvements). It is the responsibility of the Partner to prepare, deliver and arrange for execution of documents reflecting such terms.
2.3. Disclosures Policy. Disclosures ensure that homeowners are aware of and understand key Program financing terms and risks that appear in the Program's documentation. It is the policy of the Program that PartnersThe Partner shall confirm delivery to, and receipt by, homeowners of these Disclosures, and obtain written acknowledgement that homeowners have read and understand them. The following comprise key Disclosures of the Program provided by Partners in a financing summary in the form substantially similar as attached hereto as Attachment A., in addition to any statutory requirements:
Page 9 of 30
| Disclosures | Description |
|---|---|
| Term of financing | The maximum time period of the financing |
| Amount financed | The total amount financed, including the installed cost of the |
| | Measure(s), optional rate buy down fees, Program fees, and capitalized interest, if any |
| Annual payment amount | The amount due each year, even if paid in semi- |
| | annual installments or through impound payments. Not including administrative fees billed by the county. |
| Annual interest rate/APR | The effective interest rate after taking into account all fees and |
| | capitalized interest. Not including administrative fees billed by the county. |
| Improvements financed | The Measures installed |
| FHFA risks | The risk that the homeowner may need to pay off the PACE |
| | special tax or assessment at the time of sale or refinance |
| Right to cancel | The 3-day right to rescind the financing, or 5 days as applicable |
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| | for individuals 65 years old or more. |
|---|---|
| Prepayment | The property owner is allowed to prepay at any time after the first tax payment without penalty. Payment of processing and recording fees are not penalties and are expressly permitted. |
| Program overview | A document or section of a document that provides a comprehensive summary of the Program, including a summary of a homeowner’s rights and obligations |
| PrepaymentProper ty tax repayment process | The right to prepay the Program financing with clearly defined penalties, if any, depending on the option and terms selected by the homeowner.Description of the property tax payment process and the line item for repayment of the Measures that the Program financed |
| Tax benefits | A statement that the homeowner should consult their tax adviser regarding tax credits, credits and deductions, tax deductibility, and other tax benefits available. |
The following comprise additional key Disclosures of the Program provided by Partners.
| Disclosures | Description |
|---|---|
| Program overview | A document or section of a document that provides a comprehensive summary of the Program, including a summary of a homeowner’s rights and obligations |
| Property tax repayment process | Description of the property tax payment process and the line item for repayment of the Measures that the Program financed |
| Tax benefits | Tax credits or benefits associated with the purchase of certain Measures and the annual payments related to them. |
| Privacy | A notice describing the privacy policies of the Program |
| Federal disclosures | Those appearing in the Program application |
| Foreclosure | The risk of foreclosure and the foreclosure process in the event of a homeowner default |
| Tax lien status | A notice disclosing assessment’s status as a tax lien. |
| Payment mechanics | A description of when the initial payment is due, and how the assessment payments may affect mortgage payments for homeowners with mortgage escrow accounts. |
| Late payments | A description of the penalties associated with making late payments. |
| Cost savings | A notice that any potential utility savings associated with the Measures financed by the Program are not guaranteed, and will not reduce the assessment payments or total assessment amount. |
Page 10 of 30
2.4 Confirmation of Terms.
For all Program financing applications associated with contractors that are either new to the Program or are on a Partner’s “watch list” (i.e. those
2.4. contractors that are not "Top Rated Contractors" defined below), it is the policy
Before the assessment contract can be signed,
atleast one owner
Partner of the
Program that such
p
roperty must confirm live by telephone with the
homeowner applicant each
P
artner the key terms and information related to the project. The requirements for this telephone call are set forth in St
reets and Highway Code 5913.
Program financing term listed in (b)-(h) of this Section 2.4 below. These confirmation requirements do not apply to contractors who have reached the Partner's top rating category (the "Top Rated Contractors"). For Top Rated Contractors, it is the policy of the Program that the Partner conduct randomized calls to homeowners to confirm financing terms.
Notwithstanding the above, irrespective of the contractor with whom the Program financing is associated, it is the policy of the Program that the Partners confirm live by telephone for each applicant who is over 64 years old the Program financing terms listed in (a)-(h) of this Section 2.4 below, and any other special categories of homeowners as designated by the Program. For avoidance of doubt, for homeowners over 64 years old, a voicemail message does not satisfy the requirement of Program financing term confirmation under this Section 2.4.
When confirming terms of a Program financing with a homeowner, the Partners will request the homeowner to describe generally the improvement(s) being financed using the Program financing, and will ascertain that the homeowner understands:
(a) The reason for the specific improvement(s) being obtained by such homeowner.
(b) His or her total estimated annual payment.
(c) The date his or her first tax payment will be due.
(d) The term of the Program financing.
(e) Any additional fees (including recording fees) that will be charged to him or her.
(f) That payments for the Program financing will be added to his or her property tax bill and will cause the property tax bill to increase.
(g) That he or she may make payments on the Program financing either directly to the county assessor's office or through his or her mortgage impound account.
(h) That before any assessment contract or application (the "Pending Project") is executed, the Partner has asked and the homeowner has confirmed that no Measures other than the Pending Project are underway, and has agreed, at any time before funding of the Pending Project, to inform Partner if homeowner has authorized any new Measures.
2.5Electronic Document Delivery. If any disclosures, assessment contracts, oro
2.5.
ther
documents are provided or approved electronically, they must be provided and approved in compliance with California's Uniform Electronic Transaction Act (UETA) or the federal Electronic Signatures in Global and National Commerce (E-SIGN) Act, as applicable. Partners shall, at a minimum, comply with the provisions contained in sections 1620.06 and 1620.07(b)(2) of the DFPI regulations relating to electronic document delivery and approval. During the confirmation of terms call, the Partner shall confirm that the property owner has access to the internet and agrees to accept the documents at an electronic mail address of the property owner's choosing.
2.6. Lender Disclosure Policy. For all program financing contracts, a notification must be sent to all lenders of record outlining the key terms of the project to be undertaken on the Property. This notification shall be transmitted by the partner on behalf of, and with the consent of, the Property Owner.
2.7. Language Disclosure. When an application for program financing is submitted, the Partner shall communicate in the same language as the application with the property owner. During the confirmation of terms call, the Partner shall confirm with the property owner their preferred language. . If the language is other than English, the Partner shall provide translation of all program documents and oral confirmation calls in accordance with Streets and Highways Code section 5913.
2.8. Completion of Project. Before signing for completion of the project, and prior to any final payment being made to the contractor, at least one owner of the property must confirm live by telephone with the Partner each of the of the eligible improvements financed, including any which were added during the course of the project, the total amount to be paid to the contractor and the total final amount financed under their finance contract.
3. FUNDING
Policy Summary: PACE is a new form of financing that, while sharing some features of traditional financing, presents new considerations for financing capital sources and structures. Best practices counsel the Program toThe Partner shall proactively solicit feedback from Program stakeholders and homeowners and i
ncorporatethingslearned into policy improvements which benefit homeowners.
3.1. Interest Rates. It is the policy of the Program that Partners must offer fixed simple interest rates and payments that, whether they are level or vary over the term of financing, fully amortize the obligation. Variable interest rates or negative amortization
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financing terms are not permitted.
3.2. Sustainable Funding Source. It is the policy of the Program that Partners must establish a sustainable source of capital for funding PACE projects separate from the Authority's general fundfunds or budget and have access to capital markets to ensure funding for qualified projects is available on a consistent basis. A Partner must demonstrate the capacity to fund assessments that the Program and Partner anticipate originating through such Partner over a six (6) month period immediately following the Program's review of such Partner's financial statements.
3.3. Subordination. For Programs in states with senior lien PACE statutes, a Program and/or its Partners may accommodate owners of PACE assessed homes and prospective buyers of such homes by offering to subordinate certain of its/their rights derived from the PACE assessment lien to the lien of a mortgage or deed of trust. The subordination may provide the lien under a mortgage or deed of trust with senior rights such that the lender will be induced to provide a mortgage loan on a PACE-assessed property. The subordination option may be made available to homebuyers and homeowners in accordance with policy agreed upon by the PACE Program and the Partner.
3.4. Contractor Fees. It is the policy of the Program that Partners can only charge fees to contractors offering Program financing as long as Partners (i) clearly and conspicuously disclose such fees to homeowners and (ii) require that contactors absorb such obligations and not pass such fees on to homeowners.
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4. OPERATIONS
Policy Summary: Operations refers to the staff, procedures, and systems that Partners use to deliver the Program to homeowners and provide them with ongoing support. For Partners, operational competence rests on the ability to perform well in a range of areas and disciplines, such as accounting, finance, capital markets, risk assessment, legal, compliance, government affairs, municipal engagement, training, marketing and sales, contractor engagement, business development, and corporate development. While each operating unitcomponent of the Program incorporates thoughtful and highly effective consumer protections in the work it produces, Operations is the gatekeeper responsible for assuring that the Program has the people, processes, tools and technology necessary to deliver to homeowners the Program financing product, as well as the consumer protections described in these Policies.
4.1.Operational Consumer Protection Policies. TheIt is the policy of the Program and itsthat Partners willshall provide people and develop processes, tools and technology necessary to support the consumer protection measures described in detail elsewhere in this policy, including: (i) risk and underwriting processes; (ii) terms and documentation delivery systems; (iii) documentation, maintenance and retrieval processes; (iv) disclosure development, delivery and acknowledgment receipt; (v) post-funding support for homeowners and other stakeholders such as real estate professionals; (vi) data security measures; (vii) privacy policy development and protections; (viii) marketing and communication oversight; (ix) protected class data and communication processes; (x) contractor management and engagement; (xi) eligible product database and/or list development and maintenance; (xii) implementation of the maximum financing amounts; (xiii) key metrics reporting; (xiv) closing and funding processes (including the ability to fulfill financing obligations); (xv) examination data production; and (xvi) implementation of procedures to identify and prohibit conflicts of interest within and associated with the Program.
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4.2.Each partner shall enroll in, and meet all requirements of, the Property Assessed Clean Energy Loss Reserve Program administered by the California Alternative Energy and Advanced Transportation Financing Authority (CAEATFA). Where CAEATFA requirements conflict with state laws, state law shall apply. Partners shall provide the Authority with copies of all semi-annual reports submitted to CAEATFA.
5. POST-FUNDING HOMEOWNER SUPPORT
Policy Summary: A public/private partnership is at the core of the Program. This partnership carries with it elevated consumer protection responsibilities that apply to the Program with as much significance during the post-funding period as they do during the time of application and origination. Establishing and operatingRequiring Partners to establish and operate an executive office responsible for customer care that responds to inquiries, complaints, contractor and workmanship concerns, product performance questions and related matters for the lifecycle of the improvements financed is fundamental to the consumer protections that the Program provides.
5.1. Proactive Engagement. It is the policy of the Program that the Program and its Partners shall proactively monitor and test the consumer protections delivered to homeowners, and to request feedback from homeowners and contractors to identify areas in need of improvement.
5.2. Onboarding. It is the policy of the Program that Partners shall develop and implement a post- installation onboarding procedure for homeowners to reinforce key characteristics of the Program, such as those highlighted in the Program disclosures.
5.3. Payments. It is the policy of the Program that each Partner shall have disclosures and resources in place readily available to resolve any homeowner questions regarding payments. The Program requires that each Partner implement procedures for responding to requests for prepayment of their PACE property tax assessment in a timely and complete manner, matters regarding impound account catch up payments, payment timing inquiries and payment amount reconciliation among others.
5.4. Inquiries and Complaints. It is the policy of the Program that its Partners shall receive, manage, track, timely resolve, and report on all inquiries and complaints from homeowners. This policy contemplatesrequires that Partners have an ability to perform inspections, meet with homeowners and contractors, investigate matters, and mediate resolutions with homeowners and contractors. Partners must proactively work to resolve
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inquiries and complaints in a reasonable and timely manner and in accordance with the Program guidelines and must make communication for homeowners available during regular business hours by phone, email and facsimile communication. Partners will also maintain inquiry and complaint processes as required by state law. Such inquiry and complaint processes, including any changes thereto, shall be submitted to the Authority for review.
5.5. Real Estate Transactions. It is the Program's policy that Partners shall develop capabilities to assist homeowners who are refinancing or selling their Properties. The Partner must support real estate professionals providing services to refinance and sales transactions for properties with PACE assessments.
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6. DATA SECURITY
Policy Summary: Trust is fundamental to any financing relationship, and Program financing is no exception. The public/private partnership at the center of the Program, as well as the confidential relationship homeowners have with a Program Partner mandate that any market- ready Program be in robust compliance with sturdy cyber-security standards, and in particular develop secure and tested processes that protect homeowner personal identifiable information at points of potential vulnerability, especially during the application process.
6.1. Information Systems. It is the policy of the Program that each Partner develop and comply with secure and tested processes to protect the personal identifiable information of the homeowner described in Section 7 below. Security policies and practices utilized are to, at a minimum;, comply with all applicable government laws and regulations for the protection of personal data and information as well as remain current with applicable industry standards. Security measures and practices, including but not limited to those listed below, are subject to audit as directed by the Authority.
6.1. Information Systems. Each Partner is required to develop and comply with secure and tested processes to protect the personal identifiable information of the homeowner described in Section 7 below, including:
6.1.1. A cyber-security policy and protocol that, at a minimum, requires data encryption "during transmission" and "at rest," and compliance with sturdy cyber-security standards.
6.1.2. A protocol for access to information based upon job function and need-to-know criteria.
criteria.
6.1.3. Measures that protect the security and confidentiality of consumer records and information, including, without limitation, requiring all computers and other devices containing any confidential consumer information to have all drives encrypted with industry standard encryption software.
6.1.4. Monitoring and logging all remote access to its systems, whether through VPN 6.1.4. or other means.
6.1.5. Data security policies that are subject to auditing and penetration testing conducted by an independent auditor hired by the Partner and approved by the Authority at least annually and . Such audits shall be conducted upon request of the Authority, made not more than once per calendar year, and any time a change is made that may have any potentialmaterial impact on the servers, security policies or user rights. Copies of all audit reports shall be provided to the Authority upon
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request.
6.1.6 Ensuring minimum viable configurations are in place on all servers. All firewalls should have continuous logging enabled. In addition, access control lists and audited server configurations should be used to ensure that data security is maintained.
Security policies and practices utilized are to, at a minimum; comply with all applicable government laws and regulations for the protection of personal data and information as well as remain current with applicable industry standards. Security measures and practices are subject to audit as directed by the Authority.
6.2. Personnel. Each partner is responsible for:
6.2.1. Informing and enforcing compliance with the Program's data privacy and security policies on the part of every employee, contractor, vendor, agent, service provider, representative, and associate who is exposed to personal identifiable information of homeowners.
6.2.2. Implementing protections and controls to prevent unauthorized copying, 6.2.2. disclosure, or other misuse of sensitive consumer information.
7. PRIVACY
Policy Summary: The trusting and confidential relationship that exists between homeowners and the Program extends to the Partners' use of homeowner data. Compliance with the GrammLeach-Bliley Act as well as the establishment of clear opt-in and opt-out protocols for information sharing are the pillars of the Program's privacy policy. More broadly, the Program must ensure that Partners protect and manage sensitive consumer information, respect the privacy of all homeowners, and implement robust controls to prevent unauthorized collection, use and disclosure of such information. These protections are subject to the limitation that property owner names, property address, special tax or assessment amount, payment amount and other terms of the PACE financing are public information consistent with property tax law.
7.1. Privacy Policy. The Program obtains sensitive personal identifiable information (e.g., full name, home address, social security number, date of birth) from homeowners as part of the Program application process or through other homeowner touch points with the Program. It is the Program's policy that each Partner shall develop and deliver to homeowners prior to receipt of such personal identifiable information, a privacy policy that complies with state and federal law (e.g., the Gramm-Leach-Bliley Act). The privacy
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policy must expressly prohibit sharing personal identifiable information with third parties without the homeowners' express authorization except where expressly permitted by state and federal law. Such privacy policy will cover (i) the sources from which sensitive consumer information is obtained, (ii) the Partner's use of sensitive consumer information, and (iii) a mechanism by which a consumer may opt-out of sharing information. The Partner will deliver to homeowners any updates to such privacy policies.
7.2. Application Process. It is the policy of the Program that all personal identifying information provided by a homeowner to a Partner during the application process is provided directly by the homeowner to the Partner. The Partners will establish processes and controls to ensure that personal identifiable information of a homeowner is obtained directly from such homeowner (or his verifiabletheir documented legal representative or attorney in fact) and not from a contractor or other third party. Neither the contractor nor any Affiliated Individual may act as the homeowner's legal representative or attorney in fact.
8. M
ARKETING
&C
OMMUNICATIONS
Policy Summary: Clear, informative, truthful, balanced, transparent and complete communications are essential for the Program. The stakeholders of any Program include homeowners, contractors, the governing authorities, government officials and staff, investors, finance partners, real estate professionals, mortgage lenders, and its Partner(s) among others. Communications or acts and practices that mislead stakeholders, add ineligible expense to PACE financing or to the Program, abuse stakeholders, or otherwise fail to meet the core communication standards of appropriateness for the Program are not acceptable.
8.1. Laws and Regulations. The Program shall comply with all state laws and regulations.
8.2. Prohibited Practices. The Program prohibits Partners and contractors from engaging in practices that are or could appear to be unfair, deceptive, abusive, or misleading, violate federal or state laws or regulations, provide tax advice, or are in any way inappropriate, incomplete or inconsistent with the Program's purpose. Marketing
8.2.1. Partners and Contractors are expressly forbidden to: (i) suggest or imply in any way that PACE is a government assistance program, (ii) suggest or imply that PACE is a free program, (iii) suggest or imply that PACE does not involve a financial obligation that the homeowner must repay, (iv) use
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check facsimiles to dramatize the amount of PACE Program financing that would be available, and(v) present a check facsimile as if a negotiable instrument.
8.2.2. Contractors are expressly forbidden from using a local government's logo, city seal or other graphic in marketing materials or presentations in a way that explicitly communicates an endorsement of the Program by the local government unless the local government has provided explicit permission in writing to do so.
8.2.3. Prohibited marketing practices also include those that are likely to add unnecessary expense to a homeowner, (e.g., paying consumers for applications), that unlawfully use sensitive consumer datanonpublic personal information or that violate any other law or regulation are prohibited. .
188.8.131.52.4. Partners and Registered Contractors (defined below) or other permitted vendors that make marketing or sales telephone calls must not violate federal or state "Do-Not-Call" laws. Each Partner is responsible for developing and enforcing marketing practices that meet the approval of the Program.
8.2.5. Each Partner is responsible for developing and enforcing marketing practices that comply with these policies and state and federal law subject to approval by the Authority.
184.108.40.206. Permitted Practices. It is the policy of the Program to adhere to all legal and regulatory requirements (e.g., telemarketing) pertaining to its advertising and marketing efforts. On the basis of providing clear and concise communication to consumers, any practice that promotes informed decisions on the part of homeowners and is not prohibited as described in section 8.1 above is permitted. The Partner is responsible for developing, delivering to and enforcing marketing guidelines for the Program's Registered Contractors that meet the approval of the Program Administrator.. Any marketing materials that fall outside of marketing guidelines established must be approved by the Partner to ensure that they are not unfair, deceptive, abusive and/or misleading.
220.127.116.11. Tax Advice. It is the policy of the Program that no Partner, Contractor or other related third party who is not a tax expert may provide tax advice to homeowners regarding
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GSFA Residential PACE Consumer Protection Policies August 17, 2016 GSFA Residential PACE Consumer Protection Policies August 17, 2016
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homeowners over 6465 years of age or older understand the purpose of each Measure for which Program financing is sought, and the terms of such financing as described in Section 2.4.
9.3. Financing Application Access and Decisions. It is the responsibility of the Partner to provide legally unbiased access to and decisions regarding Program participation to all applicants for Program financing.
10. REGISTERED CONTRACTOR REQUIREMENTS
Policy Summary: Contractors and their sales personssalespersons are one of the primary means by which homeowners become aware of Program participation options. Contractors and their sales personssalespersons enter into contracts with a Partner, and register with all relevant state and local licensing boards and agencies. Partner shall require that Contractors are required to complete training courses, follow a code of conduct, maintain
insurance, post bonds, follow marketing requirements, among other obligations, all of which are designed to assure positive and productive homeowner interaction with the Program . In California, all contractor companies who will offer PACE must enroll with the DFPI through the Program Administrators. These are known as “PACE Solicitors”, and their individual salespeople who will be discussing the financing with the property owner (referred to as “PACE Solicitor Agents”) must also enroll with the with the DFPI through the Program Administrator. It is against the law to solicit residential PACE financing without enrolling as a PACE Solicitor and/or PACE Solicitor Agent.
In addition to the Contractor policies listed below, all Contractors who wish to sell Program financing to homeowners must enroll as Solicitors and/or Agents. Partners shall perform enrollment, monitoring, and termination for Solicitors and Agents in accordance with State requirements in addition to meeting the requirements below.
10.1. Policies. It i s t he p olicy of the Program that all contractors who sell, install, or manage subcontractors who install eligible Measures will have become “Registered Contractors” with the Program .( may be referred to as “authorized contractors”) with the Program. The
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Partner shall be responsible for all aspects of enrollment, monitoring, and termination of Registered Contractors. Registered Contractors and all of their employees, entities, owners, partners, principals, and sub- contractors (collectively, the "Affiliated Individuals") must meet the requirements of the Program, which include:
10.1.1.
Compliance with any relevant state contractor code of conduct, attached hereto as Attachment B;
10.1.1. Compliance with the Program's Contractor Participation Agreement with the
Partner, which shall be developed and periodically updated by the Partner. The Contractor Participation Agreement, including any changes thereto, shall be submitted to the Authority for review.
10.1.2. Maintenance of an active license, and being in good standing, with any relevant state licensing board, as well as maintenance of insurance and an ability to meet bonding requirements;
10.1.3. Oversight and management of employees, independent contractors and subcontractors who provide services to Registered Contractors accessing the Program;
10.1.4. Meeting all other state and local licensing, training and permitting 10.1.4. requirements;
10.1.5. Compliance with the Program's marketing policies; and
10.1.6. Ensuring all Affiliated Individuals register with the Program, including 10.1.6. completing the Program's identity verification procedures.
10.1.7. Contractors shall confirm that they have read these Consumer Protection Policies.
10.2. New Contractors. Regarding Registered Contractors new to the Program, it is the
10.2. policythat the Partner:
10.2.1. Has a specified probationary period (i.e., place the new Registered Contractors on a watch list) until the new Registered Contractors have completed the required number of Measures;
10.2.2. Has procedures in place, during the Registered Contractor probationary period, to provide additional quality assurance steps for Measures completed by the Registered Contractors on the watch list; and
10.2.3. Has procedures in place to review Registered Contractor work to confirm satisfactory completion of projects conducted during the probationary period
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for which Program financing is used.
10.2.4. Have procedures in place requiring each Registered Contractor to identify one or more authorized representatives with authority to act on behalf of the contractor.
10.2.5. Have procedures in place to verify the ownership of any account(s) to which contractor payments will be submitted and any changes to such accounts.
10.2.6. Have procedures in place for requiring that each Registered Contractor use a home improvement contract which complies with all applicable laws and regulations and that the Registered Contractor submit a copy to the Partner upon request.
10.3 Contractor Management. It is the policy of the Program that the Partner implement contractor management systems and procedures that manage and track contractor training, homeowner complaints, and compliance violations on an individual and company basis. The Partner will maintain and implement a policy that requires all contractors be reviewed for compliance and risk criteria on an ongoing basis. This policy and the associated compliance and risk criteria, including any changes thereto, shall be submitted to the Authority for review.
10.4 Contractor Training. ItIn addition to any training required by state law, it is the policy of the Program that each Partner make available contractor training regarding, at a minimum, the following: (i) the applicable contractor code of conduct terms as required by the Program, (ii) protected classes, including, without limitation, elder protection, and (iii) other consumer protection measures as required by the Program.
10.5 Remedial Action. Following its reasonable due process procedure, Partners maywill warn, suspend or, terminate or take other appropriate action with respect to a Registered Contractor and/or Affiliated Individual from the Program based on violations of these policies or at the discretion of the any Program requirements, in accordance with documented procedures. Each Partner in the best interestmust implement processes for the review and documentation of alleged violation(s) of homeownersa Registered Contractor and the Program., if applicable, the suspension and/or termination of such Registered Contractor ("Disciplined Contractor"). The Program does not accept Program applications processedprovided by suspended or terminated contractors and/or associated representativesthat the Program terminated in accordance with this Section 10.5.
11. ELIGIBLE PRODUCTS
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Policy Summary: The Program enables and encourages homeowners to install Measures which are permissible under state law and designed to save energy or water, generate renewable energy, or produce other public benefit (e.g.., seismic retrofits). or fire resiliency). The ProgramPartner is responsible for implementing practices and controls (e.g., eligible product databases and product confirmation processes) to ensure that Program financing is used only for eligible Measures, and that it is not provided for ineligible ones. Program product eligibility criteria ensure that property owners are financing improvements which are industry recognized for achieving higher levels of home energy or water efficiency, renewable energy generation, seismic retrofits, wildfire safety improvements, or other state specific approved Measures. While the ProgramPartner is responsible for confirming compliance with the initial capacities of such products, it is not responsible for determining postinstallation energy performance, savings or efficacy of such Measures.
11.1. Policies. Co
nsistent with the objectives of the PACE enabling legislation, it is the
11.1. policy of the Program through consultation with t
he Partner and
shall do all of the following, subject to approval of
the Authority to:
11.1.1.
Establish and maintain ana publicly available eligible products database and/or list, documenting the associated eligibility specifications for each product that conform to the requirements outlined in Attachment C heretothe Partner's Califonria Residential Qualifying Improvements List. The List, including any changes thereto, shall be submitted to and approved by the Authority;
11.1.2.
Define a process for adding to or modifying t
he eligible
product
11.1.2. database and/or list, which shall include making any changes directed by the Authority;
11.1.3.
Ensure that eligible product energy efficiency/water efficiency/energy generation (as applicable) performance standards are calibrated and
verified using performance criteria that the U.S. Department of Energy,
U.S. Environmental Protection Agency, and/or other federal a
nd state agencies or other reputable parties have established;
11.1.4. Use credible third party sources to determine the useful life of each installed product, which will be used to set the maximum term for financing from the Program; and
11.1.5. Require that each product is permanently affixed to the Property.
11.2. Procedures. It is the policy of the Program that theThe Partner must establish procedures confirming that the homeowner applying for Program financing intends to installverify eligible products, and that at the time of funding such improvements
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have been installed.Measures as follows:
11.2.1. Before providing a Contractor with the notice to proceed, confirm that the Measures scheduled to be installed using Program financing comprise only items appearing on the eligible products database or list.
11.2.2. Confirm that at the time of final funding such improvements have been installed.
11.3. Ineligible Products.
11.3.1. Financing of ineligible products under the Program is prohibited. 11.3.2. Products that are not included on the eligible products list or in the eligible products database can be submitted for review by the ProgramPartner, if a homeowner has reason to believe they should have been included. Such requests will be processed in accordance with Section 11.1.2.
12. MAXIMUM FINANCING AMOUNT
Policy Summary: Many homeowners cannot readily access price information regarding the installation of energy efficiency, renewable energy and water conservation improvements for their homes, and cost often is a key economic consideration. While the Program does not set price controls, it implements procedures to monitor conformance with generally accepted market pricing ranges.
The Program's maximum financing amount policies provide as follows:
12.1. It is the policy of the Program tothat Partners shall develop generally accepted market pricing ranges based on market data and each Partner's experience, but not to set pricing for installation of eligible products and projects. In evaluating project pricing, the Partner takes into account regional factors that may contribute to the pricing of improvements.
12.2. It is the policy of the Program that each Partner will, at a minimum, establish generally accepted market pricing ranges for each product type (e.g. for central air conditioners, solar PV systems, solar thermal systems and artificial turf).) and maintain pricing controls to ensure such pricing falls within reasonable market range. The Partner's guidelines for establishing such market pricing ranges, including any changes thereto, shall be submitted to the Authority for review.
12.3. There is a low to high range of justifiable pricing, depending on the particular product within a product type (e.g. there may be different types of central air conditioners,
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solar PV systems, solar thermal systems and artificial turf). It is the policy of the Program that each Partner will establish product/project attribute related pricing rules, consistent with and in consideration of the key product pricing attributes that dictate what pricing within such low to high range is justified. The product/project attribute related pricing rules, including any changes thereto, shall be submitted to the Authority for review.
12.4. It is the policy of the Program that each Partner must establish processes and systems for purposes of enforcing the generally accepted market pricing ranges (as described in 12.4. Section 12.3) for every project.
12.5. A product may only be funded for an amount that is justified by reasonable standards that are validated and documented through processes and systems acceptable to the Authority.
12.6. A Registered Contractor may not provide a different price for a project financed under the Program than the contractor would provide if paid in cash by the property owner. 12.7. The Program will comply with all statutory and regulatory requirements related to eligible pricing as applicable
13. REPORTING
Policy Summary: Reporting the economic and environmental results of Program participation is essential for the Program, Partners, elected officials, environmental agencies, the investment community, the real estate and mortgage industry and many other stakeholders. Metrics such as economic stimulus dollars invested, greenhouse gas reduction, the number of Measures funded, the amounts funded, renewable energy production and energy & water savings serve this need. The Partner is responsible for producing, on a quarterly basis, a key metrics report.
13.1. Reporting Categories. ItIn addition to any reporting requirements established by law, including but not limited to Streets and Highways Code section 5954, it is the policy of the Program that Program statistics reporting and estimated impact metrics in the following categories be developed and reported quarterly to the Authority: (i) number of projects funded, (ii) project amount funded, (iii) estimated amount of energy savings, (iv) estimated amount of renewable energy produced, (v) estimated amount of water savings, (vi) estimated amount of greenhouse gas emissions reductions, (vii) seismic safety improvements installed and 13.1. (viii) estimated economic stimulus and number of jobs created.
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13.2.
Reporting Standards. It is the policy of the Program that all data collected for the quarterly metrics reports be developed and collected using standardized, third party verified methodologies satisfactory to the Authority. The methodologies and supporting assumptions and/or sources must be made available to the Authority by the Partner. It is the responsibility of the Partner to develop reports consistent with each of the categories listed above and to test and verify the data collection and reporting methods and models used. All reports shall include only aggregate data, excluding any sensitive customer information.
14. CLOSING & FUNDING
Policy Summary: The Program provides limited purpose financing to homeowners, and not general purpose financing that is common among traditional sources of financing. The Program has front-end (e.g., eligible product call-inMeasure verification requirements) and pre-funding (e.g., completion certificates and permits) procedures designed to confirm that their financing dollars are used for permissible purposes. A policy requiring such procedures is essential to protect the integrity of the Program.
14.1. Installation Completion Sign-off. ItIn addition to any requirements established by state
or federal law, it is the policy of the Program to that the Partner must confirm, before 14.1. funding, that the eligible products financed are installed, and operational and in a condition that is acceptable to the homeowner and the contractor,,, and to require that the homeowner and the contractor attest to such by signing a document stating that all products have been installed to the homeowner's satisfaction and in accordance with product specifications. It is the responsibility of the Partner to confirm any such document is signed within the maximum allowable installation time as specified by the Program.
14.2. Permits. It is the policy of the Program for homeowners seeking Program financing to obtain required permits for the installation of Measures and provide verification thereof upon request. Each permit must be signed off by the issuing authority as evidence of project completion.
14.3. Funding. It is the policy of the Program to disburse funds only for specified phased payments or progress payments for completed phases, or for projects that are fully completed.
14.4. Recording. It is the policy of the Program to record the Notice of Assessment and Payment of Special Tax/Contractual Assessment Required documentation Lien in a manner consistent with state law.
14.5. Asset verification. It is the policy of the Program tothat Partners shall confirm that
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|
NEWSLETTER
CATHOLIC CHURCH OF ST THOMAS OF CANTERBURY
59 Burgate Canterbury Kent CT1 2HJ
Telephone: 01227 462896Email: email@example.com Site: www.stthomasofcanterbury.com
Parish Priest: Canon Anthony Charlton. email: firstname.lastname@example.org
Assistant Priest: Fr Sylvester AdeniyiParish Deacon: Rev. David Averyemail: email@example.com
Parish Administrator: Miss Linda Scott
University of Kent Chaplaincy: Fr Tom Herbst (01843 230 774) email: firstname.lastname@example.org
St Anselm's Catholic Secondary School: Executive PrincipalMr M Walters; Academy Principal: Mr J Rowarth (01227 826200)
St Thomas' Catholic Primary School: Head Teacher: Miss Lisa D'Agostini(01227 462539)
St Thomas' Shop(01227 462896): open Sunday mornings & weekdays(Times on Shop Door)
Office open: Monday - Friday 9am - 3pm for all parish business (Closed for lunch between 12.30 - 1.00pm)
TIMES OF MASSES & INTENTIONS
From Fr Anthony ...
6pm (Vigil) Kaz Krynicki - RIP (Edgington Family)
Sunday 25
th
August Twenty First Sunday (C) Lk 13: 22-30
8 am
Peggy Mallon - RIP
9:30 am Maria-Augusta(Gus) - RIP 50
th
Anniversary (Pauline)
11 am
John and Winifred Saunders - RIP (Jo)
12.15 pm
Baptism of Aoife and Roisin Sullivan, Hugo Busa and Eian Badrick
6 pm
People of the Parish
Monday 26 th August Blessed Dominic of the Mother of God
Mt 23: 13-22
PUBLIC HOLIDAY
10 am
Special intentions of the donor's family
7 - 9 pm
Tuesday 27
7.30 am
NO Adoration today th
August St Monica Mt 19: 23-26
Marie Gallagher - health and welfare
12 noon Jim Daly - RIP (A Matthews)
Wednesday 28
th
Aug St Augustine
Mt 23: 27-32
7.30 am Joseph Agbenuawar - RIP (Helen Nattrass)
10.30 - 11 am Reconciliation (Fr Anthony)
12 noon Ann Fitzsimons (Mrs M Gartland)
7.30 - 8.30pmExposition & Adoration of the Blessed Sacrament
Thursday 29 th August Passion of St John the Bapt st Mk 6: 17-29
i
7.30 am Carol Osborne - RIP (Sue Purbrick)
12 noon Sister Bernadette OLM - RIP (Carol Lewis)
Scripture Group in Recess until September
7.45pm Prayer &Pub is in Recess until September
Friday 30
th
AugustSts Margaret Citherow, Anne Line, Margaret Ward
Mt 25:1-13
7.30 am Morning Prayer
12 noon David Riley - RIP (Foundation Mass)
Exposition & Adoration of the Blessed Sacrament
7.30 pm Victor Dodds - RIP (Pam Dodds)
8.00 pm Exposition & Adoration of the Blessed Sacrament
st
Saturday 31 August St Aidan & Sts of LindisfarneMt 25:14-30
10.30 - 11.30 Reconciliation (Fr Anthony)
12 noon
4.30 - 5.30
Alberto on his birthday (Maria)
Reconciliation (Fr Sylvester)
6pm (Vigil) David Heap - RIP (Christine)
Sunday 1 st Sept. Twenty Second Sunday (C) Lk 14: 1,7-14
WORLD DAY OF PRARY FOR THE CARE OF CREATION
8 am
People of the Parish
9:30 am Celia Welch - RIP & intentions of UCM members
11 am
Catherine (Kath) Packer - RIP (Bernard & family)
6 pm
Intentions of Mary Reynolds (Sue Purbrick)
2nd Collection SVP
Are we all going to heaven? We read in this Sunday's first reading: "God is coming to gather the nations of every language. God created us to be with him to come to know his love. Our destiny is to be with him forever." We believe that with the death and resurrection of Jesus humankind has been saved and through baptism we have been given the gift of everlasting life. Thus we all have the possibility of salvation and the church is the means of salvation. As John Paul II taught in his letter Redemptoris missio, "it is necessary to keep these two truths together, namely, the real possibility of salvation in Christ for all mankind and the necessity of the Church for salvation." We need to hold together the two truths that there is the hope of salvation of all, while renouncing the claim to know that all will be saved. The distinction between hope and knowledge is crucial. Human beings do not know the outcome of God's judgment. We should leave judgment to God, trusting in his love.
If we believe that the Church is a means of salvation then we need to heed the warning of Jesus. We should not presume that being baptised and being part of God's family - the Church, means you are saved. You have the hope and means of salvation. Jesus says we need to enter by the narrow door. Belonging to the family through baptism is not enough. "Lord, open to us" but he will answer, "I do not know where you come from." Then you will find yourself saying, "We once ate and drank in your company; you taught in our streets" but he will reply, "I do not know where you come from. Away from me, all you wicked men!" Salvation comes when we accept Jesus and start to follow him. This is the narrow door, the only door to life and it is a demanding entrance. At times, it may be painful, like the discipline mentioned in Hebrews, "but later it yields the peaceful fruit of righteousness" (12:11). We also need to bear in mind what the Church says in the Vatican Council document Lumen Gentium 16. "Those who, through no fault of their own, do not know the Gospel of Christ or his Church, but who nevertheless seek God with a sincere heart, and, moved by grace, try in their actions to do his will as they know it through the dictates of their conscience—those too may achieve eternal salvation". We will be amazed who we will meet in heaven.
PARISH MATTERS
Baptism Preparation: To all parents wishing to have their children Baptised….our next preparation meeting will be in the Presbytery on Saturday, 14 th September 2019, at 9.00 am. Places are limited so please call the office to book. Please fill in a Registration Form in advance (from Office /website).
SUNDAY TEA DANCES: New dates for tea dances with Hannah and Stuart confirmed! Sundays starting from 12 noon: 8th September, 6th October, 10th November and 15th December. No partner required, just bring your best smiles. Everyone welcome for tea even if you do not want to dance.
FIRST HOLY COMMUNION 2020. The Sacrament of First Holy Communion will be on Sunday, 17th May 2020 at the 9.30 & 11 am Masses. Registration forms are available in the Narthex.
CONFIRMATION 2020: The Sacrament of Confirmation will be conferred on Sunday 31st May 2020 at 11 am Mass. 2019/2020 Registration forms are available in the Narthex.
RCIA 2020: Our programme commences on 24 th September 2019 . If you are a Catholic adult who has not made your first communion or being confirmed, or a nonCatholic who is thinking of becoming a Catholic, please compete an Initial Enquiry Form available in the Narthex.
CONFIRMATION CATECHIST TEAM - We are sad to announce that two of our team will no longer be with us going forward. If you are interested in sharing the faith with young people preparing for their Confirmation, please speak to Father Anthony.
New Altar Servers Training
There will be two training days for new altar servers on Saturday 7 th and 21 st September at 9.30 am in the Church. Application forms are available in the Church Narthex.
From Svenja Powel, Canterbury Welcomes Refugees:
Thank you so much to so many of you for offering furniture, furnishings and other equipment for the house. I am currently trying to find someone who has a van and would be able to help us transport the donations from their current homes to the house for the refugee family. If anyone knows of someone who might be able to help, please do let me know on email: email@example.com
The prolife charity Life is looking for enthusiastic church and community fundraisers in the Diocese to help us grow our life-saving work with vulnerable mothers. We want you to help our volunteer fundraisers, manage local events, and develop relationships with community groups. We offer a competitive salary for a full or part-time position based at home. Contact firstname.lastname@example.org for more details.
DAY OF RENEWAL - On Saturday, 7th September 2019 a Day of Renewal at Aylesford Priory, Maidstone, M20 7BX starting 9.30 am. The session theme is Healing and Empowerment. Please see the poster in the Narthex for the full programme. More information Mr Joe Smallcombe on 01634 307312 or Mrs Palmyra Willis on 01580 211204
In August, there will be no coffee, in the hall, after the 9.30 Sunday mass. Come along on the 1st September!
Prayer and Pub meetings are in recess until after the summer break - see you in September.
SECOND AND SPECIAL COLLECTIONS
This weekend-24/25 August- There is no second collection
Next weekend - 31 Aug/01 Sept-SVP - Gift Aid Envelopes in Nathex
CHRISTIANS TOGETHER IN CANTERBURY NEWS Beech Grove Fun Day at Beech Grove, Nonnington
The Bruderhof Community at Beech Grove, Nonnington, welcome you to a Family Fun Day in September. Please see poster in the Narthex for details
Sponsored Ride and Stride Event Canterbury 2019 on Saturday, 14 September 2019 from 10am to 6pm. Funds raised during this event are divided equally between the Friends of Kent Churches and the church/chapel of your choice. Please help raise much needed funds for churches in Kent. Last year we had one brave cyclist who rode for us and we hope to have more this year. There are two ways to help raise funds - by cycling/walking between the churches or being a welcomer at the church to sign in riders/walkers. We are looking for volunteers to undertake either of these roles. If you wish to find out more, please contact Linda in the Office.
Filipino Community Mass. There will be no Filipino Mass in St Thomas's during September due to the unavailability of a Priest.
The Divine Mercy Apostolate of Marian Fathers is organising a Divine Mercy Pilgrimage to the Shrine of Our Lady of Mount Carmel and St Simon Stock; The Friars Aylesford Priory; Aylesford, Kent ME20 7BX on Bank Holiday Monday - 26 th August 2019, 10 am to 5 pm led by the Rt Rev Bishop Patrick Lynch SS CC - Auxiliary Bishop of Southwark & the Marian Fathers. See Poster and flyers in the Narthex for full programme details.
Taizé Evening of Prayer
Tuesday 10 th September, 19.30 to 20.30 Singing, Silence, Readings, Reflection, Intercessions A part of Christians Together Canterbury’s Year of Prayer
The Community of Taizé was founded in 1949 in Burgundy, France. It is an ecumenical, monastic community which attracts large numbers of visitors from all over the world, especially young people. The Taizé evening of prayer, incorporating readings, prayers, repetitive chants and silence, reflects a style of praying developed by the Community. http://www.taize.fr/en
Please remember in your prayers:
Marie Strong, Pat Gill, Angeline Frizell, Alan Skeet, Louisa Ward, Janette Hughes, Maurice Crosland, Barbara Brett, Hannelore Hall, Mary Dittrich, Kathleen Hutchinson, A. Charles Ryan, Pat Gibson, Phyllis Stirton, Fr Louie Kitt, Fr Kevin St Aubyn, Margaret Jones, Fr Timothy Finigan, Jenni Aldridge, Mary Reynolds, Brian Wicker, David Bull, Joan Sutton, Rachelle Castro, Audrey Martin and Fr Wilgred McGreal
Please pray for the repose of the souls of:
Canon John Bailey, Marissa Arevalo, Teresa Wicker, Vincent Siudad, Lawrence Ajewole Adeniyi, Raphael Adeniyi, John Todd, Frederick Prior. Christine Mahy, Father Alexander Fraser, Fr Alan Wright, John Reidy, Daniel Bannon, Eileen Donovan, Jean Vanier, Beryl Sammut, Norah Pitt, James Chamarette, Michael Haggar, Tsige Buta, Agnes Nattrass, Ossie Correa, Elizabeth Simpson, Tony Ashman, Dr Kazimierz Krynicki and Gillian Dyche
Thank you! Mass Collections at weekend 17/18 Aug 2019: Offertory: £811.51 loose & £678.46 Gift Aided -Total £1489.97 2nd Collection: there was no second collection
|
2010 Public Offering Consulting
Table of Contents
Who We Are
Princeton Corporate Solutions is a company founded by global Investor Relations Experts, Publicity Agents, Securities Professionals, and Corporate Consulting Experts who stand united under a strong conviction that a premium grade service doesn't necessarily have to have a premium price tag. Our mission is to simply provide our clients with the most comprehensive and effective service packages at a level of pricing that takes into account their financial position. To fulfill this mission we seek to provide our clients with the necessary information and services that can be utilized to prepare them for the Public Offering process and the challenges that it presents, furthermore we seek to provide our clients with the necessary tools to excel within the market after the Public Offering is completed. We understand that by helping to sculpt burgeoning companies today we inherently increase our own value and marketability into the future. We put our extensive contact base and proprietary mass publicity marketing techniques to work for our clients to deliver powerful and long lasting, tangible results that can be seen through increased market share, massive publicity exposure, higher value Public Offerings, and the perpetual improvements of sales conversion rates. Because of our rapid expansion techniques, turnkey public offering packages, strategic alliance facilitation and publicity services we have the ability and track record to lift a company from where they are and take them to where they aspire to be quickly and efficiently.
We pride ourselves in our upfront and honest communication with potential clients by only taking on projects that fit our unique area of expertise, enabling us to deliver ongoing and tangible results. Our expertise lies in our ability to not only prepare companies for the Public Offering process but also in company building, and if we strive to work with a client it is only because we believe we can transition that company into a greater force within their market in a relatively short period of time. We have created packages that are geared towards providing for their immediate needs based on the stage and goals of the company. In addition our expert personnel stringently review all of our clients from an operational, financial, strategic, and process standpoint to determine the current level of efficiency the company is operating at and from there we seek to determine what improvements can be made to not only improve the efficiency of the company but also correct problems that could hamper the company's ability to grow and sustain for a long period of time.
If your company has publicity marketing or corporate consulting needs and would like an honest and free consultation review, feel free to contact Princeton Corporate Solutions today! We are here to assist you in any way we can.
Take Your Company Public
While operational competency, market acceptance, and long-term viability You want to take your small business public, but you are unsure of where to go and how to make it happen. More investment bankers than you can remember have told you "NO" and you are hesitant to play the public shell game. What other alternatives are there for a small business to "go public"? "Princeton's TURNKEY PROGRAM" is the answer.
Developed especially for the small business, this "turnkey program" is the ultimate "go public" option for today's small businesses. The program completely eliminates the finicky investment banker while removing the sky-high costs and hidden liabilities typically associated with public shells. And most importantly it leaves you in complete control of your company and provides you the ability to maintain control of your financing.
The Princeton team of professionals starts with a top-to-bottom review and analysis of your business and its objectives, both short-term and longterm. With this knowledge they then prepare and file all of the necessary corporate documents (reincorporation if necessary) and securities registration statements required.
The result of Princeton's diligence: your company is given a clean bill of health and left with its own stock symbol on the OTC Bulletin Board. Other than "going public", the biggest benefit of Princeton's turnkey program is there are no hidden costs and no surprises before (or after) all final agreements are signed.
In short, Princeton's turnkey program gets you trading faster than most investment banks, saves you hundreds of thousands of dollars over the typical public shell transaction, and keeps you in control of your business, making it the ultimate "go public" option for today's small businesses.
Why Go Public
Most clients tend to wonder if their interests are best served by going public; and in fact a Public Offering is a decision that private companies should analyze very carefully. While Public Offerings can be extremely useful for private businesses seeking to grow quickly, the also come equipped with issues such as Public Disclosure, higher fees, limited shareholder control, and stringent reporting requirements. Companies that are interested in undergoing a public offering should seek out the proper advice to determine if they are a viable candidate for a Public Offering and how it would effect the future direction of that particular company. Clients of Princeton Corporate Solutions will receive this direction and will then be able to make an informed decision.
Companies are initially interested in undergoing a public offering for many reasons which include:
1. Access to Capital – The primary reason that companies seek to go public is to ease the fundraising process. The fact is that public companies are provided instant credibility within investment markets and are more attractive investments for many private and institutional investors.
2. Mergers and Acquisitions – Because the value of public stock is seen as a more risk adverse transactions, public companies generally are able to ease the M&A process due to their ability to liquidate public shares.
3. Higher Valuations – Simply stated; Due to their perceived credibility, Public Companies are valued higher than private ones.
4. Less Dilution – Due to a stronger and more diverse market for shares there is a lower risk of dilution once the Initial Public Offering (IPO) occurs.
5. Liquidity – By going public a company can immediately liquidate a portion of privately-owned shares at a premium price point, which can immediately create and sustain wealth for employees, managers, and owners.
6. Prestige – Public companies, and the instant credibility that comes from being public companies, are generally more prestigious and have a public relations advantage when compared to their private contemporaries.
While there are numerous benefits to being a publicly traded company there are also some disadvantages such as:
1. Public Reporting – Being public requires certain reporting to the government and to shareholders. This requires time and expense, for example, audited financial statements.
2. Confidentiality – Being a public company requires full disclosure; management can no longer keep the actions and progress of the company confidential.
3. Liability – Management has certain additional liability required by law to the shareholders and to the public. Being public allows additional visibility, which automatically increases the level of liability.
4. Maintaining stock value – Being a public company requires a certain amount of public relations, both to the public and to the financial community, to keep the stock trading at a level, which reflects the value of the company. This requires both time and money.
There are several different options available to companies desiring to go public. Each has its own advantages, disadvantages, state and federal requirements, time constraints, and costs. Careful consideration should be given as to the method used to achieve a public company, and the advice of professionals should be sought. As a high-end service provider Princeton Corporate Solutions seeks to provide you all of the information that it can to insure that our clients make informed decisions and, if they do decide to pursue a public offering, that they do so in a manner that is best for the company now and into the future.
How Princeton Corporate Solutions Can Help
The public markets aren't just for big companies. In fact, the public markets can offer an excellent environment for small businesses to grow and improve their sustainability through additional avenues of capital access, improved access to corporate alliances, and improved prestige that could drastically improve growth and development prospects. At Princeton Corporate Solutions we are fixated on providing small companies the resources and the expertise necessary to navigate the Public Offering process while also preparing them for "Life as a Public Company".
We are dedicated to providing small businesses with:
v Education
Our first objective is to educate business owners about the process of going public and numerous benefits offered by the public markets.
v Registration
If your company is a good fit for the public markets, our second goal is to help you register your securities at the state or federal level. Contrary to popular wisdom, it's possible to begin trading on the public markets without mountains of red tape. We can guide you through the process, helping you keep costs down. Our network of world-class professionals truly cares about small business, and when you allow them to consult on and produce your paperwork, you'll save hundreds of thousands of dollars in the process of joining the public markets.
v Fundraising
Through our network of investors we seek to provide small businesses access to the investors that will be necessary to both fund a public offering and proceed through a public offering. We can also provide our clients with the consulting services necessary to make sure that when the funds are raised that they are invested properly.
Education
Compliance
Publicity
Fundraising
Registration
v Publicity
Through our Publicity and Public Relations services we seek to provide our clients with access to some of the most resourceful publicity experts in the industry to make sure that the market awareness necessary for a successful Public Offering is in place during and after the Offering proecess.
v Compliance
Finally, through our Professional Associates we work with small public companies to help them maintain compliance with SEC regulations in order to remain listed as a public company.
Public Offering Services offered by Princeton Corporate Solutions
Princeton Corporate Solutions' Legal Services Division is proud to offer the following solutions for your Company:
v Corporate/Securities
The firm's corporate/securities practice is focused on representing entrepreneurs and companies in emerging growth industries. Our practice supports the changing needs of our clients, with expertise in corporate and securities law, mergers and acquisitions, business organization, and debt or equity financing.
v Public Offerings
We have assisted numerous clients in the structuring and preparation of public offerings, including traditional IPOs, reverse merger transactions, and a variety of other hybrid offerings. In connection with these public offerings we offer the following services:
* Internal Corporate Organization - As the public offering approaches, we help companies begin to focus on technical issues such as auditing the corporate records to ensure compliance with all applicable laws (corporate, securities, regulation industry and the like). We also counsel companies in simplifying their capital and corporate structure so investors see the potential benefits of an investment in the company's stock. We aid companies in adopting and implementing stock option plans in order to allow employees to benefit from any increased value in the company's stock.
* Preparation of Offering Documents - We have assisted numerous clients with public reporting through the preparation and filing of a variety of registration statements with the SEC.
* Outsourced Consulting Services - Over the years, we have developed a network of professionals whose services we are able to recommend to our clients, including auditors, market makers, and printers, to name a few.
v SEC Filings
We regularly assist our public clients in meeting their ongoing filing requirements with the SEC, including the filing of:
* Annual reports
* Quarterly reports
* Reports on Form 8-K
* Proxy filings and Information Statement filings
* Section 16 filings (these are the required filings that must be made by all officers, directors, and greater than 5% shareholders).
v Private Offerings
We have assisted numerous established as well as start-up corporations in raising capital. In connection with these private offerings we offer the following services:
* Preparation of offering documents - We regularly prepare all the required offering documents required for private offerings.
* Federal and state filings - We aid our clients in navigating and complying with all federal and state "Blue Sky" securities laws, including preparing all required filings.
* Introduction to various potential accredited financing sources.
Public
Offerings
SEC Filings
Private
Offerings
Corporate/
Securities
v Mergers and Acquisitions
Our firm has significant experience in business combinations, and can assist you in a transaction from start to finish, including:
* An analysis of which combination best suits your needs.
* Letters of intent.
* Confidentiality agreements.
* Due diligence investigations.
* Preparation and negotiation of Acquisition and Disposition Agreements.
v Contracts and Agreements
* Employment Agreements
* Confidentiality Agreements
* Warrant Agreements
* Lockup Agreements
v Corporate
* Incorporations
* Voting Agreements
* License Agreements
* Settlement Agreements
* Minutes
* Bylaws
v SEC Investigations and Enforcement
Representing issuers and individuals in their document production and testimony to the SEC.
Corporate
Contracts &
Agreements
Mergers & Acquisitions
SEC Investigations & Enforcement
8 12
Securities Registration
The basic registration form is Form S-1. It requires companies to disclose, among other things:
* A description of the company's business;
* Its properties;
* Material transactions between the company and its officers and directors;
* Competition;
* Identification of officers and directors and their remuneration;
* Certain pending legal proceedings;
* The plan for distributing the securities; and
* The intended use of the proceeds.
The S-1 is not prepared as a fill-in-the-blank form like a tax return but is similar to a brochure, with information provided in a narrative format. There are also detailed requirements concerning financial statements, including the requirement that such statements be audited by an independent certified public accountant (PCAOB qualified).
In addition to the information expressly required by the form, the company must also provide any other information necessary to make the statements complete and not misleading.
Frequently Asked Questions
How long does a company have to be in operations, and how much revenue must it earn to go public?
If the company is earning revenue, or if it is not earning revenue, the company needs only to show that it is a real business with one or more employees working fulltime in the business. The company needs only to be in business for a short time, as little as one month. The company also needs to be incorporated, have a bank account and have auditable financial records.
How many shareholders must the company have to go public?
The company has or can obtain no less than 40 shareholders in order to be "public". If a company is unable to secure 40 shareholders on their own, we may be able to help to obtain the minimum number.
How many shares must be sold to non-insider shareholders (and for how much) for a company to go public?
The non-insider shareholders (excluding management) must have purchased a minimum of 400,000 shares of the company's stock that can be registered with the SEC as the "float" when the company is listed and publicly trading, e.g. 40 shareholders pay $2,000 each and buy shares at 20 cents so they get 10,000 shares each. Those 10,000 shares x 40 shareholders equals 400,000 total shares or $80,000 which in most cases will cover the entire cost of going public.
Do we need to hire an outside auditor to go public?
In order to be eligible to go public the company needs to hire an auditor and obtain an SEC qualified audit.
How long is the Public Offering process?
From the time the audit is complete and the registration statement is filed by PRINCETON'S, the fastest the company can become public with a stock symbol is 60 days. Sometimes it can take up to six months if the SEC has a lot of questions about the history of the company or other items contained in the registration statement or audit. Once the company is cleared by the SEC (referred to as "going effective") it needs to be approved by NASD (now called FINRA). That process takes about 30 days and the company needs to be sponsored by a Broker-Dealer, whom we will assist you with.
How soon can a company begin raising funds after the Public Offering?
Once a company has its stock ticker symbol it can proceed to arrange various different funding programs that are not available to private companies which we and our resources will help to arrange. PIPE funding (Private Investment in Public Equity) would be one of the sources for funding, which may include a line of credit as much as $10 million to help a new public company get started.
Will you be successful in taking us public?
If we accept you as a client, the short answer is, YES! As long as the control persons of your company don't have issues that you have not disclosed to us, and as long as you are cooperating with us during the process, you will become publicly traded.
I know you don't get involved with Shells but what would it cost to buy an existing OTCBB "shell"?
Fair market value these days is in the $600,000 range and about 10-15% of your company.
Will you raise money for me when you take us public?
No, we take companies public by self-filings. No money is raised as an actual part of this process. That said, we do have many real broker-dealers that will raise money, so long as your company meets certain criteria. And yes, they have successfully found funding for our clients.
Is there a possibility that there will be any extra costs involved?
No, except for your financial audit, our fee will include all services to get your company listed publicly on the OTC Bulletin Board with a stock quote. There are other costs associated with being a fully reporting company, however, such as audits, SEC filings, etc.
Who pays for the company's audited financials, if needed?
You pay for your own audit. We will recommend a very reasonable and experienced auditor if you need one.
How much does the financial audit cost?
An audit can cost anywhere from $4,000 for a startup company with limited operations to $25,000 or more for an extremely complicated company audit.
Do you have an accounting firm you can refer us to for our financial audit?
Yes, we have PCAOB registered accountants who we refer to and, because of the volume of business we send them, give considerable discounts to our clients. Our recommended auditor can give you an estimate of cost after an initial free consultation.
What is the difference between the Pink Sheets and the OTC Bulletin Board (OTCBB)?
The Pink Sheets and the OTC Bulletin Board are competing quotation services for OTC securities. The Pink Sheets is a privately owned company, while NASDAQ operates the OTCBB. Unlike the OTCBB, issuers do not have to be fully reporting companies with the Securities and Exchange Commission (SEC) to be quoted on the Pink Sheets. It is widely accepted as fact that the OTCBB is a better and more established trading market than the Pink Sheets. Thus, we only take our clients public on the OTCBB, except in special circumstances.
Is Princeton Corporate Solutions a Broker Dealer or Securities Lawyers?
No, Princeton Corporate Solutions is not a Licensed Broker Dealer or a Securities Law Firm and we make no financial claims. Our firm uses attorneys and licensed broker dealers for the issues which call for their participation and these services, though included in our turn-key package, are indeed outsourced.
Advantages of Using Princeton Corporate Solutions
Princeton Corporate Solutions executes value added services that provides short term and sustainable long term benefits for its clients.
v In-depth knowledge and exposure of what's required to go public, acquire funding, or correctly brand a company
v Vast array of contacts and networking abilities
v Comprehensive solutions that simplify complicated processes
v Wide global reach
v Keen eye for detail avoiding costly mistakes
v Large spectrum of investment opportunities
v Transparent and open communication
v Flat rate package pricing with no hidden fees
v Undeniable and proven record of success
Contact Princeton Corporate Solutions:
If your Company is interested in the Public Relations Packages provided by Princeton Corporate Solutions, please don't hesitate to contact us.
73 Old Dublin Pike • Suite 10 #142
Doylestown, PA 18901 Tel: 267-233-0183 firstname.lastname@example.org. princetoncorporatesolutions.com
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folhear
felipe barbosa e rosana ricalde
folhear
felipe barbosa e rosana ricalde
BARBOSA, Felipe
Folhear / Felipe Barbosa, Rosana Ricalde ; Ronaldo Barbosa (curadoria) ; Julia Dehasse (tradução). — 1. ed. — Vitória, ES : Museu Vale, 2024, 224 pp.:
Edição bilingue: português/inglês.
ISBN 978-85-60008-33-9
I. Arte contemporânea - Brasil 2. Arte - Exposições 3. Catálogos 4. Escultura 4. Mata Atlântica (Brasil) - Preservação I. Ricalde, Rosana.
II. Barbosa, Ronaldo. III. Dehasse, Julia.
IV. Título.
24-217752
CDD-700.74
Ministério da Cultura, Instituto Cultural Vale e Museu Vale apresentam
Ministry of Culture, Vale Cultural Institute and Vale Museum present
folhear
felipe barbosa e rosana ricalde
curadoria ronaldo barbosa
curatorship
Vitória, ES
2024
The palm tree is a symbol of life, growth, and resilience. Its leaves are like the arms of a giant, reaching towards the sky. The trunk is strong and sturdy, standing tall and proud. The fronds are like the fingers of a giant, spreading out in all directions. The palm tree is a reminder to us that we too can grow and thrive, no matter what challenges we face.
| Página | Título | Autor/Fonte |
|--------|------------------------------------------------------------------------|--------------------------------------------------|
| 7 | arte e natureza: uma poética do transitório | Instituto Cultural Vale |
| 10 | folheando a natureza | Ronaldo Barbosa |
| 13 | caderno de estudos | |
| 41 | construção | |
| 67 | reserva natural vale, parque botânico vale | |
| 106 | educativo | |
| 107 | fauna feita de flora | Janaina Melo |
| 112 | programa aprendiz | |
| 119 | cronologia | |
| 120 | a obra na rua: exercício expandido de expressão | Nelson Ricardo Martins |
| 183 | english version | |
A man in a blue hard hat reaches up to trim a palm tree.
Transformar, movimentar, observar são verbos que dão impulso para tratar da vida. No encontro poético e material da arte contemporânea com a diversidade dos ecossistemas, pode ser percebida a beleza mutável dos diferentes mundos que estão em nosso entorno. É a partir do deslocamento do olhar curioso para a impermanência mágica das coisas que nasce Folhear. Realizada pelo Museu Vale, em seu momento Extramuros, a exposição abre no Espírito Santo em parceria com a Reserva Natural Vale e o Parque Botânico Vale, espaços que recebem as obras.
O casal de artistas Felipe Barbosa e Rosana Ricalde, com curadoria de Ronaldo Barbosa, desafia-se a utilizar materiais orgânicos, oriundos da flora desses dois importantes espaços de preservação da Mata Atlântica, para estruturar a criação de um imenso ser fantástico da imaginação, na figura de grandes esculturas. Um ser que convive com o tempo e a natureza, quase como se fossem um só, experimentando de forma visceral as transformações que constituem a vida.
A mostra busca contribuir para a conscientização e valorização do meio ambiente através da arte contemporânea, da arte-educação e da educação ambiental. A conexão entre os espaços pode ser pensada de diferentes formas, simbólicas ou concretas, unindo distâncias. Nessa jornada, somos guiados pelas raízes que nos ensinam a importância da preservação, da harmonia e das infinitas possibilidades de conexões.
Para além das obras, o programa educativo do Museu Vale conta com a presença da arte-educadora Janaina Melo na formação para professores de escolas da Grande Vitória, no intuito de estender a perspectiva da arte para a sala de aula. Janaina traz para a formação a experiência no desenvolvimento dos programas educativos e culturais do Museu de Arte da Pampulha (Belo Horizonte); Instituto Inhotim (Brumadinho); Museu de Arte do Rio - MAR, onde foi responsável pela gestão da Escola do Olhar; e Fundação Municipal de Belo Horizonte, onde atualmente é Diretora de Museus.
Juntamente com as exposições, em seu momento extramuros o Museu Vale segue sua atuação educativa e cultural por meio de diferentes parcerias, em escolas públicas, praças, espaços culturais, além de uma programação diversa e gratuita no Parque Botânico e na Reserva, ao longo do ano.
São ações que se conectam à atuação do Instituto Cultural Vale, que desde 2020 já realizou, articulou ou patrocinou mais de 800 iniciativas culturais no Brasil. No Espírito Santo, o Instituto também abraça a cultura em toda a sua diversidade: do Programa Vale Música, que oferece formação musical a crianças e jovens, à Festa da Penha, passando por festivais de cinema, música, dança, formação audiovisual, entre outras dezenas de ações.
As iniciativas são plurais com um propósito singular: criar oportunidade de transformação da vida por meio da cultura. Assim, esperamos que, ao vivenciar a exposição aberta para visitação de junho a setembro de 2024, cada visitante possa também imergir no mundo fantástico da arte, natureza e da imaginação.
The seeds of the *Cordia boissieri* plant, which is native to the Canary Islands and has been introduced to other parts of the world, including the Mediterranean region. These seeds can be found in various environments, from coastal areas to inland regions, and they play a crucial role in the ecosystem by providing food for wildlife and contributing to soil stability.
Aqui vemos um exemplo de palmeira que foi plantada em um local com solo muito ácido, o que resultou na morte da planta.
Felipe Barbosa e Rosana Ricalde são um casal de artistas cariocas que fazem projetos em dupla desde o ano 2000, quando foram contemplados com o Prêmio de Interferências Urbanas por seu projeto *Muro de Sabão* em Santa Teresa no Rio de Janeiro. Desde então experimentam juntos suas ideias, para além de suas carreiras individuais, nas áreas de arte pública e urbana, como no trabalho *Hospitalidade*, que questiona as noções de pertencimento e constituição de identidades de sociedades formadas em meio a relações antagônicas. Trabalho este realizado para o projeto *InSite_05* (2003-2005) na fronteira entre Tijuana, no México, e San Diego, nos EUA.
Desde a faculdade, onde se conheceram, construíram suas carreiras solo com bastante êxito, participando de bienais, mostras coletivas e individuais no Brasil e no exterior. Formaram-se na Escola de Belas Artes do Rio de Janeiro, ela terminando o curso de gravura em 1996 e ele o de pintura em 2002.
Desde 2019 vivem e trabalham em Coimbra, Portugal, entretanto continuam com o ateliê de Rio das Ostras (RJ) ativo.
A exposição *Jardins Móveis* foi apresentada no Museu Vale, Vila Velha (ES), em 2017. Originalmente concebida em 2007 na Cidade de México, ressignificava materiais encontrados no espaço urbano como matéria-prima de sua arte, fazendo os infláveis vendidos nos camelôs e cuidadosamente agrupados se tornarem esculturas de grande formato, levando os espectadores à fantasia e ao simbólico.
*Jardins Móveis* tem como inspiração, a topiaria, do latim *topiarus*, a arte de adornar jardins. Técnica antiga de poda de árvores e arbustos que lhes dá formas geométricas, figurativas ou abstratas, encontradas em parques ingleses, italianos e especialmente nos franceses.
A ideia da arte em outro contexto e espaço traz uma reflexão sobre o *site specific* ("lugar específico") na área urbana, onde o artista apresenta o seu trabalho dialogando com o território e seus arredores. Tal vertente da arte contemporânea habitualmente é realizada em ambientes fechados, mas *Jardins Móveis* andou por outras praças, como o Museu Olímpico de Lausanne, Suíça, em 2016, o Memorial Minas Gerais Vale, Belo Horizonte (MG), em 2018, e o SESC Verão 2004, na Praia dos Cavaleiros em Macaé (RJ).
Neste momento a dupla Barbosa & Ricalde apresenta um novo e elaborado trabalho para o Museu Vale no seu projeto Extramuros, levando-o simultaneamente para o Parque Botânico Vale, em Vitória (ES), e para a Reserva Natural Vale, em Linhares (ES), uma das áreas de conservação mais bem protegidas da América do Sul.
Através de visitas ao Parque e à Reserva, pesquisa nos laboratórios, acervos e biblioteca, os artistas apresentam a nova exposição em grande formato escultórico. Produzida por serralheiros, engenheiros e técnicos especializados, a obra surge de dentro da mata numa estrutura de ferro e arame numa malha calculada e projetada, coberta por centenas de folhas e gravetos. FOLHEAR, prover de folhas, “as chuvas folhearam a natureza”, entra no universo simbólico e da imaginação. A cauda de um grande animal aparece vigorosa, vestida por uma folhagem que ali estava e que foi manual e cuidadosamente colocada num processo de escolha intuitivo, em que o fazer artístico se sobrepõe à técnica construtiva. Denominada por Barbosa & Ricalde como “pele vegetal”, este “ser” cuja falta de origem e denominação se mostra nos traz uma imensa surpresa.
Ao mesmo tempo, passa a fazer parte da paisagem como se pertencesse àquele lugar. O tempo está presente de maneira subjetiva e
Neste momento a dupla Barbosa & Ricalde apresenta um novo e elaborado trabalho para o Museu Vale no seu projeto Extramuros, levando-o simultaneamente para o Parque Botânico Vale, em Vitória (ES), e para a Reserva Natural Vale, em Linhares (ES), uma das áreas de conservação mais bem protegidas da América do Sul.
Materializado na folhagem que foi utilizada e ressignificada. Os artistas dão vida com forma e textura a um novo elemento na paisagem com vida própria, na pele de um grande e misterioso animal.
Arte efêmera e orgânica que se mimetiza com o meio e se transforma com o tempo. Criação em harmonia com a natureza e sua força. Matérias-primas escolhidas pelo olhar atento e singular da dupla, fazendo com que suas criações ao ar livre sejam celebradas com surpresa e curiosidade, trazendo sempre um novo olhar para os elementos do cotidiano. A arte agindo de maneira lúdica e poética, cheia de significados, fazendo-nos refletir sobre o respeito que devemos ter com a natureza e a sua preservação, instigando o espectador a criar sua fantasia e interpretação e possibilitando uma interessante experiência estética.
The palm tree is a symbol of life and resilience, with its tall trunk reaching towards the sky and its lush green fronds spreading outwards. The tree's ability to thrive in harsh environments makes it a powerful reminder of the strength and adaptability of nature.
caderno de estudos
The image on the left shows a palm tree with long, slender leaves and a tall trunk. The image on the right shows a close-up of the same palm tree, focusing on the fruit that is growing along its trunk.
folhear
Figure 1. A pond with water lilies and duckweed.
| Image 1 | Image 2 | Image 3 | Image 4 |
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| Image 5 | Image 6 | Image 7 | Image 8 |
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| Image 9 | Image 10 | Image 11 | Image 12 |
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| Image 13 | Image 14 | Image 15 | Image 16 |
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| Image 1 | Image 2 | Image 3 |
|---------|---------|---------|
|  |  |  |
|  |  |  |
|  |  |  |
|  |  |  |
The image shows a close-up view of a large insect, specifically a beetle, with intricate patterns on its wings and body. The beetle has long antennae and legs, and its wings display detailed, symmetrical designs. The background appears to be a grid, possibly for measurement purposes.
| Branches with berries | Branches with berries and seeds | Branches with berries, seeds, and leaves |
|----------------------|---------------------------------|------------------------------------------|
| | | |
| Ground with berries | Ground with berries | Berries hanging on a fence |
|----------------------|----------------------------------|------------------------------------------|
| | | |
PÉ APITAFUSADO
22
The Museum of Natural History in Berlin is a place where science and art intersect. The museum’s collection includes over 30 million specimens, ranging from plants to animals, and each specimen has its own story to tell.
One of the most fascinating exhibits at the museum is the collection of dried plants. These plants have been carefully preserved and arranged in a way that showcases their unique features. The colors and textures of these plants are truly breathtaking, making them a feast for the eyes.
Another exhibit that catches the eye is the collection of bats. These specimens have been meticulously prepared and mounted, allowing visitors to see the intricate details of these fascinating creatures up close. The museum also has a display of bat drawings, which add an artistic touch to the exhibit.
In addition to the plant and bat collections, the museum also houses a vast array of other specimens, including insects, fish, and mammals. Each specimen is carefully labeled and cataloged, making it easy for researchers to access and study them.
Overall, the Museum of Natural History in Berlin is a treasure trove of natural history knowledge. Whether you’re interested in botany, zoology, or simply appreciate the beauty of nature, there’s something here for everyone.
10,5 m
+ 12 mts
LADRÓN / TUBO PIRULI
ESQUINAS / ANGULOS / GANZITAS
CUBIERTA DE PINO
PAREDES / JANELAS
ESTERILLAS
TACOS / HACHOS / ESPUMAS
TABLA DE LARGO
BURLO
ETC...
| | |
|---|---|
|  |  |
|  |  |
GRANDE CAUDA DE LAGARTO
SAINDO DE UMA MATA
FECHADA (ATE NAO SE
PODE VER + 10MTS
Bromelia NEMOROSA
"1 FIO VEU"
34,33 + 31
18,80
70,0 mts
360
3,8 m
15 m²
7,8 m
10 m²
3,8
905 x 380 m³
15 mts
| 10,50 m | 13 |
|---------|----|
| 12,50 m | 15 |
**Notes:**
- **Sedum** for biodiversity
- **Subtropical** raised to action
The fruit of the oil palm tree is a cluster of small, red berries that grow in bunches at the top of the tree. The berries are harvested and processed to extract the oil, which is used in a variety of products, including food, cosmetics, and biofuels.
Tartaruga vermelha (Chelonoidis carbonaria) na vegetação do Parque Estadual da Serra do Mar, em São Paulo.
Elevation of metal (cable bridge)
through path into 3D calculation.
\[
\begin{align*}
\text{diameter} & = 140 \text{ cm} \\
\text{width} & = 165 \text{ mts} \\
\text{height} & = 3,400 \text{ cm} \\
\text{width} & = 180 \text{ cm} \\
\text{height} & = 80 \text{ cm} \\
\text{width} & = 650 \text{ mts} \\
\end{align*}
\]
\[
\text{A} \times \text{B} = \text{A} \cup (\text{B} \setminus \text{A})
\]
The forest is a place where we can find peace and tranquility. It is a place where we can escape from the hustle and bustle of our daily lives and connect with nature. The trees provide us with shade, fresh air, and a sense of security. The birds sing their songs, the leaves rustle in the wind, and the animals roam freely. The forest is a place where we can find solace and rejuvenation.
\[\text{folhear}\]
The sculpture is made from chicken wire and is located in a courtyard with trees and grass.
construção
The sculpture is a large-scale installation that consists of several interconnected, organic shapes made from orange wire mesh. The shapes are arranged in a way that creates a sense of movement and flow, resembling a series of intertwined loops or waves. The sculpture is situated in an open grassy area with trees in the background, providing a natural setting for the artwork. A person is seen walking near the sculpture, giving a sense of scale to the installation. The overall design of the sculpture is modern and abstract, inviting viewers to interpret its form and meaning.
folhear
The process of creating the sculpture involved several stages, including the design phase, the construction phase, and the installation phase. The design phase was crucial in determining the overall shape and structure of the sculpture. The construction phase involved the fabrication of the metal components, which were then assembled to form the final sculpture. The installation phase required careful planning and coordination to ensure that the sculpture was installed safely and securely.
folhear
The installation of the sculpture was carried out by a team of professionals from the National Institute of Culture and the Arts (INCA) in collaboration with the Ministry of Tourism, who worked tirelessly to ensure that the installation process was completed within the agreed timeframe.
The sculpture is now an integral part of the park’s landscape, providing a unique and visually striking addition to the existing greenery. The use of recycled materials not only enhances the aesthetic appeal of the park but also promotes environmental sustainability, aligning with the government’s commitment to reducing waste and promoting eco-friendly practices.
The installation of the sculpture has been well-received by visitors and locals alike, who have expressed their appreciation for the innovative design and the way it complements the natural beauty of the park. The sculpture has become a popular spot for photography and has attracted many tourists and residents to the area.
In conclusion, the installation of the sculpture has been a significant achievement for the National Institute of Culture and the Arts (INCA) and the Ministry of Tourism. It has not only enhanced the park’s landscape but also promoted environmental sustainability and cultural heritage. The sculpture serves as a testament to the ingenuity and creativity of the artists involved, and it will continue to be a source of inspiration and enjoyment for generations to come.
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The sculpture is made of stainless steel wire mesh and measures 10 meters in length, 3 meters in width, and 4 meters in height. It was created by local artist Lim Hock Chuan and installed at the park in 2018. The sculpture is designed to resemble a snake, with its body winding through the trees and grass. The artist intended for the sculpture to be a symbol of Singapore's rich cultural heritage and its connection to nature.
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The sculpture is made from wire mesh and wood, creating a dynamic and abstract form that stands out in the park. The use of natural materials like wood adds a touch of warmth to the otherwise industrial look of the wire mesh. The sculpture's design is inspired by the natural environment, with its flowing lines and organic shapes evoking the movement of water or wind. The sculpture is a testament to the artist's skill in combining different materials to create a visually striking piece of art.
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The project is a collaboration between the artist and the architect, with the aim of creating a space that is both functional and aesthetically pleasing. The structure is made of metal and is designed to be lightweight and easy to assemble. The design is inspired by the natural world, with the use of organic shapes and curves. The structure is located in a park, providing a unique and interesting space for visitors to enjoy.
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Felipe Barbosa e Rosana Ricalde
The installation is made from coconut leaves and bamboo, which are both abundant in the region. The use of these materials not only highlights the local culture but also promotes sustainability by repurposing natural resources.
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The sugar cane harvest is a crucial part of the agricultural calendar in many countries, including Brazil and India. It involves the cutting and processing of sugar cane to produce sugar and ethanol. The process begins with the harvesting of the sugar cane stalks, which are then transported to a sugar mill for processing. At the mill, the sugar cane is crushed and the juice is extracted. The juice is then boiled to remove impurities and the resulting syrup is refined to produce sugar. In some cases, the sugar cane juice is fermented to produce ethanol, which is used as a fuel. The sugar cane harvest is an important source of income for many farmers and is a significant contributor to the economy of many countries.
The art of weaving is not just about creating beautiful objects; it’s about preserving cultural heritage and fostering community connections. Each piece tells a story, whether it’s through the intricate patterns or the skilled hands that crafted it. Weaving is more than a craft; it’s a way of life, passed down from generation to generation.
In many cultures, weaving is deeply rooted in tradition and serves as a means of expressing identity and storytelling. The techniques used can vary widely, from simple knots to complex lattices, each with its own unique beauty. The materials used also play a crucial role, ranging from natural fibers like cotton and wool to synthetic alternatives that offer durability and versatility.
Weavers often work in small communities where their skills are highly valued. These artisans not only create functional items but also contribute to the local economy by selling their products at markets or festivals. Their work is appreciated for both its aesthetic appeal and practicality, making it an essential part of everyday life.
As we continue to appreciate the artistry behind every woven item, let us also recognize the importance of supporting these skilled craftsmen and women who keep this ancient tradition alive. By doing so, we honor not only their talent but also their commitment to preserving our cultural heritage for future generations.
The installation process begins with the construction of a steel frame, which is then covered in palm fronds. The team works meticulously to ensure that each frond is securely attached, creating a unique and visually striking structure.
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The palm tree is a symbol of life and growth, representing resilience and adaptability. It stands tall and proud, its branches reaching towards the sky, embodying the spirit of perseverance and determination. Just like the palm tree, we too must learn to adapt and grow in the face of adversity. We must be resilient and adaptable, just like the palm tree, to thrive in any environment.
As we continue to navigate through life's challenges, let us remember the lessons we can learn from the palm tree. Let us embrace our own inner strength and resilience, just like the palm tree, and let us grow and flourish in the face of adversity. For just as the palm tree stands tall and proud, so too can we stand tall and proud, knowing that we have the strength and resilience to overcome any obstacle.
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Palm leaf with insect damage.
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The palm trees in the park have been bent by strong winds, creating an interesting and unique landscape.
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The park is home to a variety of flora and fauna, including the endangered Florida panther and the gopher tortoise. The park also features a nature trail that winds through the forest, providing visitors with opportunities to observe wildlife and learn about the local ecosystem.
In addition to its natural beauty, the park offers a range of recreational activities for visitors of all ages. There are several picnic areas and grills available for use, as well as a playground and a basketball court. The park also has a swimming pool and a tennis court, making it an ideal destination for families looking for a fun day out in the sun.
Overall, the park is a wonderful place to explore and enjoy the great outdoors. Whether you're interested in hiking, bird watching, or simply relaxing in the shade, there's something for everyone at the park. So why not plan a visit today and discover the many wonders that await you in the heart of the Everglades?
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The leaves of the *Cordyline australis* (New Zealand flax) are used to make baskets and mats, while the leaves of the *Cordyline fruticosa* (Ti plant) are used for thatching roofs.
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The leaves of the pandanus plant are used to make mats and other items.
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The palm trees in the park have been shaped into arches, creating a unique and artistic landscape.
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The park is a great place to explore and enjoy nature.
The park is located in the heart of the Amazon rainforest, offering visitors a unique opportunity to experience the natural beauty and biodiversity of the region. The park features a variety of trails that wind through the dense jungle, providing opportunities for hiking, bird watching, and wildlife spotting. Visitors can also take part in guided tours led by experienced rangers who can provide insights into the local flora and fauna.
In addition to its natural attractions, the park also offers a range of facilities and amenities to make your visit comfortable and enjoyable. There are several campsites available for those who wish to stay overnight, complete with basic amenities such as tents, sleeping bags, and cooking utensils. The park also has a visitor center where you can purchase tickets, rent equipment, and learn more about the park's history and conservation efforts.
Overall, the park is an ideal destination for nature lovers and adventure seekers alike. Whether you're looking to explore the jungle on foot or by boat, or simply want to relax and enjoy the tranquility of the rainforest, the park has something to offer everyone. So why not plan your next trip to the Amazon rainforest and discover the wonders of this incredible ecosystem for yourself?
The sculpture is made from bamboo and straw, which are natural materials that blend well with the surrounding environment. The artist's intention was to create a piece that would be both visually striking and harmonious with its surroundings. The use of these materials also reflects the artist's commitment to sustainability and environmental consciousness.
The sculpture is located in a park, where it serves as a focal point for visitors. It is designed to be interactive, encouraging people to explore and engage with it. The artist has incorporated elements such as seating areas and pathways around the sculpture, making it a space for relaxation and contemplation.
Overall, the sculpture is a beautiful example of how art can enhance public spaces and bring communities together. Its design and materials reflect the artist's vision of creating a harmonious relationship between nature and human creativity.
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The sculpture is made from palm leaves and branches, creating a natural and organic structure that blends seamlessly with its surroundings. The artist's intention was to create a space for reflection and contemplation, inviting viewers to pause and appreciate the beauty of nature.
The park is located in the heart of the city, surrounded by trees and greenery.
The forest is a place where we can find peace and tranquility, away from the hustle and bustle of city life. It is a place where we can connect with nature and appreciate its beauty. The forest is also a place where we can learn about the environment and the importance of preserving it for future generations.
The image shows a lush, green environment with various trees and plants. In the foreground, there is a palm tree with long, slender leaves. The background features a building with a red-tiled roof, partially obscured by the dense foliage. The ground appears to be a mix of dirt and patches of grass, with a paved area leading towards the building. The overall scene suggests a tropical or subtropical setting, possibly a park or a garden.
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Aqui, o arquiteto e designer de interiores Felipe Barbosa e o artista plástico Rosana Piccide criaram um ambiente que se integra com a natureza, criando uma experiência sensorial única para os visitantes. A estrutura é feita de bambu, um material sustentável e durável, que permite que a obra se harmonize com o entorno natural. A iluminação natural é utilizada para criar um ambiente acolhedor e convidativo, enquanto a música ambiente contribui para a atmosfera relaxante do espaço.
A obra é composta por duas partes principais: uma estrutura curva que serve como um ponto de encontro e uma escultura em forma de árvore que simboliza a conexão entre o homem e a natureza. A estrutura curva é projetada para ser um local de descanso e reflexão, enquanto a escultura em forma de árvore é um símbolo de vida e renovação. A obra é um exemplo perfeito de como a arte pode ser usada para criar espaços que promovem a conexão com a natureza e a reflexão pessoal.
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O Museu Vale está aqui!
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The project is designed to be an educational space that promotes environmental awareness and sustainability, with a focus on the importance of biodiversity and conservation. The use of natural materials and the integration of green spaces aim to create a harmonious environment that fosters learning and engagement.
The project also includes a community garden, which serves as a hands-on learning experience for visitors, particularly children, to understand the importance of growing their own food and the role of plants in supporting local ecosystems. This initiative encourages a deeper connection with nature and promotes sustainable practices within the community.
A escola é um lugar de aprendizado, mas também de diversão e lazer. As atividades são planejadas para que os alunos se sintam envolvidos e participem ativamente do processo educativo. Através das atividades práticas, os alunos aprendem sobre o meio ambiente, a importância da preservação e a sustentabilidade.
The installation is made from 100 percent natural materials, including coconut husks and palm leaves. The pieces are arranged in a way that creates a sense of movement and fluidity, as if they are being blown by the wind. The use of natural materials not only adds to the aesthetic appeal of the installation but also promotes sustainability and environmental consciousness.
The installation is located in a park, which provides a serene and peaceful setting for visitors to enjoy. The park is surrounded by trees and greenery, creating a natural and tranquil environment. The installation is situated near a parking lot, making it easily accessible to visitors who may be passing by or visiting the area.
The installation is designed to be interactive, with visitors encouraged to touch and explore the pieces. This encourages a sense of engagement and connection with the artwork, allowing visitors to experience it on a more personal level. The use of natural materials also allows for a tactile experience, as visitors can feel the texture and warmth of the materials.
Overall, the installation is a beautiful and thought-provoking piece of art that promotes sustainability and environmental consciousness while providing a visually stunning and engaging experience for visitors.
The palm trees in the park are a mix of different species, each with its own unique characteristics and beauty. Some have long, slender trunks that reach high into the sky, while others have thick, sturdy trunks that provide shade for those who seek it. The leaves of these palms are also diverse, ranging from large, feathery fronds to smaller, more delicate ones. Each type of palm tree adds its own touch to the park's landscape, creating a beautiful and serene environment for visitors to enjoy.
Aqui, a professora Maria Eduarda, da Escola Municipal de Ensino Fundamental I (EMEF I) Professora Maria Eduarda de Souza, fala aos alunos sobre o projeto Folha, que tem como objetivo sensibilizar os estudantes para a importância do meio ambiente e a preservação dos recursos naturais.
Os alunos da EMEF I Professora Maria Eduarda de Souza participam de atividades de conscientização ambiental, como a coleta seletiva de lixo e a reciclagem.
A educação ambiental é uma ferramenta fundamental para o desenvolvimento sustentável das crianças e jovens, preparando-os para enfrentar os desafios do futuro. Através de atividades práticas e interativas, como a observação de insetos e a coleta de dados ambientais, os participantes aprendem sobre a importância da conservação e do equilíbrio ecológico. Essas experiências não apenas enriquecem o conhecimento dos alunos, mas também estimulam o interesse pela ciência e pelo meio ambiente, contribuindo para um futuro mais sustentável.
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The park is a great place to relax and enjoy the outdoors.
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Aqui, o arco de palmeira é uma obra de arte que combina beleza e sustentabilidade.
The installation is made from natural materials, including palm leaves and branches, which are arranged in a way that creates a sense of movement and fluidity. The structure is designed to be both functional and aesthetically pleasing, providing shade and shelter for visitors while also serving as a visual centerpiece in the park. The use of natural materials also helps to blend the installation with its surroundings, creating a harmonious relationship between the built environment and nature.
The installation is made from dried coconut leaves, which are a common waste product in the region. The artist has used these materials to create a series of arches that form a continuous line across the park. The arches are arranged in such a way that they create a sense of movement and flow, as if the park itself is alive and breathing. The use of natural materials also adds to the organic feel of the installation, making it a harmonious part of the park's landscape.
The installation is not only visually striking but also serves a practical purpose. It provides shade for visitors, allowing them to relax and enjoy the park without being exposed to the sun. The arches are also designed to be flexible, allowing them to adapt to different weather conditions and provide protection from rain as well as sunshine.
Overall, the installation is a beautiful example of how art can enhance public spaces and bring people together. It encourages visitors to explore the park and discover new ways to interact with their surroundings. The use of natural materials also highlights the importance of sustainability and the need to find creative solutions to reduce waste.
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Os trabalhos públicos de Felipe Barbosa e Rosana Ricalde sempre nascem de uma adesão ao lugar que se propõem ocupar: é assim desde as intervenções iniciais que criaram nas décadas de abertura dos anos 2000, quando, por exemplo, usavam a faixa de um cruzamento, em pleno horário de movimento, para, durante as interrupções do tráfego cadenciadas pelo sinal de trânsito, completarem o jogo da velha que disputavam no tabuleiro oferecido pelo quadriculado da pintura sobre o asfalto. Com a improvável e inusitada plateia de motoristas parados e curiosos atentos àquela brincadeira de infância e possibilidade de outros usos operada pelos artistas.
Em outros momentos, o entendimento desses lugares convocava respostas que iam do sentimento solidário e crítico até aquele de uma partilha da atmosfera lúdica ocasionalmente possível na selva urbana: a primeira situação era testemunhada pela proposta realizada no projeto inSite, na fronteira que separa México e Estados Unidos, divisa entre Tijuana e San Diego. Em colaboração com os moradores cujos parentes moravam dos dois lados da divisa e a partir da observação atenta do mercado da fronteira, com suas pulseiras artesanais que traziam nomes próprios, a dupla de artistas recobriu a passarela de ligação entre as cidades com os nomes pintados de pessoas amadas e porventura inacessíveis (além dos de outras que talvez só quisessem deixar a sua marca), unindo-os por esta quase carta/lembança que os trazia para perto de novo e que produzia um retrato da fronteira, dos moradores, de nações, dramas, amores e sonhos.
O segundo exemplo traça o caminho oposto: a fronteira é o território limite e também das possibilidades de troca, hibridação, relação e encontro. Nesse caso, temos o provisório “parque de esculturas” criado pelos dois na Praça da Liberdade, em Belo Horizonte (MG), com o trabalho Jardins Móveis em 2017. Outrora sede do poder político do Estado, reunindo em suas bordas as repartições, o palácio do governo e concluindo uma perspectiva monumental de quem chega vindo do centro, a Praça da Liberdade guarda todas as características de um espaço impositivo; porém, inclusive pelo desenrolar da história da cidade, ela se tornou um ponto de sociabilidade para seus habitantes: para lá vão famílias de diferentes cantos no fim de semana; estudantes, grupos de dançarinos e artistas de rua; turistas, pessoas em situação de rua; aposentados, atletas amadores, casais de noivos que preparam seu álbum de casamento. Ali a dupla de artistas instalou um minizoo de animais construídos com as conhecidas boias infláveis infantis, com suas características formas de bichos estilizados. Tal escolha evidenciava sua razão de ser: o trabalho se misturava à atmosfera de balões similares vendidos por ambulantes, pela “paleta” formada por cores chamativas de nuvens de algodão-doce e sorvetes em casquinha que colorem o mosaico do passeio.
Diferente de uma estátua, de um busto de personalidades políticas, em sua maioria homens brancos, a proposta de Barbosa e Ricalde se infiltrava no ritmo e sociabilidade da Praça, na curiosidade de quem
pula na cama elástica ou na piscina de bolinhas (e de quem vigia os que estão fazendo isso), do transeunte e do passageiro de ônibus que topam com algo que lhes é familiar, mas que ao mesmo tempo lhes chama a atenção porque não estava ali antes — como se espera, no dia a dia de uma atração especial.
A proposta atual para a Reserva Natural Vale, em Linhares (ES), e Parque Botânico Vale, em Vitória (ES), aborda essa mesma relação com o lugar, porém sob um novo prisma: entendendo adentrar uma imensa área florestal de mata atlântica protegida e um parque aberto ao público para inúmeras atividades, o projeto se instala em um bioma no qual convivem espécies locais, programas de pesquisa, educação e preservação ambiental, além de fortuita experiência de lazer, que ali o frequenta com propósito recreativo, educativo, cultural, científico e ecológico.
Essas diferentes experiências, usos e vivências precisam ser consideradas em um espaço de tantas partilhas. Nesse sentido podemos considerar as esculturas criadas pela dupla mediante circunstâncias especiais. Criando formas parcialmente visíveis de seres imaginários, recobertos por folhas de palmeira, as obras convidam a um universo de fabulações. A palmeira, espécie botânica que existe em abundância nesta faixa do globo terrestre abaixo da linha do Equador — América do Sul, África, sul da Ásia e Oceania —, dá forma a todo um imaginário e tipificação tropical. Reverenciada pelo naturalista alemão Alexander Von Humboldt como uma “árvore da vida” em função de sua versatilidade de usos e funções, a palmeira é alimento, habitação e referência de localização. Sua ampla distribuição geográfica tanto no litoral quanto no continente a implica no modo de viver dos trópicos, tendo uso ritual e simbólico marcante em comunidades tradicionais como as dos indígenas, ribeirinhos, sertanejos e quilombolas. A planta também é reverenciada na poesia, música, literatura - vale pensar no Buriti do escritor mineiro João Guimarães Rosa - e dá nome a ruas, produtos e lugares.
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Durante meses, com o auxílio das equipes da Reserva, os artistas coletaram folhas das inúmeras espécies ali presentes e criaram uma estrutura em metal que parece emergir da terra como um ser imaginário de grande escala que foi coberto com as folhas das palmeiras. Pensada a partir de questões como o respeito aos habitats e seus biomas, a obra nos convida a criar sociabilidades lúdicas e críticas que movem também nossa relação com a natureza. O imaginário despertado pela instalação igualmente cria uma proximidade com a fabulação infantil, é um convite a descobrir nessas formas cobertas com folhas de palmeiras seres extraordinários - pescocos ou tentáculos - que habitam as terras, os mares e as matas. A obra convida ainda a uma releitura da questão contemporânea do site specific, vinda da Land Art, e à releitura do próprio ofício de várias pessoas que ali visitam ou trabalham, como jardineiros, cuidadores, pesquisadores e outros profissionais que diariamente convivem e zelam pela preservação desse extraordinário bioma, cuidando da vegetação, plantio e rega. Tais pessoas perceberão nessa curiosa fauna feita de flora não só esculturas que seguem o ritmo da natureza com seus ciclos de recomposição e adaptação, mas igualmente esse “dar forma” – forma de escultura, forma de um bicho imaginário – com o qual elas lidam na preservação das espécies vegetais.
Encontro potente entre Jardim Botânico, Parque Ecológico, Parque de Diversões, Praça, natureza e cidade, a instalação de Felipe Barbosa e Rosana Ricalde convida o/a visitante a dialogar com questões caras a seus trabalhos, como o atravessamento pela natureza e a possibilidade de fabular, o acolhimento e o pertencimento, a forma nascida como montagem, a relação com o espaço, a arte como situação e deflagração de encontros.
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programa aprendiz
O Programa Aprendiz, ação educativa mais longevo do Museu Vale, criada em 2005, se estabelece como um curso de produção e montagem de exposições voltado para a formação teórico-prática de jovens da região da Grande Vitória, no Espírito Santo.
Durante o curso, os participantes passam por uma ampla formação teórica com profissionais reconhecidos da área, visitas técnicas e imersão na montagem das mostras.
Sempre alinhado às exposições do museu, para Folhear, do casal de artistas Felipe Barbosa e Rosana Ricalde, com curadoria de Ronaldo Barbosa, o programa abordou diferentes disciplinas e perspectivas relacionadas à arte, cultura, sustentabilidade e meio ambiente.
Os conteúdos foram ministrados por facilitadores de áreas diversas. Nicolas Soares, artista e diretor do MAES — Museu de Arte do Espírito Santo, apresentou conteúdos acerca da temática Arte, Espaço e Museu; Lucas Pignaton, advogado e pesquisador na área de Direito à Cidade e Acesso à Cultura, trouxe reflexões sobre Ocupar o espaço urbano com arte e cultura; a disciplina de Curadoria e Arte ficou com Clara Pignaton, arquiteta, artista e propositora de projetos culturais coletivos; Elsimar Rosindo Torres, artista e professor, em parceria com o SENAC-ES, fez uma troca sobre Preparação de espaços expositivos; e, por fim, a arte-educadora e pesquisadora Karenn Amorim, que coordenou a edição 2024 do programa, conversou com os aprendizes sobre o tema Exposições e educação: espaços, mediação e públicos.
Além das aulas teóricas, os participantes visitaram a Reserva Natural Vale, em Linhares, explorando as trilhas, o jardim sensorial, e o Palmeto, coleção viva de palmeiras que existe no local. Essas experiências, somadas à ambientação no Parque Botânico Vale, proporcionaram uma compreensão mais ampla acerca da preservação da natureza, ampliando o repertório sobre pesquisa científica e biodiversidade.
Encerrando o curso, os jovens participaram de rodas de conversas com o curador da exposição, Ronaldo Barbosa e com o artista Felipe Barbosa, que trouxeram reflexões sobre arte contemporânea, enriquecendo a compreensão artística dos aprendizes.
Capacitando mais de 150 pessoas desde a sua criação, o Programa Aprendiz Museu Vale, além de toda a formação, oferece aos participantes uma bolsa, auxílio transporte, alimentação e o certificado com chancela da parceria com o SENAC-ES, comprometendo-se com a democratização do acesso à cultura e ao conhecimento.
Museu Vale Extramuros
PROGRAMA EDUCATIVO
Museu Vale Extramuros
PROGRAMA EDUCATIVO
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Capacitando mais de 150 pessoas desde a sua criação, o Programa Aprendiz Museu Vale, além de toda a formação, oferece aos participantes uma bolsa, auxílio transporte, alimentação e o certificado com chancela da parceria com o SENAC-ES, comprometendo-se com a democratização do acesso à cultura e ao conhecimento.
Contexto de 1988
Museu Vale Extramuros
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Palm leaf texture.
cronologia
A obra na rua: exercício expandido de expressão
Nelson Ricardo Martins
A presente cronologia busca não reduzir a trajetória da dupla Barbosa & Ricalde a uma sucessão monótona de eventos, incorporando, além das necessárias descrições sobre as ações realizadas, textos críticos, fragmentos envolvendo depoimentos dos próprios artistas e muitas imagens. Sem sentido seria trilhar o caminho pouco turbulento da simples narrativa, uma vez que se trata de repertório transversal, permeado por questões complexas, tendo o urbano como suporte privilegiado.
É, portanto, na cidade, fora das estruturas arquiteturais bem-comportadas, onde se trava um jogo tenso com o caos, embate poético marcado por espasmos sonoros-visuais, na rigidez do concreto. A urbe se transfigura em campo experimental expandido, desenrolando situações atravessadas por temáticas sociopolíticas.
Em Casa Enterrada e Muro de Sabão, trabalhos realizados no bairro de Santa Teresa (RJ), paisagens distópicas subvertem a geometria do plausível:
No centro do Largo das Neves, uma residência inabitável emerge do asfalto. Paralisada, inacessível, parece observar, com ironia, os passantes abismados. Verdadeira até a metade, existe apenas na fantasia. Não se pode entrar ou sair, apenas desejar. Assim como o frango em loop na máquina elétrica da padaria ou o Nike que reina poderoso nos pés brancos dos meninos da burguesia.
Um muro sem função paira próximo ao abismo, na precariedade de sua breve existência. A estrutura insegura, feita de sabão, não protege contra bala perdida, mas, no local em que se encontra, substituindo um outro muro derrubado, interrompe a visão da comunidade da Coroa, com suas habitações precárias, população amontoadas, verdadeira cacofonia visual.
Essas produções, por meio do insólito, desvelam duas das questões que mais preocupam os brasileiros mais pobres: falta de habitação e segurança. Revelam a vulnerabilidade do tecido social brasileiro, alicerçado em paradigmas extremos de desigualdade.
No centro de Belo Horizonte (MG), o muro transmuta-se em barreira feita de pães enquanto elemento metafórico de contenção. Lembra a fome, tragédia imposta à parcela significativa da população mundial, segregada por sistemas de repressão. A obra Visibilidade destaca a contradição entre abundância e carência, confrontando realidades brutais de exclusão.
Realizada na fronteira EUA-México, Hospitalidad materializa-se através dos nomes próprios pintados no chão do lado mexicano, fazendo nascer outra pele, forjada pela intolerância. São pessoas impedidas de atravessarem para a América. Rejeitadas, tratadas como refugo, “pisoteadas”.
Madrid, trânsito infernal. Numa ilha de cimento, rodeados por bólidos poluentes, Barbosa & Ricalde jogam damas, indiferentes às reclamações dos motoristas. Exatidão acontece através de um simples jogo de salão, suscitando reflexões inerentes ao seu posicionamento naquele contexto. As vias se tornam, metaforicamente, tabuleiros e os condutores peças a serem “comidas”. A intervenção navega por alguns dos imbróglios comuns nas configurações das cidades contemporâneas, associados à violência no trânsito. A escolha de um jogo conhecido por exigir calma e ponderação funciona como um contraponto preciso.
Rua Ferreira Borges, principal via de Coimbra. Barbosa & Ricalde jogam WAR com os filhos, alheios aos transeuntes intrigados com a cena inusitada. A proposta cumpre a sua função ao suscitar trocas e
conversas sobre conflitos armados contemporâneos, como a guerra da Ucrânia e o massacre do povo palestino.
Diversas outras ações ocorreram de 2000 a 2024. Trabalhos efêmeros, entrelaçados à arquitetura, em conversa com parques, à mercê dos olhares. Desvinculados dos espaços estabelecidos, sacralizados. É o caso dos dinossauros elaborados com brinquedos infláveis, intitulados *Jardins Móveis*, que nascem em 2007 na Cidade do México, “marcham” em 2016 para Lausanne (Suíça), deslocando-se, enfim, para algumas regiões do Brasil, sendo vistos por dezenas de milhares de pessoas. Chegam em 2024 ao Espírito Santo em franco processo mutacional, com o abandono das entranhas lúdico-infantis e surgimento de uma nova carcaça com folhagens do Parque Botânico Vale e da Reserva Natural Vale.
Felipe Barbosa e Rosana Ricalde, ao mesmo tempo que são parceiros de trabalho, casaram-se muito jovens. Tiveram dois filhos e um atelier no bairro de Santa Teresa. Em 2008 transferem-se para Rio das Ostras, cerca de 170 km da capital carioca, e erguem o Studio Barbosa & Ricalde, um edifício de 800 m², incluindo espaço privado, oficina, marcenaria, serralheria, galeria, dentre outros. Em 2019 seguem para Portugal, momento em que Felipe passa a cursar um doutorado em arte contemporânea no Colégio das Artes da Universidade de Coimbra.
Os dois possuem trajetórias individuais bem-sucedidas que seguem os ritos profissionais estabelecidos pelas artes visuais. Já realizaram dezenas de exposições no Brasil e no exterior, ganharam prêmios, tiveram livros publicados acerca de suas obras, pertenceram a galerias conceituadas, foram até, eles próprios, galeristas.
Aqui trataremos do entrelaçamento de dois corpos fusionados por uma cumplicidade que deságua humor fluido, inteligente, desconcertante. O interesse está nas interseções geradas a partir dos trabalhos executados pela dupla, pensados em múltiplas realidades espaciais-temporais, e também na vida em comum, no atelier compartilhado. Uma construção forjada a partir do encontro.
**Chegam em 2024 ao Espírito Santo em franco processo mutacional, com o abandono das entranhas lúdico-infantis e surgimento de uma nova carcaça com folhagens do Parque Botânico Vale e da Reserva Natural Vale.**
Felipe Barbosa — Quando pensamos um trabalho para o espaço público quase sempre ele está inserido em algum projeto e em um determinado lugar. Em geral, a obra idealizada é uma resposta a esse diálogo, acrescido de dois pontos de vistas diferentes. Na produção do ateliê, digamos assim, as obras são fruto de um contínuo de pesquisas, experiências, referências poéticas etc., ficando essa produção mais focada no universo de cada um (...) O que determina mesmo o resultado do projeto é o intenso diálogo que travamos durante a elaboração das ideias e a pesquisa de campo em si. Diversas possibilidades e abordagens são discutidas e refinadas até a execução da obra. Sabemos que um trabalho que é produzido para estar na rua sofrerá um enfrentamento muito maior, muitas leituras serão feitas, e isso gera diversas reações, reações imprevisíveis (...) Já realizamos trabalhos em circunstâncias variadas, com muita ou com praticamente nenhuma especificidade... Como o InSite 05, ou o Jogo da velha, em 2002, e também o Troca de cartões. O primeiro com recursos generosos e dentro de um contexto de importância mundial, que é a fronteira México/EUA que deveria ser abordado. Os seguintes sem um recurso expressivo e sem essa predeterminação de um assunto a ser abordado (...) Há ainda alguns trabalhos que, apesar de terem sido pensados para um determinado local, adquirem uma autonomia podendo ser instalados em outros contextos e estabelecendo novas leituras.
Rosana Ricalde — Já faz muito tempo que compartilhamos o ateliê; temos salas separadas, mas muitas áreas em comum. Ao longo de tanto tempo juntos, tanto no trabalho como na vida, é natural que olhando mais acuradamente, encontremos muitos pontos de contato em nossos trabalhos, afinal são muitas referências que acabam se tornando também comuns a ambos. Mas, apesar de toda proximidade, o processo de criação e método de trabalho de cada um é muito distinto, o que nos permite, acredito eu, trabalhar bem em dupla, já que temos esse caminho individual que permanece resguardado (...) Vejo que no trabalho que realizamos em dupla, sejam as intervenções urbanas, obras públicas ou até mesmo um pequeno número de objetos que realizamos ao longo dos anos, as conotações políticas ficam, sim, mais salientadas. Acredito que pelo fato de ser fruto de um pensamento conjunto e acontecer de maneira esporádica, esses projetos precisam ter os conceitos mais claros, abordando mais enfaticamente algumas questões. Questões essas, creio, que estejam presentes em nossa produção individual, mas de maneira mais diluída, menos visível diretamente (...) Acho que a sutileza é muito importante para tratar de alguns assuntos, sem ela, os resultados podem ser bem ruins. Essa abordagem pode aparecer de muitas maneiras, no nosso caso, lembrando de algumas intervenções que fizemos — Largo das Neves s/n, Hospitalidade, Muro de sabão, O mar, a escada e o homem, Changing the flow, Exatidão, Leveza, Visibilidade —, tratamos de assuntos espinhosos e urgentes, como moradia, imigração, favelização... de maneira que o público pudesse se envolver, digo que até com um certo humor.
f o l h e a r f a l i p o b u r b o s a e c o s m a r c a l d e
The film is a collaboration between two artists, one of whom is a woman and the other a man. They are sitting on a bench in a public space, engaged in conversation. The woman is wearing a white tank top and shorts, while the man is wearing a white t-shirt and glasses. The setting appears to be an urban environment with buildings in the background.
folhear
felipe barbosa e rosana ricalde
muro de sabão, 2000
Intervenção urbana da dupla em parceria com Andreia Di Bernardi
5 mil barras de sabão Rio fixados em estrutura de madeira
Santa Teresa, Rio de Janeiro
Prêmio Transurb de Interferências Urbanas
Comissão de seleção: Carlos Vergara, Fernando Cocchiarale e Ronaldo Rêgo Macedo
Construção de um muro com 5 mil barras do tradicional sabão Rio sobre o vazio deixado por um muro de tijolos em Santa Teresa, que ocultava da paisagem a comunidade da Coroa. A fábrica UFE, responsável pela produção do sabão, não só apoiou o projeto, cedendo gratuitamente as barras, como viabilizou a construção da estrutura para fixá-las.
o muro de sabão
Marisa Florido Cesar
Publicado originalmente no catálogo Felipe Barbosa 2006
Um muro com barras do sabão Rio, onde estão calcadas a imagem do Cristo Redentor e a palavra “Rio”, é construído no vazio deixado por um desabamento. Um jogo de tensões e substituições entre paisagem, lugar e memória, é ali estabelecido: onde havia um lugar, uma casa, abriu-se uma paisagem. Onde havia uma paisagem, fechou-se um muro. Onde havia um muro, a imagem e a palavra demarcadas no sabão devolvem a paisagem da cidade como signo. Onde havia um monumento como signo — e supondo sua lógica vinculada à memória e ao lugar —, o muro interdita o acesso, e a efemeridade do sabão devolve o esquecimento.
ensaboa, 2000
Vídeo VHS
8’42”
Comunidade da Coroa
Santa Teresa, Rio de Janeiro
Imagens: Arthur Leandro
O vídeo *Ensaboa*, realizado na Comunidade da Coroa, documentou a distribuição das barras de sabão Rio para os moradores do local.
A rua onde foi erguido o *Muro de Sabão* ficava próxima à comunidade da Coroa, em Santa Teresa, que apoiou a ação através da Associação de Moradores. No final do prazo de exibição da obra, a dupla doou as cinco mil barras de sabão para a comunidade, através de um evento que gerou o vídeo *Ensaboa*. O trabalho teve grande visibilidade, saindo na capa do Jornal do Brasil.
largo das neves s/n, 2000
Intervenção urbana
Casa construída com cimento, madeira e telhas usadas
Santa Teresa, Rio de Janeiro
II Prêmio de Interferências Urbanas
Comissão de seleção: Everardo Miranda, Glória Ferreira, Luiz Camilo Osório
Casa cortada à altura do telhado, construída de forma a ocupar todo o Largo da Neves, em Santa Teresa.
a casa enterrada
Marisa Florido Cesar
Publicado originalmente no catálogo Felipe Barbosa 2006
O caminhante distraído vê-se confrontado com algo que não está na ordem habitual de seu trânsito diário: uma casa enterrada em meio à praça pública, construída em relação à perspectiva visual da igreja. O estranhamento suscitado confunde as fronteiras entre casa e mundo, situa-a nas encruzilhadas, impregna-a de quietudes e embaraços. Público e íntimo, indiscriminados, forçam um olhar tão desconexo quanto desorientado, pois paralisam antigas dialéticas. A apreensão da cena insólita acontece em um lapso, numa consciência acionada por um olho que percebe algo deslocado, fora do lugar do costume.
Ora, a casa domesticava o tempo e o espaço nos ciclos das estações e das famílias, nas colheitas e nos costumes que se repetiam, na memória que se reescrevia a cada geração, em cada lugar, em cada nome. Mas a casa está perdida nas desterritorializações contemporâneas: o ciclo doméstico foi substituído pelas rotinas mecânicas e pelos transtornos do tempo e do espaço das novas tecnologias. Ou não, a casa sempre esteve perdida, agora sabemos: foi o sonho de um homem que almejava laços solidários entre ele e o mundo que ocupava. A casa enterrada é a casa impossível, inabitável, só existe como uma quimera.
A casa não é assombrada por fantasmas do passado. Exibe-se, ela mesma, como a assombração de uma presença que não pode
ser de outro modo que fantasmática. Afirmar a estranheza do recesso doméstico, todavia, desvendar suas ambivalências, é confidenciar um íntimo desejo do “estar-com”. Revisitar a *domus* e sua comunidade, fora de seu lugar de costume.
O estranhamento suscitado confunde as fronteiras entre casa e mundo, situa-a nas encruzilhadas, impregna-a de quietudes e embaraços.
A exposição *Vento Contentamento* apresentou diversas instalações da dupla, que trouxe ao espaço expositivo uma poética envolvendo a fusão de elementos associados à arquitetura, ao design e à natureza.
**objeto gerúndio**
*Guilherme Bueno*
*Texto originalmente publicado para o folder da exposição Vento contentamento, 2001*
*Parla!* Reza a lenda que Pigmalião, encantado com a perfeição atingida na estátua que fizera, após implorar, recebera o favor de Vênus, recebendo sua obra o cálido sopro de vida. A linha divisória entre a *ideação* e o *fato*, o *pensamento* e a *coisa*, se dissolvia no enrubescer do mármore e no seu arfar.
Os trabalhos de Felipe Barbosa e Rosana Ricalde dispensam os favores da deusa grega e preferem contornar esta dialética, optando em *continuar sendo*, ao invés de conformarem-se a uma corporeidade estática que, encerrada em si mesma, tão logo concluída passaria a existir como particípio plástico, poético.
Talvez um indício significativo desta intencionalidade por um presente constante seja extraída de testemunho dado pelo percurso dos trabalhos. Desde suas gêneses, iniciados no projeto, no *planejamento* como especulação sobre hipotéticos transbordamentos empíricos, assumem contornos a um só tempo coerentes com o momento inaugural da criação, como igualmente se legitimam por desrespeitar qualquer chance de reduzir-se à circunscrição formal.
Uma cama de casal semeada é algo em si tão inusitado que (in) seguramente pode significar ideias mil para além da desassociação entre forma, função e objeto. Mas também pode somente querer ser uma cama semeada e ponto, algo para o que não há razão de conceituar. Pois, descartada a possibilidade, ou melhor, a funcionalidade de deduzir um valor pragmático a partir desta conjunção, a necessidade explícita de um conceito tornar-se contradicação, uma vez perdida a essencial necessidade ontológica de seu valor de uso como escala de viabilizar em definitivo algo como uma coisa *em si*.
Qual questão se desenha, portanto? A “cama viva” acaba incorrendo no velho enclave arte/vida, sem renunciar — e aqui reside uma astúcia digna de menção — ao caráter de *coisa* detido/retido no objeto. Mudando o foco, vale dizer que o caráter mutável (mas não necessariamente — malgrado efetivamente), “crescente”, “evolutivo” permite a reinvenção permanente da obra, guardando consigo, todavia, seu calor próprio e o sopro vital do projeto como algo quase indicial, seu “código genético”.
*Ninho*, mesmo involuntariamente poderia ser tomado — até com uma certa ironia refinada — também como uma metáfora da vida. Um ovo repousa sobre um monte de pedras. Como não reportar a fragilidade de sua situação aos percalços da escalada da vida — o *Giant* de James Dean — ao vale das pedras a ser transposto? A própria diferença entre a sua natureza transitória e insegura (mas nem por isso menos positiva) e a dureza *final* e peremptória das pedras, somada aos seus próprios conteúdos “coextensivos” — assim como o ovo simbolizaria a vida, a pedra ocuparia o lugar da morte, como provam os fósseis — enuncia o aspecto tênue e breve da existência.
No entanto, a obra, se nos põe frente à clareza da dúvida, da indagação perfeitamente decomposta, mas nem por isto mais solúvel, é muito menos por uma submissão limítrofe a decodificações simbólicas do que por sua força interna e presença. A sensação de vitória fugaz do ovo sobre as pedras confere ao trabalho uma monumentalidade acima mesmo de suas modestas dimensões métricas, sequer anedóticas, mas por criar uma situação de tensão física entre os materiais empregados e uma de metáfora sobre a evidência de um tempo existente mas incomensurável, intelectualmente inapreensível.
Uma interrogação. E um paralogismo, pois o ovo não se escusa de permitir — caso queira — camuflar-se em meio aos seus falsamente análogos pares visuais — as pedras. Deter-se no olhar é uma atitude estratégica, caso contrário, ver distraidamente as pedras onde existe algo mais, algo de estranho, (renegando mesmo aquele conhecido prazer de descobrir detalhes significativos, porém discretos, em antigas obras) é aceitar de bom grado ludibriar-se pelos próprios sentidos e negligenciar nas artes visuais o que esta segunda palavra lhes garante: seu estatuto visual.
A “cama viva” acaba incorrendo no velho enclave arte/vida, sem renunciar — e aqui reside uma astúcia digna de menção — ao caráter de coisa detido/retido no objeto.
rapunzel, 2001
Intervenção urbana
Corda de sisal pintada
Escola CEAT
Santa Teresa, Rio de Janeiro
III Prêmio de Interferências Urbanas
Comissão de seleção: Ligia Canongia, Marcio Doctors e Lygia Pape
Trança de corda naval pintada de amarelo e amarrada com fitas, pendurada na torre da escola CEAT (Santa Teresa, Rio de Janeiro), réplica de um castelo italiano. Cria-se conexão entre a arquitetura da escola, sua grande torre e o imaginário infantil. A obra faz alusão ao conto “Rapunzel”, dos irmãos Grimm, no qual a princesa Rapunzel, trancafiada na torre pela Dama Gothel, deixava cair suas longas tranças pela janela da masmorra para que o príncipe enamorado pudesse subir e encontrá-la.
Propõe-se, junto aos alunos e alunas, um exercício imagético em torno da ideia da torre do castelo e da curiosidade que ela provoca.
jogo da velha, 2002
Video-performance
7', Mini DV
I Bienal Ceará América
Centro Dragão do Mar de Arte e Cultura
Fortaleza, Ceará
Curadoria: Jan Hoet e Phillipe Van Cauteren
Os artistas tinham uma participação individual na Bienal, mas como a curadoria conhecia a produção da dupla Barbosa & Ricalde, propôs que fosse pensada uma ação para a cidade. A ideia do Jogo da Velha ser jogado em um cruzamento surge levando-se em conta o trânsito caótico de Fortaleza e o clima de agressão gerado por esse trânsito. Trata-se de uma obra que aponta para o fato das cidades, cada vez mais, priorizarem o carro, a velocidade, o ritmo acelerado, onde as pessoas ou se adaptam ou são atropeladas pelo “progresso”. Segundo a dupla, “mesmo tendo predominantemente o stress como sentimento principal na realização do jogo, houve momentos engraçados onde transeuntes e motoristas curiosos, gritavam aflitos para que saíssemos rápido da frente dos carros que se aproximavam”.
o mar, a escada e o homem, 2002
Intervenção urbana
Impressão em cimento com molde de madeira
Escada que liga a rua Oriente à Cardeal Dom Sebastião Leme
Santa Teresa, Rio de Janeiro
IV Prêmio de Interferências Urbanas
Comissão de seleção: Davi Cury, Luciano Figueiredo e Júlio Castro
júlio castro
Coordenador do Prêmio Interferências Urbanas
A impressão em cimento do poema “O Mar, a Escada e o Homem”, de Augusto dos Anjos, foi realizada nos degraus da escadaria que liga a Rua do Oriente à Rua Cardeal Dom Sebastião Leme, em Santa Teresa. Essa área da cidade está construída nas montanhas, resultando em caminhos sinuosos, com subidas e descidas. O poema foi impresso de maneira que pudesse ser lido tanto por quem subia quanto por quem descia as escadas, encontrando-se na palavra “caos”, localizada exatamente no meio da escadaria.
A intervenção propunha uma leitura corporal do poema, que mudava conforme o ritmo do leitor ao subir ou descer a escadaria.
O Prêmio Interferências Urbanas ocorreu entre 2000 e 2002 na forma de edital aberto a artistas brasileiros para propostas subsidiadas de ações efêmeras no bairro de Santa Teresa (RJ). Como uma das ações do evento Arte de Portas Abertas, ocorreu em quatro edições que contaram com diferentes especialistas, convidados a cada vez pela nossa produção. Rosana e Felipe, como dupla propositora, tiveram seus projetos selecionados em todas as edições, o que demonstra a qualidade de suas propostas e a capacidade dos artistas na concretização. A pedido dos moradores, a intervenção *O Mar, a Escada e o Homem* foi o único projeto entre os 38 selecionados que se tornou permanente, pois houve um engajamento da comunidade próxima à escada que percebeu no trabalho dos artistas uma valorização do espaço de convivência.
O Homem: este animal orgulhoso e arrogante que um dia se pôs na vertical; que fez da realidade exterior um pálido espelho de sua consciência; que, sobre o caos, pretendeu cravar a máscara fixa do Verbo e da Ordem, com sua estranha matemática, com sua tola geografia, com a transparência reflexiva de seu Nome.
A Escada e o Mar: Mas conspiram, contra ele, a matemática e a geografia do verso: tramam as 90 palavras do poema, escritas e reescritas como no duplo do espelho, em cada um dos 180 degraus da Escada que une a Rua Progresso, no alto do morro, à Rua Cardeal, próxima ao Mar.
O Anúncio: Talvez confabulem pela voz do mais nobre de seus Anjos: - Não narrarás, não subjugarás o impensado, não conquistarás o universo, não alcançarás o (rua) Progresso, não realizarás, em tua ascendente e linear História, a tua Humanidade!
O Caos: No meio do percurso, no centro da escada, o Caos, por duas vezes, devolverá, ao prepotente animal, a deriva. Abrirá, pelo Nome decaído, seu abismo sem-limites: a constatação de que sua existência é esse traço irrisório entre as coisas e as palavras que passam. O Caos será destino e partida de toda ventura.
Barreira de pães, construída no centro de Belo Horizonte, obstruindo passagem/atalho entre duas ruas.
A paisagem foi a ficção de um mundo visto por um sujeito universal, que submeteu os horizontes a seu olho e sua medida. Que subjugou todos os desvios: os da carne, os do impensado, os do outro obscuro que erra à nossa volta, a um ponto de fuga referendado por seu olhar, na altura exata de sua contemplação. A paisagem se ancora nesse olhar, ordena os espaços e reúne, no horizonte, as dispersões de todos os lugares. Horizonte infinito da visualidade é o pouso das distâncias impalpáveis que apenas a visão toca. A paisagem é domínio do quase in-corpóreo. O horizonte para onde todos os lugares se dirigem e de onde todos os lugares extravasam.
Uma barreira de pães é erguida em uma passagem no centro de Belo Horizonte. Visibilidade não ultrapassa, todavia, a altura de 1,50m: se o olhar alcança a paisagem por sobre o muro, ao corpo é interditado o acesso. A algumas quadras, garrafas de água mineral cobrem toda a extensão do chafariz na fachada do Palácio das Artes. Leveza intitula a obra.
As garrafas, levadas na furtiva madrugada de sua instalação, são vendidas nas esquinas anônimas da cidade: a proximidade da galeria não intimida seu câmbio em mercadoria. Intocada, a barreira permanece por alguns dias até ser ingerida. O descomedimento da arte alimenta corpos famintos. Se para alguns é arte, para outros, apenas pão. Como então conceber a arte como o domínio exclusivo de um olho desencarnado, do universo da límpida Visibilidade? Como aceitar a fruição estética como um juízo autônomo, purificado e ascético em sua Leveza, dissociado das necessidades da existência, desvinculado de um corpo que tem fome e sede?
O descomedimento da arte alimenta corpos famintos. Se para alguns é arte, para outros, apenas pão.
Leveza, 2002
Intervenção no espelho d’água do Palácio das Artes
10 mil Garrafas Pet lacradas com água mineral
Belo Horizonte, Minas Gerais
Programa Rumos Visuais Itaú Cultural
Curadoria: Fernando Cocchiaraie
O espelho d’água do Palácio das Artes, espaço que abrigou a mostra coletiva com todos os artistas selecionados pelo Rumos Visuais 2002, foi esvaziado e preenchido por 10 mil garrafas de água mineral que, após a inauguração, puderam ser levadas pelos visitantes.
árvore ajudadas, 2002-2007
Fotografias
Série de fotografias de árvores ajudadas pela ação do homem.
Obra em processo contínuo, iniciada na Residência do Prêmio Rumos Visuais Itaú Cultural na Cité des Arts em Paris.
Embora o prêmio Rumos tenha sido ganho por Felipe Barbosa, os artistas seguiram juntos para participar da residência.
Árvores Ajudadas surgiu das deambulações da dupla em Paris, onde fotografaram plantas e árvores cercadas por grelhas de proteção para crescerem em segurança dentro de um espaço delimitado. O desejo de domesticação da natureza capturou o olhar dos artistas. Desde então, eles continuam fotografando essas situações em diversos lugares.
Essa série fotográfica foi apresentada pela primeira vez na Paralela da 28ª Bienal de arte de São Paulo, 2007.
in classificados, 2003
Jornal/exposição
Rio de Janeiro
Curadoria: Barbosa & Ricalde
O *In Classificados* era um jornal colaborativo onde artistas apresentavam seus trabalhos no formato dos antigos classificados dos jornais diários impressos. Além do jornal, o projeto se expandiu para uma ocupação no Espaço Bananeira, em Santa Teresa (RJ), e também itinerou por várias unidades do SESC no estado do Rio de Janeiro, onde os artistas utilizavam o jornal como matéria-prima para suas obras.
repentes visuais, 2003
Curadoria e produção: Barbosa & Ricalde
A mostra ocorreu no âmbito do evento Latinidades, onde diversas unidades do SESC-SP realizaram exposições com foco na palavra. A dupla foi convidada para ocupar um prédio recém adquirido pelo SESC-SP na Avenida 24 de Maio, que ainda seria reformado.
Além das obras da dupla, três outros artistas participaram: Marta Neves, Alexandre Vogler e Carlos Melo. Todos apresentaram instalações de grandes dimensões, tendo a palavra como matéria-prima.
exatidão, 2003
Ação urbana
Tabuleiro de jogo de damas, mesa
MAD-03 Centro Cultural Conde Duque
2º Encuentro de Arte Experimental de Madrid
Em uma pequena área no meio do trânsito de Madrid, instala-se uma mesa de jogo de damas, que fazia parte do mobiliário urbano, estando originalmente situada numa praça. A ação inicia-se quando a dupla desloca a mesa para um pequeno canteiro que separa as vias, iniciando uma partida de damas. Apropriam-se da área, impondo a presença humana onde o carro é protagonista. Concentram-se na partida em meio à violência do trânsito.
mínima galeria de arte, 2004
Rio de Janeiro
Exposição de fotos com projetos realizados pela dupla.
hospitalidad/hospitality, 2003-2005
Intervenção urbana
Pintura colorida sobre Puente México
Fronteira do México (Tijuana) e Estados Unidos (San Diego)
Projeto inSite_05
Curadoria Geral: Oswaldo Sanches, Tania Ragasol e Donna Conwell
O trabalho ocorre na fronteira entre o México (Tijuana) e os Estados Unidos (San Diego), começando dois anos antes de sua execução em 2005, quando a dupla se desloca para a região. Lá, eles exploram não apenas os aspectos geográficos, mas também se aprofundam em questões socioeconômicas que impactam as realidades envolvidas.
Após uma apresentação detalhada dos pontos de interesse tanto em Tijuana quanto em San Diego, a dupla dirige-se aos abrigos no lado mexicano, onde encontram pessoas que tentaram cruzar a fronteira para os EUA, mas foram impedidas pela intervenção da polícia americana. Nos abrigos, eles coletam uma série de nomes que servirão como base para o desenvolvimento do trabalho.
A população local que atravessa a ponte adere à proposta, fornecendo seus nomes para serem utilizados na obra. Com todos os nomes coletados, durante dois meses, eles são inseridos ao longo de toda a extensão da Puente México.
O fato da curadoria do inSite_05 ter solicitado diálogos diretos com grupos de interlocutores locais, fez com que a escolha para a realização da obra recaísse sobre a fronteira mexicana, uma vez que a ideia para a realização da mesma era de aprofundar o diálogo onde a divisa se fazia mais dramática: o(a) mexicano(a) ao atravessar para o lado americano, via de regra, fica em longas filas e é minuciosamente revistado(a). Enquanto o mesmo não acontece com o(a) americano(a) ao atravessar para o lado mexicano. A observação deste fato, envolvendo a questão da hospitalidade incondicional, expressa em acolher qualquer pessoa independentemente de se conhecer a sua origem familiar, desemboca na obra.
Lisandro Chávez atravessou os três mil, trezentos e cinquenta e sete quilômetros (ou 2086 milhas como preferem os estadunidenses), que separam a Cidade do México de Nova York, “enfiado em um lápis de alumínio a nove mil metros de altura e sem visível sustentação” (Fuentes, 1999, p. 157). Vinha passar o final de semana naquela que ostenta o título de “cidade de todos”. Vinha não como turista, mas “a negócios”, na condição de prestador de serviço, junto com outros trabalhadores mexicanos contratados para a limpeza de prédios comerciais da ilha de Manhattan. Lisandro Chávez e os outros mexicanos viriam da Cidade do México nas noites de sexta-feira e retornariam nas noites de domingo, depois de dois dias de trabalho.
Audrey caminhou de seu apartamento na Rua 67 até o edifício de escritórios da Park Avenue, no coração chique da cidade de Nova York. Queria aproveitar a manhã de sábado no escritório para colocar o serviço em dia: sem telefonemas, sem piadas, sem pressões; ela sozinha com seus pensamentos, concentrada em suas tarefas, longe do ex-marido que à noite inteira suplicou ser recebido em seu apartamento, suplicou ser recebido em seus braços. Agora ela estava no 40º andar do edifício, em seu escritório, sozinha, isolada do mundo... Talvez nem tanto.
De acordo com o aviso da administração do prédio, que fora esquecido por Audrey, ela não estaria sozinha; lá estariam Lisandro Chávez e seus compatriotas mexicanos com a incumbência de limpar os vidros daquela pirâmide de cristal. Um prédio onde tudo – tetos, paredes e pisos – é transparente, onde as pessoas parecem simplesmente flutuar, parecem levitar; como Lisandro, agarrado no andaime do 40o andar, imerso naquele mar de transparências, naquele mar sem fim. Os olhares de Lisandro e Audrey pressentem a presença do outro, em seguida se tocam, seus corpos se cumprimentam. Depois de um flerte meteórico, se aproximam: ela escreve com batom no vidro YERDUA, ele simplesmente NACIXEM. Ela não tem dúvidas em espelhar sua individualidade, um dos mitos mais caros à sociedade estadunidense – YERDUA/AUDREY –, enquanto Lisandro não se reconhece, não sabe o que faz tão longe de casa, tão longe de seus verdadeiros sonhos, identificando-se apenas como mexicano, um entre tantos que são impelidos por uma quase-indigência para situações indecorosas na economia estadunidense.
Audrey aproxima seus lábios do vidro, gesto que convida Lisandro a fazer o mesmo. “Os lábios se uniram através do vidro” (Fuentes, 1999, p. 176), através da fronteira de cristal. Quando Audrey abriu os olhos, ele – Lisandro – havia desaparecido; o encarregado mandara que se apressasse diante do que ainda teriam para cuidar.
Esses são os personagens centrais do formidável conto de Carlos Fuentes – A fronteira de cristal –, metáfora das ambiguidades que marcam o fascínio e a concomitante rejeição entre mexicanos e estadunidenses, uns sobre os outros, encantamento pelo que veem nos outros e sabem que não são, que se reconhecem incapazes de ser. Uma sedução que contracena com preconceitos que os antagonizam e apartam. Um conto que parece sinalizar para as realidades de cada
um desses países: Lisandro, um prestador de serviço que viajou três mil, trezentos e cinquenta e sete quilômetros para limpar vidraças em Manhattan; Audrey, “empenhada em achar um boa frase, atraiente, catchy, para um anúncio de televisão da Pepsi-Cola” (Fuentes, 1999, p. 172). Ele, um trabalhador pouco qualificado; ela, uma executiva que explora seu talento e seus melhores haveres intelectuais, sendo retribuída à altura. Ela a exportar criatividade e competência para o mundo, enquanto ele aluga seus braços para o irmão rico do norte, que lhe oferece 100 dólares pelo trabalho de um final de semana, algo inimaginável na realidade da economia mexicana.
São dois lados de uma fronteira mais do que multifacetada, de uma região que, entretanto, resiste em perceber a si mesma como binacional. Nessa fronteira se entrechocam imaginários, percepções de mundo, realidades. Ao sul, a enorme diversidade e riqueza de uma América Latina que peleja por se desvencilhar de séculos de exploração. Do lado de cima dessa linha muito mais que imaginária, o país mais rico do planeta, o mais poderoso e também o mais belicoso, capaz de utilizar sua impetuosa e impiedosa máquina de guerra em defesa de seus interesses políticos e comerciais, em defesa do interesse da nação que, como poucas, compreende que para defender seu bem-estar faz-se a guerra. Uma nação que, desde seus primórdios, foi constituída sob a égide do enfrentamento, de guerras e conquistas. Um país que, como o próprio México, se constituiu territorialmente através do enfrentamento com os nativos da América do Norte e que, por fim, se confrontaram em meados do século XIX. A partir da anexação do Texas à União estadunidense, e da recusa do México em aceitar aquela anexação, teve início uma das inúmeras guerras assimétricas da história dos Estados Unidos. Naquela ocasião, contra um México em fragorosa desvantagem militar, encerrada com a fatal e inevitável derrota mexicana, reconhecida no Tratado de Guadalupe-Hidalgo de 2 de fevereiro de 1848 que, como consequência, reduziu drasticamente o território mexicano: “quase todo o Texas, Novo México, Arizona, Califórnia, Nevada e Utah eram parte do México antes que o México os perdesse como resultado da Guerra de Independência do Texas em 1835-1836 e da Guerra México-Estados Unidos de 1846-1848” (Huntington, 2004, p. 33).
Mas a “fronteira de cristal” revela não apenas os personagens dessa realidade culturalmente rica, por vezes trágica, sombria e melancólica. Uma fronteira de cristal, de vidro, uma linha que insiste em ser linha nos mapas da geopolítica, que insiste em demarcar territórios de soberania, poder e exclusão, que parece empenhada em remover as possibilidades de integração, mantendo as partes sulcadas. Mas essa é uma linha que está longe de ser verdadeiramente uma linha; evidencia-se como uma linha que se alarga, que ganha territorialidade, que se estende por planícies e vales dos dois lados da fronteira. Embora se apresente como barreira com função específica, não impede que as partes se vejam, não obstrui a sedução entre os dois lados.
A sedução do olhar que vai longe, que atravessa as barreiras insensíveis da burocracia, do militarismo e da política, alargando a linha de fronteira que deixa de ser um fio no atlas de uma geografia dos velhos novos tempos para se transformar em região. Região de fronteira, domínio híbrido que se caracteriza pelo entrecruzamento de percepções de mundo calcadas em tradições distintas, pertencentes a tempos pretéritos que se manifestam em uma extraordinária produção de arte e cultura, que torna as regiões de fronteira em territórios de enorme riqueza cultural tanto por sua qualidade quanto por sua diversidade. Regiões que em nada refletem as restrições que lhes são impostas pelas políticas de controle, vigilância e exclusão.
Em um desses (re)cantos do mundo, um cenário privilegiado onde se tocam os extremos sudoeste dos Estados Unidos e noroeste dos Estados Unidos Mexicanos, e por extensão, da América Latina, tem servido como pano de fundo para uma produção de arte vigorosa que nas últimas décadas tem impregnado o cenário contemporâneo com o diálogo entre arte e política. Ainda nos anos 1980, David Avalos, Louis Hock, Deborah Small e Elizabeth Sisco, artistas radicados na cidade de San Diego, Estados Unidos, surpreenderam centros de arte de maior vigor e ressonância com uma produção de arte que articulava a percepção política dos meios econômicos daquela cidade fronteiriça do sul da Califórnia com a exploração da mão-de-obra não qualificada que vinha do sul da fronteira[1], do sul da “linha”, conforme a fronteira é conhecida na região. Nas décadas seguintes, esse mesmo cenário continuou a intrigar e provocar artistas de diferentes partes do mundo, convidados a desenvolver projetos de arte na região para mostra inSITE[2].
Alguns brasileiros estão entre os artistas seduzidos pelos desafios de buscar respostas para esse contexto altamente potente e instigante: Rosangela Rennó (1997), Maurício Dias e Walter Riedweg (2000), e Rosana Ricalde e Felipe Barbosa (2005), entre outros. Inegavelmente, esse canto/recanto do mundo tem podido nutrir a história da arte no domínio público com exemplos significativos de práticas artísticas, incrementando o debate e a reflexão crítica em torno da constituição de projetos de arte – sua amplitude e (im)potência – diante das complexidades das macroestruturas políticas.
Esses projetos de arte invariavelmente têm apontado para o reconhecimento da relevância da situação e dos contextos específicos,
o que tem informado a produção de arte no domínio público desde o final da década de 1980, quando a polêmica em torno da obra *Tilted Arc*, de Richard Serra, reorientou nossa percepção do binômio arte e espaço público. Desde então, as articulações da arte nos espaços urbanos têm apontado uma reorientação de maneira que “nosso entendimento de site mudasse de uma locação física, fixa, para algum lugar ou algo constituído através de processos sociais, econômicos, culturais e políticos” (Kwon, 2002, p. 10). Nesse contexto histórico, o glossário da arte foi inundado por novos termos e novas práticas que têm enfatizado os processos de interação comunitária, conhecidos como *community-based art projects*. No entanto, é necessário que, ao nos debruçarmos sobre esse encontro com as comunidades, evitemos as definições simplistas que se limitam a identificar “comunidade” através de colorações ideológicas, reduzindo-as a “grupos comunitários marginalizadas (servindo com o Terceiro Mundo dentro do Primeiro Mundo)” (Kwon, 2002, p. 139).
Esse cenário desafiador de imbricação e colaboração com as comunidades parece ganhar um componente de dramaticidade quando envolve artistas vindos de regiões distintas daquelas que circundam ou são circundadas por essas comunidades, apresentando-se em situações que lhes são altamente inusitadas. Esse é um fenômeno muito presente na contemporaneidade – sendo o insITE apenas mais um caso – em que os artistas percorrem o planeta atendendo a convites de museus e de bienais para que desenvolvam projetos para situações específicas. Nessas práticas, o artista viaja para prestar um serviço de arte, através da criação de um evento, uma performance, um projeto, eventualmente uma obra que poderá permanecer atada àquela realidade, como o projeto Hospitaliy/Hospitalidad de Felipe Barbosa e Rosana Ricalde, gravado/cravado na superfície e na memória da Puente México, Tijuana.
**hospitality/hospitalidad: arte: contexto: tijuana: felipe barbosa: rosana ricalde**
Em um processo de aparente dissensão consentida, o projeto de Felipe Barbosa e Rosana Ricalde se instaurou como contraponto aos principais fundamentos do *inSite_05*, calcado na ênfase no processo, com o inevitável desinteresse pela materialidade física dos projetos, em obras francamente orientadas para o evento. *Hospitality/Hospitalidad* pareceu instaurar o contraditório no universo do *inSite_05*, se articulando em um fluxo que, quando muito, tangenciava as induções curatoriais, parecendo antes reafirmar convicções dos autores a respeito da inserção de um projeto de arte no domínio público.
Articulando os conceitos de hospitalidade desenvolvidos por Jacques Derrida (2004) com manifestações de uma estética popular própria da cidade de Tijuana, os artistas cariocas Felipe Barbosa e Rosana Ricalde decidiram cobrir os aproximadamente 1.200 m² da Puente México, caminho de pedestres na travessia para os Estados Unidos passando pela turística Avenida Revolución, em Tijuana, com nomes dos passantes que abordavam os artistas e seus assistentes, solicitando a inclusão de seus *nombres* em uma lista que somou mais de 2.000 prenomes. Munidos de latas de tinta em cores vivas e assistidos por estudantes de faculdades de arte de Tijuana, além de dois profissionais rotulistas, Barbosa e Ricalde cobriram a superfície da ponte com nomes gravados com uma tipologia própria da região que, apesar da disponibilidade dos meios digitais, insiste em priorizar os recursos artesanais de profissionais habilidosos que “abrem” as letras na elaboração de peças publicitárias.
Segundo os artistas, com o projeto se buscava a deflagração de um sentimento de pertencimento, de maneira a carrear nos passantes um processo de identidade e de reflexão em relação àquela situação, de maneira que pudessem “olhar para aquele lugar e perceber que está mais bonito, que poderia estar mais limpo”[3] (Ricalde).
Com essa perspectiva, Felipe Barbosa e Rosana Ricalde se embrenharam por uma tradição de três ou quatro décadas de produção de arte nos espaços públicos, identificada com o processo de revitalização urbana e de construção de identidades, embora trilhando caminhos altamente enviesados. Em geral, a iniciativa desses processos cívicos é atribuída às administrações municipais, muitas vezes imbricadas com interesses imobiliários que, não raro, apontam para um processo de gentrificação (Deustche, 1996). Embora experiências semelhantes ainda não sejam muito comuns no Brasil, entre os casos clássicos na história da arte recente estariam a instalação da escultura de Pablo Picasso, *Untitled* (Chicago Picasso) no Centro Cívico de Chicago, Illinois (1967) e a de Alexander Calder, *La Grande Vitesse*, em Grand Rapids, Michigan (1969)[4].
O projeto de Barbosa e Ricalde em Tijuana, no entanto, parece inverter a lógica dessa tradição, configurando-se como um processo que, partindo dos próprios criadores, tem como destinação os passantes anônimos daquela ponte naquela cidade mexicana, em uma contribuição singela, sem arroubos utópicos, altamente dessemelhante dos grandes investimentos e metas pecuniárias envolvidos nos processos de revitalização dos espaços urbanos degradados.
Enquanto inúmeros projetos do *inSite_05*, orientados para o evento, recorriam à produção e/ou documentação em vídeo como estratégia para que se evitasse sua completa desaparição, *Hospitality/Hospitalidad* se dirigia, em oposição, para a afirmação irretorquível de sua presença, através do gigantismo, e de sua relativa permanência: aproximadamente 1.200 m² de um mosaico multicolorido que poderia ser escaneado das alturas pelas lentes hiperbólicas dos satélites na órbita do planeta. Nas palavras de Rosana Ricalde, o projeto *Hospitality/Hospitalidad* é “justamente o oposto de um evento, porque ele é algo que praticamente jamais teria um fim”, até porque, “por uma questão de responsabilidade, não queríamos torrar 20 mil dólares em um evento” (Barbosa).
Também no plano das colaborações, Felipe Barbosa e Rosana Ricalde parecem ter se distanciado léguas do modelo implementado pela curadoria do *inSite_05*, no qual os artistas desenvolveram seus projetos no entrelaçamento com o cotidiano de diferentes micro-comunidades da região, pequenos enclaves no mundo. Nada mais distante de *Hospitality/Hospitalidad* em sua perspectiva de se abrir para o mundo, articulando-se como uma comunidade altamente inespecífica, “não-essencialista”: os caminhantes (e os “paradores” – policiais, pedintes, vendedores ambulantes, comerciantes do entorno, entre outros) da Puente México. Nesse processo, a própria colaboração com o Grupo Beta e com a Casa de la Madre Asunta[5], responsáveis pelo encaminhamento de listas iniciais com nomes de imigrantes, acabou sendo dispensada pelos artistas, que privilegiaram o contato mais direto com os passantes. Nem mesmo o relacionamento dos artistas com os rotulistas e com os estudantes ultrapassaria os limites bem definidos de auxílio no processo de produção, contemplando apenas pequenas decisões pontuais que não interfeririam no desenvolvimento da obra nem comprometeriam o projeto original dos artistas.
Além disso, o nível de colaboração com a “comunidade” da ponte, uma comunidade improvável caracterizada pelo que os diferencia diante da total ausência de uma identidade comum – e cujas inespecificidade e flutuação não impediram “que nos tornássemos conhecidos, que alguns nos chamassem pelo nome” (Barbosa) – não pode ser entendido como algo que fosse além de uma interação de baixíssima intensidade, muito distante de uma colaboração que aponte para um processo de coautoria, como tem sido sugerido em inúmeros processos/projetos de arte na contemporaneidade.
Enquanto a interação entre artistas e comunidade ficava resumida a uns poucos segundos de contato mediado por canetas e um caderno amarfanhado pelo manuseio de mais de 2.000 pares de mãos, o mesmo não pode ser dito no que se estabeleceu entre os passantes.
que tiveram seus nomes gravados no piso da ponte em relação à obra Hospitality/Hospitalidad. Neste caso, independentemente de qualquer compreensão que viessem a ter dos significados e implicações do projeto de Barbosa e Ricalde, e mesmo que o nome pintado no piso da ponte não fosse propriamente o seu, eventualmente tomado emprestado a outrem, a um homônimo, instaurou-se um sentimento de reconhecimento, identificação e pertencimento na construção de uma comunidade, por certo extremamente precária, que teve na obra de Barbosa e Ricalde seu único ponto de coesão.
Diferentemente do que em geral acontece nos projetos de arte articulados em colaboração com as comunidades, nos quais os artistas assumem a posição de pivô na mediação, em *Hospitality/Hospitalidad* os artistas pareciam “condenados” a uma lateralidade e mesmo à desaparição, pelo menos na fase de sobrevida do projeto, para muito além do término da mostra e do retorno dos artistas ao Brasil. Nessa fase de apagamento progressivo pela ação do tempo e pelo desgaste causado pelo fluxo permanente e intenso de pedestres entre Estados Unidos e México, persistiria essa identidade entre o caminhante e a obra, articulada em um plano de autonomia que dispensaria, sem cerimônia alguma, qualquer referência aos artistas-criadores.
Interessante também notar a interação que se deu com os vendedores ambulantes, normalmente abrigados do sol poderoso e perigoso nas sombras das rampas de acesso à ponte, e de cuja atividade os artistas capturaram o interesse por essa cultura dos prenomes: “logo um dos vendedores de pulseiras já estava ali do lado [havia instalado seu tabuleiro junto ao projeto de Felipe Barbosa e Rosana Ricalde], fazendo quase que uma *museum store* do trabalho; e é lógico que a gente sugou também deles. Porque em Tijuana os nomes aparecem nas pulseiras, mas têm também anéis com nome, chaves com nome, nomes em arroz; tem nome em tudo!” (Barbosa).
Entretanto, nenhum contexto ou situação poderia ser mais adequado e mais preciso para a instalação de um projeto de arte fundado em incisões do nome próprio, ao qual é consignado tanto significado, do que esse cenário mais que singular e simbólico – uma ponte na fronteira – que responde por um único nome, a um só tempo simples, vigoroso e contundente: México.
referências
DERRIDA, Jacques. *Anne Dufourmantelle convida Jacques Derrida para falar da Hospitalidade*. Trad. Antonio Romane. São Paulo: Editora Escuta, 2004.
DEUSTCHE, Rosalyn. *Evictions: Art and Spacial Politics*. Cambridge, Mass.: The MIT Press, 1996.
FUENTES, Carlos. *A fronteira de cristal*. In: FUENTES, Carlos. *A fronteira de cristal*. Trad. Mauro Gama. Rio de Janeiro: Rocco, 1999.
HUNTINGTON, Samuel P. *The Hispanic Challenge*. Foreign Policy, n. 141, p. 30-45, mar./abr. 2004.
KWON, Miwon. *One Place After Another: Site-Specific Art and Locational Identity*. Cambridge, Mass.: The MIT Press, 2002.
PINCUS, Robert L. *The Invisible Town Square: Artists’ Collaborations and Media Dramas in America’s Biggest Border Town*. In: FELSHIN, Nina. *But Is It Art? The Spirit of Art as Activism*. Seattle, Wash.: Bay Press, 1995, pp. 31-49.
[1] Esses artistas conseguiram repercussão nacional (nos Estados Unidos) no início de 1988, ao instalarem pôsteres em espaços alugados no lado externo de 100 ônibus da cidade de San Diego, denunciando a forma ambígua como a municipalidade se relaciona com os imigrantes não-documentados. A obra/ação dos artistas se estendeu por todo o mês de janeiro daquele ano. O pôster rememorava o *slogan* da cidade que se autodenomina “America’s Finest”, ao que os artistas acrescentaram “Tourist Plantation”. A respeito, ver PINCUS, 1995.
[2] Em 2005, o inSITE, mostra de arte no domínio público, realizou sua quinta edição, sendo as anteriores nos anos 1992, 1994, 1997 e 2000.
[3] Em entrevista concedida por Felipe Barbosa e Rosana Ricalde ao autor no Centro Cultural Tijuana (CECUT), cidade de Tijuana, na tarde do dia 24 de agosto de 2005. Outras referências a esta entrevista serão inseridas no texto simplesmente com o uso de aspas, acrescidas do nome do artista – Barbosa ou Ricalde – entre parêntesis.
[4] Uma extensa bibliografia tem sido produzida em torno dessas duas obras e de suas implicações no cenário urbano, e pode ser consultada a partir dos livros de Tom FINKELPEARL, *Dialogues in Public Art* (Cambridge, Mass.: The MIT Press, 2001. 453p.), Miwon KWON, *One Place After Another: Site-Specific Art and Locational Identity* (Cambridge, Mass.: The MIT Press, 2002. 218p.) e Harriet F. SENIE e Sally WEBSTER (eds.), *Critical Issues in Public Art* (Washington e Londres: Smithsonian Institution Press, 1998. 315p.).
[5] Grupos de assistência e apoio aos imigrantes não-documentados na região de fronteira.
changing the flow, 2005
Intervenção urbana
Garrafas de água mineral, engradado
Estação de trem da cidade de Rotterdam, Holanda
Bienal de Arquitetura de Rotterdam
Curadoria: Daniela Labra E Mirta Delmare
O trabalho envolve a distribuição gratuita de garrafas de água mineral, cada uma adesivada com um desenho explicativo da proposta, na movimentada estação de trem da cidade de Rotterdam, na Holanda.
Ao distribuir garrafas de água mineral em uma estação de trem, a dupla buscou simbolicamente retirar o excesso de água dos Países Baixos através dos corpos dos viajantes, promovendo poeticamente o deslocamento das águas. O recorte curatorial propõe um debate sobre as inundações nos Países Baixos.
cambiando el curso de las aguas, 2006
Poesia visual
Vinil recortado
Buenos Aires. Centro Cultural de España
Curadoria: Esteban Alvarez
Proposta poética para redistribuir água pelo mundo, irrigando áreas desérticas com água retirada de regiões onde há excesso, utilizando grandes aquedutos.
troca de cartões, 2006
Intervenção urbana
Centro Cultural Banco do Nordeste
Fortaleza, Ceará
Ação realizada no centro de Fortaleza (Ceará), onde os pedestres eram convidados a fornecer seus dados profissionais para serem incluídos em cartões de visita. Cada cartão continha informações impressas na frente e no verso, sempre apresentando os serviços de dois profissionais com alguma correlação entre eles.
Esses conjuntos de cartões eram distribuídos aos profissionais que forneceram seus dados, permitindo-lhes divulgar seus serviços (em uma época anterior às redes sociais). Cada cartão continha, no verso, informações sobre o serviço de outro profissional, promovendo a criação de uma rede e a ampliação de contatos.
jardines móviles, 2007
Intervenção urbana / 6 esculturas
Animais construídos com brinquedos infláveis de plástico sobre estrutura de metal
Casa del Lago, Juan Jose Arreola - UNAM (Universidad Autónoma de México), Cidade do México
Curadoria: Iania Rágasol
jardins móveis
um exercício de fantasia no bosque de chapultepec
Curadora: Tania Ragasol
Texto originalmente publicado no catálogo Jardines Móbiles, 2007
“A ideia do parque sempre está por reinventar-se. Como você sabe, o que se chama desconstrução é uma forma de não se apegar à tradição alguma... Não sei muito bem o que é um parque. O que é um parque? Uma cidade? Não se trata de questões filosóficas abstratas. Falar de um parque urbano é ainda mais problemático. Pediria para voltar a revisar tudo.
Jacques Derrida em entrevista a Hélène Viale, 1988
natureza domesticada
Para poder desenvolver sua proposta de intervenção nas imediações da Casa del Lago, em junho de 2007, Felipe Barbosa e Rosana Ricalde fizeram uma primeira viagem de investigação à Cidade do México. Durante sua estada, visitaram em diversas ocasiões o Bosque de Chapultepec, fazendo longos passeios por suas distintas áreas.
Se individualmente têm uma obra mais focada no objeto (no caso dele) e no uso da palavra (no caso dela), como dupla desenvolvem projetos que buscam estabelecer diálogos com entornos urbanos específicos. Seus trabalhos em conjunto descobrem o equilíbrio entre os jogos geométricos de Barbosa, ao usar objetos preexistentes para criar outros novos, e a metáfora poética presente na obra de Ricalde. O desenvolvimento de suas propostas envolve a participação consciente ou inadvertida do público, ao intervir diretamente nos fluxos ou nas dinâmicas sociais da área em que trabalham. Ao propiciar “situações de encontro” singulares e inovadoras em paragens de uso cotidiano, alteram a percepção espaciotemporal de contextos determinados. Sem nenhuma ideia preconcebida, estudam a zona de ação dispostos a “fazer da cidade um campo de possibilidades de onde tudo pode ser extraído”.
Jardins Móveis surge do interesse dos artistas pela estreita relação existente entre a economia informal (móvel) de produtos internacionais e o espaço de ócio e lazer próprio dos parques (jardins). Nas distintas épocas da história da humanidade, a arquitetura e a jardinagem complementaram-se para criar ambientes espaciais que proporcionassem ao ser humano lugares adequados ao deleite e ao relaxamento. Esses momentos de passatempo costumam ser acompanhados por uma crescente necessidade de consumo ante a variada e sempre apelativa oferta de novidades, que encontra quem está de passagem em seu caminho. Para Barbosa e Ricalde, os parques nas grandes cidades são “espaços artificiais que permanecem como uma memória inventada do que esse lugar era antes da cidade ser instaurada”. O Bosque de Chapultepec e os jardins da Casa del Lago não são exceção. É aí, na ideia de artificialidade reunida à ideia de consumo, que adquire sentido a escolha dos recursos com que os artistas desenvolveram sua proposta de intervenção.
ars topiaria ambulante
Ars topiaria — Técnica de poda de arbustos que imita figuras geométricas ou zoomórficas. Característica do jardim romano, recuperada na Idade média e usada de modo exuberante nos jardins italianos do século XV e nos holandeses do XVII. Atualmente acompanha, especialmente com formas geométricas, jardins de concepção arquitetônica).
Durante uma segunda viagem à Cidade do México em agosto de 2007, Barbosa e Ricalde deram início à fase de produção de seu projeto. Para isso reuniram centenas de brinquedos infláveis de cor verde (como os que são vendidos pelos ambulantes aos visitantes do Bosque de Chapultepec). Como em projetos anteriores, os artistas se apropriaram de elementos presentes no cotidiano urbano para reagrupá-los e recontextualizá-los, dando forma a algo maior que permite tratar de uma situação específica. Com os infláveis amalgamados entre si sobre
estruturas metálicas, construíram à maneira de quebra-cabeças — manualmente, porém com elementos produzidos industrialmente, em massa — “arbustos” ou pequenas “árvores de plástico” com silhuetas zoomórficas. Assim geraram uma espécie de “bosque encantado” na Casa del Lago: um novo lugar de experiência em um entorno cotidiano para os visitantes assíduos, seguindo as formas da jardinagem clássica, porém com elementos tomados do contexto comercial do parque. A poda/topiaria de arbustos está presente e dispersa em algumas áreas de Chapultepec, sendo pouco notada pelos visitantes. Jardins Móveis a resgata de algum modo e a recria com materiais fabricados, aludindo à própria artificialidade da poda figurativa e propondo uma relação distinta e distante da transação de compra e venda — entre a oferta comercial e os visitantes de Chapultepec.
Esse “bosque encantado” alude a temas como a globalização do mercado e a produção em massa; a relação de compra e venda, que ocupa já um lugar de “naturalidade” na dinâmica do lazer, e a artificialidade dos jardins. Sem dúvida, ao fazer uso dos produtos comerciais presentes no parque e relacioná-los com a vegetação do mesmo, Barbosa e Ricalde também propiciam as circunstâncias para que a fantasia possa ter lugar. A experiência urbana é ativada com a participação do visitante através do encontro divertido com a surpresa em seu passeio cotidiano. Agora cabe à imaginação de quem as encontra em seu caminho localizar essas figuras em uma narrativa própria. Vivendo uma experiência distinta de um local outras vezes transitado de maneira habitual, sem reparar no trajeto.
Em 2008, Felipe Barbosa e Rosana Ricalde, sentindo a necessidade de ampliar seu local de trabalho devido às demandas crescentes e específicas de suas produções artísticas, compraram uma casa com terreno em Rio das Ostras, na Região dos Lagos (RJ). Foi ali que começaram a construir o Studio Barbosa & Ricalde.
A construção do edifício de 800 m² levou aproximadamente quinze meses e foi realizada de forma contínua, mesmo sem um projeto predefinido. As diversas salas, incluindo oficina, marcenaria, arquivo, reserva técnica, galeria, serralheria, entre outras, foram sendo construídas para atender às demandas do trabalho individual de cada artista. Grandes áreas comuns foram projetadas para suportar tanto a produção individual quanto a da dupla.
O período de construção também serviu para que discutissem e refletissem sobre o que era importante para eles em relação ao espaço do ateliê, em suas diversas facetas. A construção do estúdio constituiu-se em uma experiência semelhante ao processo de elaboração de uma obra de arte pública em parceria.
um mundo para habitar
Os ateliês de Felipe Barbosa e Rosana Ricalde
Luciano Vinhosa - 2011. Publicado originalmente na Revista Conceito A
Alguns artistas, trabalhando apenas com imagens, reduzem o ateliê a um espaço no HD e a outras tantas horas em ilhas de edição. Outros, idealistas, acreditam que ele tende a ocupar lugar apenas na massa cinzenta uma vez que a arte é antes resolvida na mente do artista; os espaços físicos, podendo ser aqui ou alhures, se prestam apenas para a materialização das ideias. Existem ainda os mais céticos que, apostando em um fazer nômade que responde a demandas pontuais com ações muitas vezes efêmeras – tanto em sítios como em grupos sociais específicos –, acreditam que o sedentarismo, que caracterizou o ateliê tradicional, não se aplica e nem se justifica mais. Se arte é cosa mentale, como reivindicou Leonardo, nem por isso está separada de uma operacionalidade. É justamente no momento em que corpo e espírito se mostram em continuidade, sem rupturas ou contradição, que o fazer artístico revela sua forma singular de realizar um mundo.
A consciência de que a obra do artista moderno, distanciando-se da eficácia do métier, é um corpus de sentido, constituindo-se como universo ético-estético singular, a coloca diante de um horizonte de realizações diferente das do passado. Todavia, se a lógica da obra de arte contemporânea afasta-se sobremaneira daquela da de Leonardo, justifica-se mesmo assim a permanência do ateliê nos dias de hoje. É neste sentido que, como espaço de trabalho, o ateliê reuni e ainda hoje as condições necessárias ao desenvolvimento profissional.
Interessei-me pelo trabalho de Felipe e Rosana quando ainda eram aspirantes a artistas e ocupavam um andar de uma velha casa em Niterói. Desde aquela época, guiados por um profissionalismo obstinado, mantinham seus ateliês, embora dividindo o mesmo espaço físico, individualizados pelo modo produtivo de cada um. Pude observar a melhora dos espaços de trabalho a medida que
a carreira dos dois se alavancava. Hoje mantém juntos um grande espaço em Rio de Ostras, pensado e realizado com a finalidade de atender as necessidades tanto física como as de ordem psicológica, e uma sucursal no Rio de Janeiro funcionando mais como reserva técnica e base operacional para receber visitas de curadores, críticos e colecionadores. O ateliê de Rio das Ostras, obedecendo às exigências de produção, além de generosas salas com abundante iluminação, pé direito duplo, mobiliário de apoio, equipamentos e ferramentas, conta com espaços de uso comum destinados à reserva técnica, um outro para a biblioteca reunindo mais de seis mil títulos, em sua maioria livros com ricas ilustrações, e, finalmente, uma sala com mapotecas, estantes e vitrines que se prestam à conservação e à documentação de toda obra já realizada, além de acondicionar uma coleção de arte.
Em conversa com os artistas, pude instruir-me sobre o modo como trabalham individualmente e da importância de manterem os ateliês pessoais em espaços mais ou menos separados. A obra de Felipe, caracterizada pela extroversão e relação direta que mantém com as experiências cotidianas, se reflete na forma como o artista organiza o espaço de seu ateliê. Por toda parte vê-se coleções de objetos industriais que, a qualquer momento, poderão ser apropriados para compor um trabalho. Tampinhas de garrafas, montes de palitos de fósforos, pequenas maquetes e protótipos ainda em processo encontram-se espalhados nas mesas. Muitos trabalhos ou série deles já solucionados e realizados estão dispostos nas paredes de modo que se possa ter um bom ângulo de observação dos mesmos. Felipe alega que o lugar preferencial para seus insights criativos é a biblioteca, onde pode se isolar a todo tempo e a qualquer hora, consultar e se inspirar de seu banco de imagens, fazer seus rascunhos e viajar nas idéias. Daí parte para os modelos, construções de maquetes que facilitam a visualização, correção, aperfeiçoamento que garantem controle técnico na execução, minimizam a margem de erros e garantem padrão de qualidade artística. Dominada todas as etapas do processo, solucionado os problemas estéticos, pode, finalmente, delegar a execução das peças definitivas aos assistentes.
O trabalho de Rosana, ao contrário do de Felipe, caracteriza-se por uma maior introversão e diálogo interior. Embora se aproprie de formas ready-made como as de labirintos, arabescos, cartas geográficas que podem ser encontradas nos livros, a artista investe seu conteúdo de fluidas imagens mentais. Por esta razão, talvez, considere seu trabalho mais conceitual que impactante visualmente, exigindo do público um tempo de espera e contemplação prolongados. Fazendo uso do desenho e da caligrafia, muitas vezes a realização de suas peças dependem imensamente da mão da artista para atingir o padrão de qualidade exigido. O trabalho tendo uma motivação interior, vê-se em seu ateliê poucos objetos mundanos, apenas alguns livros que utiliza como material plástico, estiletes, tesouras, vidros de cola.
Mas, para além de refúgio poético para a criação, o ateliê é um lugar de gerenciamento permanente da carreira e, sob esse aspecto, não difere de outras iniciativas profissionais. Nele coordena-se equipes de assistentes, administra-se pessoal de apoio, recebe-se visitas de agentes da arte, divulga-se a obra e lhe dá vulto. Como nos ateliês pré-modernos, os atuais são também lugar de formação. No caso do de Felipe e Rosana este ciclo se fecha com a recente iniciativa de abrirem uma galeria, Cosmocopa, cujo elenco de artista é quase todo composto por ex-assistentes. Talvez, a aptidão para a administração somada ao talento artístico explique porque alguns artistas têm suas carreiras alavancadas ao passo que outros permanecem amadores.
De imediato, os trabalhos “públicos” de Rosana Ricalde e Felipe Barbosa colocam um problema: qual é o lugar da arte? Esta pergunta não deve ser entendida restritivamente, isto é, a arte não se deposita seja lá onde for, mas, a um só tempo, engendra e resulta de uma série de relações que a definem produtivamente.
A questão acima pode ser respondida da seguinte forma, ainda que precipitada: o lugar da arte é a cidade. Neste caso, não só a pensando como suporte — ainda que, no caso destes trabalhos, este seja um dado decisivamente relevante —, mas historicamente ela seria o seu local por excelência, seja vinculada a uma perspectiva civilizatória, seja como a possibilidade do momento da experiência desinteressada, reciprocidade assentada no fundamento da ação construtiva como materialização da “contemplação produtiva” e/ou organização de um princípio cognitivo. Todavia esta afirmação ainda não garante um ponto de estabilidade. Não existe em definitivo “a” cidade. Existem os paradigmas, os marcos e encruzilhadas: a Florença de Brunelleschi, Paris de 1789, da comuna de 1871, de 1968, a Nova York de Fitzgerald e da era do jazz, dos anos 40 e 50, de 2001, Brasília, a Ville Radieuse de Le Corbusier, a cidade dos futuristas. A quantidade de exemplos é infinidável.
À cidade como suporte, a experiência contemporânea adiciona significado problematizando o modo como ela é vivida. Ocorre o extravasamento de uma determinada prática moderna, não somente aquela circunscrita à noção da especialização do meio, mas ainda a da síntese (ou, em contrapartida, dissolução) entre as artes, prevista seja nos sistemas construtivistas, seja nas ações dadaístas. Há nisto um movimento duplo, marcado inicialmente pela imersão no objeto expandido: em lugar da antítese entre sujeito e objeto, entre entidades complementares, porém inconciliáveis, a cidade é tomada como “obra”,
permitindo-se o trânsito entre a continência dos limites pessoais e a exterioridade em relação ao seu “outro”.
As intervenções de Ricalde & Barbosa já aportam em si dois elementos que parecem absorvidos da cidade: o “anonymato” e a “surpresa”. Por “anonymato” entenda-se o surgimento de um trabalho que não é um produto nem individual nem divisível, mas uma confluência (em vez de simples somatório) de experiências. Convergência e expansão. Se o trabalho “coletivo” já estava previsto nas antigas oficinas de corporação ou nas equipes de “associados” dos projetos modernos, há contudo uma diferença fundamental: enquanto nos primeiros casos ocorre a adição de saberes técnicos especializados e partilhados, no caso de Ricalde & Barbosa, em se tratando mais da proposição de situações do que da construção de objetos, elas se organizam segundo a possibilidade de expansões poéticas. Ou seja, é o trabalho de um “terceiro autor”, estabelecido conforme uma lógica que incorpora elementos de seus respectivos interesses individuais e gera outros tantos novos e comuns a partir daquilo a que ele objetivamente se oferece para enfrentar.
Existe ainda uma outra espécie de “anonymato” ou despersonalização ou, melhor, repersonalização, a constituição de um novo sujeito que não se limita a ser o indivíduo, aquela que considera a concepção do trabalho além de sua materialização, fazendo-o realizar-se mediante sua sobrevivência no mundo, isto é, submetida a tudo aquilo que não se pode seguramente prever. Deste modo, se ele se imiscui na cidade, infiltra-se em meio à massa dos prédios ou em um detalhe arquitetônico, ele acaba deixando, neste exato momento, de — paradoxalmente — ser apenas mais um pedestre e atravessa a cidade como um dandy, uma voluntária invenção poética que vive e se afirma a partir de seu antipoda, um mundo integral e intencionalmente cinzento e anestésico, e faz do inusitado uma ocasião de redescoberta e maravilhamento, um maravilhamento dinâmico, ressalte-se, dir-se-ia mesmo de reconstrução poética do sujeito.
As poéticas ali inseridas guardam consigo, por vezes, a efemeridade e transitoriedade do ritmo dos negócios, das pequenas descobertas, dos inusitados acidentes poéticos, tais como aqueles já prenunciados por Baudelaire e pelo dandismo no século XIX. Por outro lado, estas ações de algum modo são objetos-dandy, situações-dandy, na medida em que reivindicam uma experiência estética resolutamente oposta ao comodismo burguês, à regularidade da ação previamente eficiente e produtiva, mas também por serem, tais como aquelas personalidades do século XIX, existentes conforme a adoção de uma prática comportamental deliberadamente urbana e antipragmática. Elas pressupõem mais do que a redescoberta, a reinvenção, a refundação da cidade como experiência qualitativa de uma consciência amoral.
Assim como não há “o” autor privilegiado para “a” cidade ideal, igualmente não existe — ao menos desde o cubismo — o ponto de vista correto, exclusivo, pois a cidade, como um organismo, vive enquanto
seus fluxos estão ativos, enquanto não há o repouso absoluto e inação (morte). Basta ter em mente alguns dos trabalhos da “dupla”: o espelho d’água do Palácio das Artes (Belo Horizonte, MG) é substituído pelo seu preenchimento com garrafas de água mineral, que, por sua vez, só podem ser vistas no momento em que se percorre a rampa de acesso ao edifício. Em primeiro lugar, nota-se a substituição do sujeito estático, do espectador imóvel, pois o trabalho requer (e aqui seria válido remeter-se, a título de comparação, à cidade de Rodchenko, do Moholy-Nagy, de Mendelsohn, de Umbo, dentre outros) deste sujeito tanto o movimento quanto, em consequência, a mudança de seu ponto de vista garantido, contemplativo, na verdade ideal e fictício. Contudo, para além disso, não é somente esta transposição de dispositivos visuais que constitui a sensibilidade do embate com a cidade com a qual se lida. Há um processo de transbordamento de metáforas cotidianas inerentes à sua circulação, como o vendedor da rua, o resguardar do valor (tal como a garrafa envasilha a água e, protegendo-a do mundo, a transforma em valor, o museu o faz com a obra) e assim por diante.
Em dois trabalhos mais recentes, o primeiro executado em Fortaleza e o segundo em Madrid, depara-se com um outro viés de suas investigadas. No caso daquele realizado no Ceará, consistia na disputa de um jogo-da-velha em pleno cruzamento de duas ruas, enquanto o outro, na Espanha, em uma partida de damas em uma pequena praça/ilhota que separava duas pistas paralelas. Nestas duas ocasiões não se explora somente o inusitado do fato que, como se pode imaginar, escapa à mentalidade executiva reguladora do deslocamento, do tráfego, em uma palavra, da cidade. Recusa-se o cotidiano usufruto imediatamente aplicado e justificável do espaço, havendo aí a escolha do preciso local, o ponto único em que se reconhecem pequenos interstícios de vivência “móvel”, errática, não fixa, voláteis na macrovisão da cidade.
Colocando o problema de outro modo, estas incursões contém a descoberta de outras surpresas que não seus marcos ou personagens,
mas o fato dela requerer para sua sobrevivência a determinação de non-sites, de pontos cegos, de que sua ordem se assegura na pontuação de pequenos momentos caóticos. Não se trata de congestionamentos, enchentes ou qualquer catástrofe assimilada, e sim de zonas de perplexidade, de indefinição racionalizada, nas quais — caso fosse possível parar nelas — serviriam para se fazer absolutamente nada.
Curiosamente, porém, através deste dispositivo de jogo pelo qual se exponencia a tensão inerente ao valor utilitário e ao emprego da malha urbana, os projetos de Ricalde & Barbosa atingem a raiz de uma série de coordenadas presentes desde a fundação da cidade industrial e ainda hoje emblemáticas, acomodadas confortavelmente na construção de nosso imaginário urbano, tal como, a título de exemplo, a implantação das áreas de lazer, os parques de diversão, em resumo, mecanismos “civilizados” de extravasamento e momentânea compensação idílica.
Aquilo que faz estes trabalhos provocativos é a contrariedade a investir-se de uma finalidade urbanística “aceitável”, tampouco seu oferecimento como instante de distensão lúdica, apaziguadora. Uma provocação, entretanto, que não se consome na automortificação niilista, mas na ironia espontânea de uma piada popular ou de uma lenda urbana, enfim, possuidores de uma vitalidade aberta e positiva frente ao mundo. Nem anedotário espetacular, nem complexo de impossibilidade e fatalismo. Em se tratando de jogos — e já que nos remetemos ao cotejo com a modernidade, de jogos schillerianos —, cuja imprevisibilidade dos resultados se sobrepõe à circunscrição delimitadora das regras, faz emergir estratégias e resultados de um desconcerto instigante, radicalmente desafiador e — por que não? — inovador.
cosmocopa, 2010-2013
Entre 2010 e 2013, Felipe Barbosa e Rosana Ricalde, junto a outro sócio, geriram uma galeria localizada no Shopping dos Antiquários em Copacabana. Sua intenção era promover a produção artística com base na experiência como artistas, focando menos nas questões de mercado. A Cosmocopa representava 15 artistas, realizando exposições mensais, participando de feiras de arte, organizando projetos de produção de obras múltiplas e publicando uma coleção de livros e fanzines.
Pintura Descolada foi uma resposta ao convite para ocupar uma das salas do antigo Palácio Pombal, em Lisboa, onde estava sediado desde 2009 o Projeto Carpe Diem Arte e Pesquisa, idealizado por Paulo Reis, Rachel Korman e Lourenço Egreja. Entre muitas belas salas, a escolhida pela dupla tinha o teto ornamentado com estuque e pintura, em contraste com um desgastado piso de madeira.
Eles interferiram na sala utilizando apenas os elementos já presentes: madeira e desenho. Com uma lixadeira elétrica, reproduziram no piso o desenho do teto, como se este projetasse uma grande sombra sobre a madeira. A força exercida pela lixa revelou diferentes tons na madeira, criando um efeito único.
jardins móveis, 2016
Intervenção urbana / 10 esculturas
Animais construídos com brinquedos infláveis de plástico sobre estrutura de metal
Cap Sur Rio – The Olympic Museum
Lausanne, Suíça
Curadoria: Leon Kaz
jardins móveis, 2017
Intervenção urbana
21 esculturas
Animais construídos com brinquedos infláveis de plástico sobre estrutura de metal
Museu Vale
Vila Velha, Espírito Santo
A convite do diretor do museu, Ronaldo Barbosa, o projeto foi realizado em uma nova escala. Pela primeira vez, todas as peças foram apresentadas na parte externa do museu. A exposição atingiu um público recorde, com 98 mil visitantes durante sua exibição.
168
“(...) As obras, esqueletos metálicos expostos nos jardins do Museu Vale e recobertos por infláveis em formato de bichos dos mais variados, remete-nos à ideia de memória, uma tentativa de reconstrução de algo que não mais existe, um contraponto entre natural e o antinatural, uma crítica e a proposta de reflexão, quase encoberta pelo apelo visual das esculturas, sobre a artificialidade, o efêmero e a transformação do essencial em descartável, uma constante na sociedade moderna.
Esta também é a primeira exposição de arte contemporânea que circula entre os espaços culturais da Vale. Esse intercâmbio tem como objetivo fortalecer a atuação em rede desses equipamentos, localizados em quatro estados do país, e contribuir para a ampliação do acesso à cultura e para a valorização do patrimônio cultural brasileiro. No mês de outubro a mostra será levada ao Memorial Minas Gerais Vale em Belo Horizonte, e exibida no entorno da Praça da Liberdade, forte núcleo cultural da cidade (...).”
170
A gigantesca escultura de pato, feita com mais de 10 mil brinquedos, é uma das atrações da festa. A obra é do artista plástico e designer de interiores Marcelo Pacheco, que também criou o desenho do mascote da festa, o Pato Folha.
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folhear
felipe barbosa e rosana ricade
**jardins móveis, 2019**
Intervenção urbana / 18 esculturas
Animais construídos com brinquedos infláveis de plástico sobre estrutura de metal e painel em grande escala (640x220 cm)
Centro Cultural Teatro Usiminas, Ipatinga
Animais construídos com brinquedos infláveis. Foi exibido, também, um painel em grande escala (640x220 cm) com os infláveis de outras apresentações.
pedras quebram vidraças, 2022
Folhas do livro Memórias do Exílio com pedras e pintura sobre vidro
232 Celsius coletivo Pescada #5
Coimbra Editora
Coimbra, Portugal
Partindo do tema proposto pela organização do evento, “232 Celsius - Fahrenheit 451” (a temperatura de ignição do papel e título de uma distopia de Ray Bradbury, em que todos os livros foram banidos), e considerando o local de realização — a antiga editora na cidade de Coimbra —, a dupla apresentou a seguinte proposta: desfolhar o livro Memórias do Exílio (de Pedro Celso Uchôa Cavalcanti e Jovelino Ramos, Editora Arcádia, 1976), que narra histórias de exilados políticos durante a ditadura brasileira de 1964. Sobre cada testemunho do livro foi colocada uma pedra. A fileira de páginas foi disposta sob um teto de vidro, que já mostrava sinais de pedras atiradas, com a frase que intitula o trabalho pintada em preto.
vestígios de estranha civilização, 2023
Instalação
O Sal que não Salga – Pescada #6
Manutenção Militar Coimbra
Coimbra, Portugal
Em visita ao prédio da antiga Manutenção Militar, onde ocorreria a mostra, a dupla encontrou muitas garrafas quebradas, aparentemente atiradas por transeuntes. Isso lhes pareceu sintomático da relação entre esse espaço, que ocupa um lugar importante na baixa cidadina, e a vizinhança. Como em suas últimas propostas de intervenção e ação urbanas, decidiram trabalhar com os elementos encontrados no local, percebendo os fluxos e as interações do entorno sobre esses espaços. Recriaram, em um canto externo do prédio, um piso onde o mosaico é composto por cacos de vidro coloridos, com um desenho inspirado nas ruínas de Conímbriga.
jardins móveis, 2024
Intervenção urbana / 14 esculturas
Animais construídos com brinquedos infláveis sobre estrutura de metal
Sesc Verão Macaé
Macaé, Rio de Janeiro
Ação urbana realizada em uma das principais ruas da cidade de Coimbra, Portugal, onde a dupla instala uma mesa com um tabuleiro do jogo War no meio da via, participando de uma partida com os filhos e convidados por cerca de uma hora.
A ação acontece no âmbito do Anozero Ágora, projeto associado à Bienal de arte contemporânea de Coimbra, com o objetivo de estabelecer um vínculo mais efetivo com a cidade. Sendo a proposta curatorial para a primeira edição do projeto focada na escolha de artistas e coletivos residentes em Coimbra com repertórios experimentais expressos através de linguagens que se encontram nas fronteiras de outras expressões artísticas.
No quarto dia do Anozero Ágora, na Ferreira Borges, rua mais movimentada de Coimbra, algo inusitado aconteceu.
Os artistas visuais Rosana Ricalde e Felipe Barbosa, montaram, em frente ao Edifício Chiado, em meio à tarde fria, um tabuleiro do jogo de guerra War, muito popular nas décadas de 70 e 80, quando famílias se reuniam, cada qual com suas estratégias, para conseguir mais territórios e vencer.
O jogo, perverso em seus objetivos, banaliza as máquinas de destruição protagonizadas pelas grandes potências e, muitas vezes, desperta nos participantes sentimentos mesquinhos: poder, ambição, excessiva competitividade.
Assemelha-se à obra Exatidão, apresentada em Madrid (2003), quando Barbosa e Ricalde jogam damas em uma “ilha” de concreto no meio do trânsito, alheios ao caos reinante.
Na Ferreira Borges não havia competição, apenas a poética do movimento e a invisibilidade. Empate.
“A gente decidiu trazer essa ideia do jogo de guerra pra dentro da cidade, porque é um pouco o que acontece; as pessoas estão vivendo as suas vidas, focadas nas suas necessidades, na sua sobrevivência, enquanto guerras estão acontecendo, enquanto territórios estão sendo disputados, enquanto vidas estão sendo descartadas. No final, somos instrumentalizados para que senhores da guerra atinjam seus objetivos de conquista, na maior parte do tempo sem ao menos nos darmos conta de quão manipulados somos em prol do grande capital”. (Rosana Ricalde — Entrevista em vídeo para o curador).
“A escolha do lugar, também um lugar muito movimentado... seria uma ação não necessariamente performática. A gente também quer refletir sobre como a guerra, de alguma maneira, é um jogo e é ignorada pelo consumo. Vamos atuar numa das ruas de comércio da cidade. Então o trabalho é também uma crítica de como as guerras são invisibilizadas no cotidiano da vida”. (Felipe Barbosa — Entrevista em vídeo para o curador).
apesar de vocês, 2024
Ação urbana
Livros de exaltação a sistemas ditatoriais triturados
Rua Visconde da Luz, 23
Coimbra, Portugal
Anozero Ágora, Liberdade e Fantasia - Segunda edição
Curadoria: Nelson Ricardo Martins
Livros que exaltam regimes ditatoriais ou que retratam figuras proeminentes desses regimes são recortados em tiras e assim jogadas pela janela localizada na parte de cima de uma casa localizada na rua Visconde Luz, evocando-se os festejos de final de ano, quando, nos bairros comerciais das principais cidades brasileiras, documentos são triturados e lançados dos prédios, em alusão ao descarte do que passou e à esperança de um novo tempo.
A ação acontece no âmbito do projeto Anozero Ágora - Liberdade e Fantasia, durante a quinta edição do Anozero Bienal de Coimbra, cuja temática, intitulada “O fantasma da Liberdade”, exalta os 50 anos do 25 de abril, quando Portugal voltou a ser um país democrático, após 48 anos de ditadura salazarista (1926 - 1974).
O recorte curatorial prioriza repertórios que se encontram à margem, priorizando obras de mulheres, imigrantes, quilombolas, artistas populares, negros, comunidade LGBTQIA+ e povos originários. Durante seis dias foram exibidas uma série de performances, ações urbanas, site specific, videoinstalações, palestras e vídeos, em uma casa situada no bairro histórico da cidade e ruas próximas.
“Nesse momento da comemoração dos cinquenta anos do 25 de abril, abordamos a questão dos livros que sempre são muito atacados durante as ditaduras. Estamos vivendo um momento mundial de ascensão da extrema direita, onde o ensino, as universidades e muitos livros estão sendo censurados. No Brasil vimos isso acontecer no governo anterior... Os livros estão sendo interpretados de maneira equivocada, inventam mentiras para disseminar o ódio. Como a proposta do evento era enfatizar a liberdade, nós quisemos, com o trabalho, fazer uma
comemoração à resistência do desejo de ser livre, a partir de uma lembrança do que acontece no Brasil no fim do ano, que é os escritórios jogarem pelas janelas, no dia 31 de janeiro, os documentos triturados, como uma forma de encerramento. Pensando nisso, a gente triturou vários livros que reforçam a ideia de ditadura, exaltam assuntos que fortalecem a repressão, a ideia de família e religião como instrumentos de repressão, que não passam de manuais, elaborados por homens brancos de como manter o povo reprimido e a seu serviço. Trituramos esses livros para fazer uma espécie de expurgo, transformando instrumentos de repressão em confete e serpentina, assim esses livros tristes servem em forma de papel triturado para trazer alguma alegria” (Rosana Ricalde em depoimento para Nelson Ricardo Martins em vídeo antes do início da ação).
english version
art and nature
a poetic of the transitory
Vale Cultural Institute
Transform, move, observe. These are verbs that drive us to tackle life. In the poetic and material meeting place between contemporary art and the diversity of ecosystems, one can discern the mutable beauty of the different worlds that surround us. This shift of the curious gaze towards the magical impermanence of things brings us Folhear. A Vale Museu endeavor, part of its Beyond Walls programming, the exhibition opens in Espírito Santo in partnership with the Vale Natural Reserve and the Vale Botanical Park, venues which will welcome the works.
The artist couple Felipe Barbosa and Rosana Ricalde, with curatorship by Ronaldo Barbosa, challenge themselves to use organic materials originating from the flora of these two important Atlantic Rainforest conservation sites to structure the creation of an immense fantastical being in the shape of a large sculptures. A being that coexists with time and nature, almost as a single entity, viscerally experiencing the transformations that make up life.
The show seeks to contribute to raising awareness of and appreciation for the environment through contemporary art, art education, and environmental education. The connection between the spaces can be seen through different points of view, whether symbolic or concrete, bridging distances. This journey leads us through the roots that teach us the importance of preservation, harmony, and the infinite possibilities for connection.
Beyond the works, the Museu Vale’s educational programme relies on the presence of artist-educator Janaina Melo, who heads the training of school teachers working in the Vitória metropolitan area, aiming to expand the perspectives around art inside the classroom. Janaina brings to this endeavor her experience in developing educational and cultural programmes in the Museu de Arte da Pampulha (Belo Horizonte); Instituto Inhotim (Brumadinho); Museu de Arte do Rio - MAR (Rio de Janeiro), where she was responsible for managing the Escola do Olhar; and the Fundação Municipal de Belo Horizonte, where she is currently the Director of Museums.
Alongside the exhibitions, as part of its Beyond Walls activities, Museu Vale proceeds with its educative and cultural actions through different partnerships - in public schools, squares, and cultural venues, besides diverse - and free of charge - events hosted by the Botanical Park and the Natural Reserve throughout the year.
These actions are linked to the Instituto Cultural Vale as, since 2020, it has carried out, articulated, or sponsored over 800 cultural initiatives in Brazil. In Espírito Santo, the Instituto also embraces culture in all its diversity: from the Programa Vale Música, that offers music classes for children and youngsters, to the Festa da Penha, which includes film, music, and dance festivals, audiovisual training, among other dozens of actions.
The initiatives are plural but share a single purpose: to create opportunities for the transformation of life through culture. Thus, it is our hope that, as each visitor experiences this exhibition, which will be open to the public from June to September of 2024, they find themselves immersed in the fantastical world of art, nature, and imagination.
leafing nature
Ronaldo Barbosa
Curatorship
Felipe Barbosa and Rosana Ricalde are an artist couple from Rio de Janeiro who create projects in partnership since 2000, when they received the Prêmio Interferências Urbanas grant for their Muro de Sabão project in the Santa Teresa neighbourhood of Rio de Janeiro. Since then, they have transcended their individual careers and partnered in experimenting with their ideas in the fields of public and urban art, as with their work Hospitalidade, which questions notions of belonging and identity building in societies forged amidst antagonistic
relationships. This work was carried out as part of the *InSite_05* project (2003-2005) at the border between Tijuana, in Mexico, and San Diego, in the US.
Since college, where they met, they've built successful solo careers, taking part in biennials, group and solo shows in Brazil and abroad. Both graduated from the Rio de Janeiro School of Fine Arts. Her, in Printmaking in 1996 and, he, in Painting, in 2002.
Since 2019 they have lived and worked in Coimbra, Portugal. However, they maintain an active studio in the town of Rio das Ostras, state of Rio de Janeiro.
The exhibition *Jardins Móveis* was presented at the Museu Vale of Vila Velha (Espírito Santo) in 2017. Originally conceived in 2007, in Mexico City, it gave new meaning to elements found in the urban space as they became the materials for their art, grouping together the inflatable toys sold by street vendors to form large sculptures, taking viewers from fantasy to the symbolic.
*Jardins Móveis* was inspired by topiary, in Latin *topiarus*, the art of adorning gardens. An old pruning technique applied to trees and shrubs that shapes them into geometric, figurative or abstract forms, found in English, Italian, and, most frequently, French parks.
The idea of art in another context and space brings forth a reflection about site specific works in urban areas, where the artist presents his work while it dialogues with the territory and its surroundings.
This particular branch of contemporary art is frequently carried out in enclosed settings, but *Jardins Móveis* moved through other environments, such as the Olympic Museum of Lausanne, in Switzerland, in 2016, the Memorial Minas Gerais Vale, in Belo Horizonte (Minas Gerais), in 2018, and the SESC Verão 2004 event, at Praia dos Cavaleiros beach in Macaé, Rio de Janeiro.
Presently, the Barbosa & Ricalde duo present a new, intricate work for the Museu Vale’s *Extramuros* project, taking it, simultaneously, to the Vale Botanical Park, in Vitória (Espírito Santo), and to the Vale Natural Reserve, in Linhares (Espírito Santo), one of the best preserved conservation areas in South America.
Through visits to the Park and the Reserve, research in their laboratories, collections, and library, the artists now present a new exhibition featuring large format sculptures. Produced by metalworkers, engineers, and specialized technicians, the work emerges from within the forest as a structure of iron and wires shaped into a calculated and thought-out mesh covered by hundreds of leaves and twigs. FOLHEAR, to cover with leaves, “the rains covered nature with leaves”, dives into the symbolic universe and that of imagination. The tail of a large beast appears vigorous, dressed in leafage that was manually and carefully laid out in a process of intuitive choices, in which artistic sensitivity trumps the techniques of construction. Named “vegetal skin” by Barbosa & Ricalde, this “being” of unknown origin and denomination comes as a huge surprise.
At the same time, it becomes part of the landscape as if it belonged to that place. Time’s presence is subjective and material in the leafage that was used and resignified. The artists breathe life, through texture and shape, into a new element of the landscape that possesses a life of its own, in the skin of this large and mysterious beast.
Ephemeral, organic art that mimics the environment and transforms over time. A creation on par with nature and its power. The materials, chosen by the duo’s attentive and unique point of view, give reason to welcome their open-air creations with awe and curiosity, always bringing a new outlook to elements of daily life. Art behaves in a playful and poetic manner, filled with meanings, causing us to reflect about the respect one should have for nature and its preservation, instigating the viewer to create their own fantasy and interpretation, and allowing for an interesting aesthetic experience.
Felipe and Rosana Ricalde’s public artworks always arise from an adherence to the place they propose to occupy: it has been that way since their first interventions in the early decades of the 2000’s when they, in one instance, took advantage of the yellow box junction markings of a busy road to carry out a game of tic-tac-toe during traffic interruptions rhythmically orchestrated by traffic lights, using, as a board, the grid painted onto the tarmac. An unlikely and unusual audience of halted and curious drivers tuned in to the childhood game and to the possibility for other uses presented by the artists. At other times, understandings about these places elicit responses ranging from critical and sympathetic feelings to the sharing of a playful atmosphere that could, occasionally, sprout amid the urban jungle. This first instance was witnessed during the proposal carried out as a part of the *In-Site* project, at the border between Mexico and the USA, the frontier between Tijuana and San Diego. In collaboration with locals whose relatives lived across both sides of the boarder, and from careful observation of the frontier marketplaces – filled with handmade bracelets carrying given names -, the artist duo covered the walkway that connects both cities with names of loved ones who might now be out of reach (besides the names of those who, perhaps, simply wished to leave their mark), bringing them together through this letter/ remembrance of sorts, which reunited them and created a new portrayal of the frontier and its dwellers, nations, dramas, affections, and dreams. The second example travels in the opposite direction: the frontier is a threshold territory and a chance for exchanges, hybridization, connection, and encounters. In the case of their 2017 *Jardins Móveis*, both artists created a provisory “sculpture park” at Praça da Liberdade, in Belo Horizonte, Minas Gerais. Once the seat of the state’s political power, the Praça da Liberdade carries all the features of an authoritative space, with its edges occupied by offices, the government palace, and taking on a monumental scale for those who approach them from the center of the square. However, throughout the course of the city’s history, it became a place of conviviality for its inhabitants: on the weekends, families from different corners of the city are drawn to it; students, dance groups, and street performers; tourists, homeless people; pensioners, amateur athletes, engaged couples preparing their wedding photo albums. There, the artist duo installed a small zoo of animals built from familiar kid’s pool floats, with their typical stylized animal shapes. This choice highlights its very reason for being: the work disguises itself amidst the similar balloons sold by street vendors, the promenade’s mosaic colored by their flashy color scheme of cotton-candy clouds and ice-cream cones. Unlike a statue, or the bust of a political figure, mostly portraying white men, Barbosa and Ricalde’s proposal seeps into the rhythm and the sociability of Praça, into the curiosity of those who bounce on the trampolines and dive into the ball pits (and those who watch over them), the passerby and the bus passenger who come across something that is familiar to them, but at the same time catches their eye because it was not there before – as one would expect from the daily life of a special feature.
The current proposal for the Vale Natural Reserve in Linhares (Espírito Santo), and the Vale Botanical Park, in Vitória (Espírito Santo), addresses this very relationship with the site, but does it through a different lens: it recognizes
that as the project enters a huge area of preserved Atlantic rainforest and a park that is open to the public and provides countless activities, it establishes itself within a biome that encompasses local species, environmental preservation, education and research programs, besides fortuitous leisure experiences, sought with recreational, educational, cultural, scientific and ecological goals. These different experiences, uses, and perceptions need to be considered when dealing with a space shared by so many. In that sense, we could look at the duo’s sculptures as a creation born under special circumstances. Building the partially visible shapes of imaginary beings and covered by palm leaves, the works invite us into a universe of fables. The palm tree, a botanical species that abounds along latitudes below the Equatorial line – South America, Africa, South Asia, and Oceania -, shapes the general tropical imaginary and typification. Revered by German naturalist Alexander Von Humboldt as a “tree of life” due to its versatile roles and uses, the palm tree is nourishment, habitation, and a guiding reference point. Its wide geographical distribution, ranging from the coast to the continent, makes it a fixture of the tropical way of life, with striking ritual and symbolic uses by traditional communities such as indigenous peoples, river-dwelling and backcountry communities, and quilombolas\(^2\).
The plant is also revered in poetry, music, literature – considering the *Buriti* (Moriche Palm) as depicted by the Minas Gerais-born author João Guimarães Rosa –, with streets, products and places named after it. For months, with the assistance of the Reserve’s staff, the artists gathered leaves from countless species in their place of work and created a metal structure that seemed to sprout from the earth like a large imaginary being covered with palm trees. Conceived in conjunction with issues pertaining to the respect for habitats and its biomes, the work invites us to create playful and critical interactions that are also behind our relationship with nature. The imaginary awakened by this installation also brings proximity to fables spun during childhood. It’s an invitation to discover, in these palm-clad shapes, extraordinary beings – necks or tentacles – that inhabit these lands, seas, and forests. The work invites us to revisit the contemporary concerns surrounding site specific works, stemming from Land Art, and the reexamining of the crafts of those who visit or work there, such as gardeners, caretakers, researchers, and other professionals who coexist and care daily for the preservation of this extraordinary biome, tending to the vegetation, its cultivation and watering. They are the ones who see, in this intriguing *fauna made from flora*, not only sculptures that follow nature’s rhythm, with their recompositing and adaptation cycles, but also this “shaping of” – the shaping given to sculptures, the shaping given to imaginary animals – which they deal with in their efforts to preserve botanical species.
In this powerful junction between Botanical Garden, Ecological Park, Amusement Park, Plaza, nature and city, Felipe Barbosa and Rosana Ricalde’s installation invites visitors to dialog with issues that are dear to their works, such as the cross over with nature and the possibility to create stories, welcoming and belonging, shape that is born from assembly, the relationship with space, and art as a situation and a kindling for meetings.
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\(^2\) Inhabitants of settlements originally established by escaped enslaved people.
The Aprendiz Program, Vale Museum’s longest-running educational initiative, created in 2005, is established as a course in exhibition production and set up designed for the theoretical and practical training of young people from the Vitória metropolitan region in Espírito Santo. During the course, participants undergo extensive theoretical training with acknowledged professionals in the field, technical visits, and immersion in exhibition set up.
Always aligned with the museum’s exhibitions, for *Folhear*, by the artist duo Felipe Barbosa and Rosana Ricalde, curated by Ronaldo Barbosa, the program dove into different disciplines and perspectives related to art, culture, sustainability, and the environment.
The contents were imparted by facilitators from various fields: Nicolas Soares, artist and diretor of the MAES – Museu de Arte do Espírito Santo, delivered contents pertaining to the themes of *Art, Spaces, and Museum*; Lucas Pignaton, lawyer and researcher in the field of Right to the City and Access to Culture, introduced reflections on *Occupying the Urban Space with Art and Culture*; the course on *Curatorship and Art* was taught by Clara Pignaton, architect, artist, and proponent of collective cultural projects; Elsimar Rosindo Torres, artist and professor, in partnership with SENAC-ES, facilitated exchanges on the topic of *Preparing Exhibition Spaces*; and, lastly, art-educator and researcher Karenn Amorim, responsible for coordinating the 2024 installment of the program, talked to the students about the subject of *Exhibitions and Education: spaces, mediation, and audiences*.
In addition to theoretical classes, students visited the Vale Natural Reserve, in Linhares, exploring the trail, the sensory garden, and the *Palmeto*, a living collection of palm trees found in there. These experiences, combined with the Vale Botanical Park’s atmosphere, provided a broader understanding of nature preservation, expanding their knowledge about scientific research and biodiversity.
Finishing the course, the youths participated in discussions with the exhibition’s curator, Ronaldo Barbosa, and artist Felipe Barbosa, leading to reflections on contemporary art, which enriched the artistic understanding of the participants.
Since it was founded, the Vale Museum’s Aprendiz Program has trained more than 150 individuals. The program offers not only training, but a scholarship, transportation assistance, meals, and a certificate endorsed by SENAC-ES, committed to the democratizing access to culture and knowledge.
the work on the street: exercise in expanded expression
Nelson Ricardo Martins
This chronology seeks not to reduce Barbosa & Ricalde’s duo path to a monotonous succession of events, adding, besides required descriptions of actions performed, critical texts, fragments from interviews of the artists themselves, alongside a plethora of images. It would be pointless to journey down the smooth trail of a simple narrative as we are dealing with a cross-sectional repertoire, marked by complex questions, throughout which the urban environment is the preferred medium.
It is, then, in the city, beyond well-mannered architectural structures, where an uneasy match against chaos I played, a poetic struggle defined by audio-visual spasms, in the stiffness of concrete. The city transfigures itself into an expanded field of experimentation, unravelling situations riddled with sociopolitical themes.
In Casa Enterrada and Muro de Sabão, works that were carried out in the Santa Teresa neighborhood of Rio de Janeiro, dystopian landscapes subvert the geometry of what is deemed plausible.
At the center of Largo das Neves, an uninhabitable residence emerges from the asphalt. Paralyzed, inaccessible, it seems to observe, with irony, the baffled passers-by. Half-real, it exists only in fantasy. One cannot enter or abandon it, only long to do so. Just as a chicken endlessly twirling inside a rotisserie oven, or the powerful Nike that reigns supreme across the white feet of bourgeois boys.
A wall with no function hovers near the abyss, in the precariousness of its fleeting existence. The unsound structure, made from bars of soap, cannot protect us from stray bullets, but as it replaces another wall, which was torn down, it prevents us from seeing the Coroa slums, with its precarious houses, crammed inhabitants - a true visual cacophony.
These productions, through strangeness, unveil two issues that most greatly concern poorer Brazilians: lack of housing and safety. They reveal the vulnerability of the Brazilian social fabric, rooted on extreme paradigms of social inequity.
In the center of Belo Horizonte, Minas Gerais state, the wall turns into a barrier that uses bread as a metaphoric element of containment. It is reminiscing of hunger, a tragedy imposed upon a significant part of the world’s population, segregated by systems of repression. Visibilidade is a work that highlights the contradiction between abundance and want, confronting the brutal realities of exclusion.
Carried out in the USA-Mexico border, Hospitalidad materializes itself through given names painted onto the pavement of the Mexican side of the border, spawning a new skin, forged by intolerance. Those are the people prevented from crossing into America. Rejected, treated as waste, “trampled upon”.
Madrid, hellish traffic. On a cement island, surrounded by polluting motors, Barbosa & Ricalde play a game of checkers, unmoved by the drivers’ complaints. Exatidão happens through a simple board game, eliciting considerations inherent to its placement within that context. The roadways metaphorically become boards, and the conductors are pieces to be “captured”. The intervention navigates through entanglements commonly found within the lay-out of contemporary cities, linked to traffic violence. The choice of a game known to require calm and consideration works as a precise counterpoint.
Rua Ferreira Borges, Coimbra’s main road. Barbosa & Ricalde play War\(^1\) with their children, aloof to passers-by who are intrigued by the unusual scene. The proposal fulfills its role as it elicits exchanges and conversations about contemporary armed conflicts, such as the war in Ukraine and the massacre of Palestinians.
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\(^1\) TN – Brazilian boardgame, very similar to RISK.
Many other actions were carried out between 2000 and 2024. Ephemeral pieces, intertwined with architecture, conversations on parks, exposed to glances. Untied to conventional, enshrined spaces. Such is the case of the dinosaurs built from inflatable toys, titled *Jardins Móveis*, that were born in Mexico City, in 2007, and “marched” onto Lausanne (Switzerland) in 2016, finally moving to some regions of Brazil, having been seen by thousands of people. Now, in 2024, they arrive in Espirito Santo, in an openly mutational process, abandoning their playful-childlike entrails and emerging in the Vale Botanical Park and the Vale Natural Reserve with a new shell of leaves.
Felipe Barbosa and Rosana Ricalde are work partners, but they also married while very young, sharing two children and a studio in the Santa Teresa neighborhood. In 2008, they transferred to Rio das Ostras, about 43 miles away from Rio de Janeiro’s state capital, erecting the Barbosa & Ricalde Studio, an 8,611 square feet building that includes a workshop, a woodworking shop, metalworks, gallery, among others. In 2019 they moved to Portugal, and it was then Felipe joined the Contemporary Art PhD program at Coimbra University’s Arts College.
Both have successful individual careers, following the career path rituals established within the Visual Arts. With dozens of exhibitions in Brazil and abroad, they have received prizes, had books about their works published, joined the cast of prestigious galleries and, at some point, were even gallerists themselves.
Herein we’ll be addressing the interweaving of two bodies merged by a complicity with outpourings of fluid, intelligent and bewildering humor. The interest lies in these intersections arising from works the duo carries out, reflecting multiple space-time realities, a life in common, and a shared studio. A construction forged by a coming together.
Felipe Barbosa: “When we think of a work meant for public space, it is almost always part of a specific project and location. Generally, the envisioned work stems from this dialogue, enriched by two different viewpoints. When it comes to the studio production, so to speak, the works are the result of continuum of research, experiences, poetic references, etc., focusing more on each one’s universe (...). What truly determines the project’s outcome is the intense dialogue we engage in during the development of ideas and the field research itself. Several possibilities and approaches are discussed and refined until the work is carried out. We know that a work produced for the streets will face much greater scrutiny, with many interpretations and reactions, often unpredictable (...).
We have created works under varied circumstances, ranging from very specific to virtually no specificity... like inSite_05 or Jogo da Velha in 2002, and also Troca de Cartões. The first with generous resources and within a context of global significance, the Mexico/USA border, which had to be addressed. The subsequent works without significant resources and without a predetermined subject matter (...). There are also some works that, despite being designed for a specific location, find autonomy and can be installed in other contexts, establishing new interpretations.”
Rosana Ricalde: “We’ve shared the studio for a long time; we have separate rooms but many common areas. After so many years together, both in work and in life, it is natural that a closer look will reveal many points of contact in our works, after all, many references become known to both of us. But, despite all the proximity, we have very distinct creative processes and ways of working, which allow us, I believe, to work well as a duo, as we each have this individual path that remains preserved (...).
I see that in the work we do as a duo, whether urban interventions, public works, or even a small number of objects we have created over the years, the political connotations are indeed more pronounced. Because they are the result of a joint thought process and happen sporadically, these projects need to have clearer concepts, addressing certain issues more emphatically. These issues, I believe, are present in our individual productions, but in a more diluted, less directly visible manner (...).
I think subtlety is very important when addressing certain subjects; without it, the results can be quite poor. This approach can appear in many ways. In our case, recalling some interventions we have done - Largo das Neves s/n, Hospitalidade, Muro de Sabão, O Mar, a Escada e o Homem, Changing The Flow, Exatidão, Leveza, Visibilidade - we addressed thorny and urgent issues such as housing, immigration, slumization... in a way that the public could engage in, even with a bit of humor.”
Building of a wall made up of 5,000 bars of the traditional *Rio* soap on the space left by a torn brick wall that used to keep the Coroa slums out of sight. The UFE factory, responsible for manufacturing the soap, not only endorsed the project, donating the bars of soap, but also sponsored the building of the structure on which they were set.
**the wall of soap**
Marisa Flórido Cesar, 2003
With Rio bars of soaps carved with the Christ the Redeemer’s image alongside the word “Rio”, a wall is built in the void left by a collapsed structure. The game of strains and replacements between landscape, place and memory is then established: once a place, a home, now torn to reveal a landscape. Once a landscape could be seen, then the wall was erected. Where once a wall stood, the image and the word carved into the soap restore the city’s landscape as a symbol. Where once a monument stood as a symbol – its logic presumably linked to memory and place -, a wall now prevents access, and the ephemerality of soap restores oblivion.
The video *Ensaboa*, shot at the Coroa slums, documented the distribution of bars of *Rio* soap to locals.
The street where *Muro de Sabão* was erected lies near the Coroa slums, in Santa Teresa. This community also endorsed the action through its Neighborhood Association. When the final exhibition date was reached, the duo donated the 5 thousand bars of soap to the community, in an event registered in *Ensaboa*. The work achieved great visibility, being featured on the cover of the *Jornal do Brasil* newspaper.
House severed at the roof, built as to take over the whole of Largo das Neves in Santa Teresa.
**the buried house**
Marisa Flórido Cesar, 2003
The absent-minded passer-by finds himself confronted by something that does not fit into the order of his daily itinerary: a house buried in the middle of a public square, build in relation to the visual outlook of the church. The strangeness that arises blurs the lines between the house and the world: places it in a crossroads, pervading it with uneasiness and embarrassments. Public and private, undiscriminated, calling for a gaze in equal parts disjointed and disoriented, as they freeze old dialectics. The apprehension of a peculiar scene happens within a lapse, through consciousness that is triggered by an eye that notices something out of place.
The house once tamed time and space through the cycles of seasons and families, harvests and the repetition of customs, the memory that was rewritten into each new generation, into each place, each name. But the house if now lost amidst contemporary deterritorialization: the domestic cycle was replaced by mechanical routines and time/space disruptions caused by new technologies. Perhaps not, perhaps the house was always lost and now we came to realize it: it was but the dream of a man who sought bounds of solidarity between himself and the world he occupied. The buried house is an impossible house, uninhabitable, it only exists as a chimera. The house is not haunted by ghosts from the past. It appears as a haunting itself, the haunting of a presence that could not exist in any other form but as a ghost. Affirming the strangeness of the domestic retreat, yet uncovering its ambivalences, is to confide an intimate desire of “being-with.” Revisiting the domus and its community, outside of its usual place.
Yellow-painted naval rope braid tied with ribbons, hanging from the tower of the CEAT school (Santa Teresa, Rio de Janeiro), a replica of an Italian castle. This creates a connection between the school’s architecture, its large tower, and child-like imagination. The piece alludes to the tale “Rapunzel” by the Brothers Grimm, in which Princess Rapunzel, locked in the tower by Dame Gothel, lets her long braids fall from the dungeon window so that the enamored prince can climb up and find her. An exercise for the imaginings around the idea of the castle tower and the curiosity it provokes is proposed to the students.
The Vento Contentamento show featured several installations by the duo, which brought to the exhibition space a poetic fusion of elements associated with architecture, design, and nature.
Gerund Object
Guilherme Bueno, 2002
Text originally written for the Vento Contentamento show
Parla! Legend has it that Pygmalion, enamored by the perfection achieved in the statue he had made, after imploring, was granted a favor by Venus, who breathe life into his work. The dividing line between imagination and fact, thought and thing, dissolved as the marble blushed and heaved.
Felipe Barbosa and Rosana Ricalde’s works waive the assistance of the Greek goddess and prefer to circumvent this dialectic, choosing to carry on being, instead of conforming to a static corporeality that, enclosed within itself, would soon exist as a plastic, poetic participle once completed.
Perhaps a significant indication of the intentionality with which this constant present is sought can be extracted from the testimony given by the works’ journey. From their genesis, in the project, in the planning as speculation of hypothetical empirical overflowings, they take on outlines that are at once coherent with the inaugural moment of creation and equally legitimized by disregarding any chance of being reduced to formal circumscription.
A sowed double bed is something so unusual that it can (in)securely signify countless ideas beyond the disassociation between form, function, and object. But it may also simply want to be a sowed bed, and nothing more—something that does not call for conceptualization. For, once the possibility, or rather, the functionality of deducing a pragmatic value from this conjunction is discarded, the explicit need for a concept becomes a contradiction, as the essential ontological necessity of its use value is lost as a ratio to ultimately enable something to exist as a thing in itself.
What question, then, arises? The “living bed” ends up falling into the old art/life enclave, without yielding - and here lies a notable cunning – the essence of thing the object retains/detains. Shifting the focus, it is worth noting that the mutable (but not necessarily - despite effectively), “growing,” “evolving” character allows the work to be permanently reinvented, while still preserving its own warmth and the vital breath of the project as something emblematic, its “genetic code.”
Ninho, even unintentionally, could be taken - with a certain refined irony - as a metaphor for life. An egg rests on a pile of stones. How can one not relate the fragility of its situation to the trials of life’s climb - James Dean’s Giant - towards the valley of stones to be crossed? The very difference between its transient and insecure nature (yet no less positive) and the final and peremptory hardness of the stones, combined with their own “coextensive” contents - just as the egg would symbolize life, the stone would occupy the place of death, as proved by fossils - highlights the subtle and fleeting aspect of existence.
However, the work, while it confronts us with the clarity of doubt, of perfectly decomposed inquiry, yet no more soluble for this, is
much less due to a borderline submission to symbolic decoding than to its internal strength and presence. The egg’s passing victory over the stones lends the work a monumentality much greater than its modest, not even anecdotal, dimensions, as it creates a situation of physical tension between the materials used and a metaphor about the evidence of an existing time, however immeasurable and intellectually inapprehensible.
An interrogation. And a paralogism, for the egg does not hesitate to allow - if it wishes - camouflaging itself amidst its falsely analogous visual counterparts - the stones. To focus on observation is a strategic move; otherwise, casually seeing just the stones where something more lies, something strange (even renouncing that familiar pleasure of discovering significant yet discreet details in old works), is to willingly accept being deceived by one’s own senses and neglecting what the first word in “visual arts” guarantees them: their visual status.
The reflecting pool of the Palacio das Artes, where the group show featuring all artists selected for Rumos Visuais 2002 was held, was drained and filled with 10,000 bottles of mineral water, which, after the opening, could be taken by visitors.
A barrier made of bread loaves built in downtown Belo Horizonte, obstructing passage/shortcut between two streets.
visibility and lightness
marisa Flórido Cesar, 2006
The landscape was the fiction of a world seen by a universal subject, who subjected horizons to his eye and his measure. He subdued all anomalies: those of the flesh, of the unforeseen, of the obscure Other who wanders around us, to a vanishing point endorsed by his gaze, at the precise height of his contemplation. The landscape anchors itself in this gaze, arranges spaces and gathers, on the horizon, the dispersals of all places. The infinite horizon of visibility is the landing place of intangible distances touched only by sight. The landscape is the domain of that which is almost un-bodied. The horizon which all places aim and from which all places overflow.
A barrier of bread is erected in a passage-way in downtown Belo Horizonte. Visibility, however, does not exceed a height of 4.9ft:
while the gaze can reach the landscape over the wall, the body is denied access. A few blocks away, bottles of mineral water cover the entire fountain in front of the Palácio das Artes. The work is titled *Leveza* [“Lightness”].
The bottles, taken under the cover of the night right after their installation, are sold on the anonymous street corners of the city: the proximity of the gallery does not intimidate their transformation into merchandise. Untouched, the barrier remains for a few days until it is consumed. The immoderation of art feeds hungry bodies. If for some it is art, for others, it is just bread. How then to conceive of art as the exclusive domain of a disembodied eye, of the universe of clear *Visibility*? How to accept aesthetic enjoyment as an autonomous, purified, and ascetic judgment in its *Lightness*, dissociated from the necessities of existence, disconnected from a body that feels hunger and thirst?
Although the Rumos award was won by Felipe Barbosa, the artists participated together in the residency at the Cité des Arts. “Árvores Ajudadas” emerged from the duo’s wanderings around Paris, where they photographed plants and trees surrounded by protective grilles so they could grow safely within a determined space. The desire to domesticate nature captured the artists’ attention. Since then, they have continued photographing these situations in various locations.
This photographic series was first presented at the Parallel of the 28th São Paulo Art Biennial, 2007.
**Júlio Castro**
coordinator of the Interferências Urbanas Prize
The cement print of the poem “O Mar, a Escada e o Homem” (“The Sea, the Staircase, and the Man”) by Augusto dos Anjos was made on the steps of the staircase that connects Oriente Street to Cardeal Dom Sebastião Leme Street in Santa Teresa. This area of the city is built on the mountains, resulting in winding paths with ups and downs. The poem was printed so that it could be read by both those ascending and descending the stairs, meeting at the word “chaos”, located exactly in the middle of the staircase.
The intervention proposed a bodily reading of the poem, which changed according to the reader’s pace while ascending or descending the staircase.
The Interferências Urbanas Prize took place between 2000 and 2002 in the form of an open call to Brazilian artists for subsidized proposals of ephemeral actions in the Santa Teresa neighborhood in Rio de Janeiro. As one
of the actions of the Arte de Portas Abertas event, it happened across four editions that counted on different specialists, invited each time by our production. Rosana and Felipe, as a proposing duo, had their projects selected in all editions, demonstrating the quality of their proposals and the artists’ ability to execute them. At the request of the residents, the intervention “O Mar, a Escada e o Homem” was the only project among the 38 selected that became permanent, as there was engagement from the community near the staircase who perceived the artists’ work as an enhancement of the communal space.
the sea, the staircase, and the man
Poem by Augusto dos Anjos
“Look now, inferior mammal,
“In the light of Epicurean ataraxia,
“The failure of your geography
“And of your scrutinizing diving suit”
“Ah! You will never know how to be superior,
“Man, to me, although still today,
“With the broad auxiliary propeller with which once
“the vast steamer went flying in the wind.
“Tear the horrid water the scorching ship and sail me!”
And the verticality of the steep Staircase:
“Man, have you already surpassed my steps?!”
And Augustus, Hercules, the Man, in sobs,
Hearing the Staircase and the Sea, fell face down
In the terrifying pandemonium of Chaos!
the sea, the staircase, the man
Marisa Flórido Cesar, 2006
The Man: this proud and arrogant animal that one day stood upright; that made the external reality a pale mirror of its consciousness; that, over chaos, intended to engrave the fixed mask of the Word and Order, with its strange mathematics, with its foolish geography, with the reflective transparency of its Name.
The Staircase and the Sea: But the mathematics and the geography of verse conspire against him: they weave the 90 words of the poem, written and rewritten as the double of the mirror, on each of the 180 steps of the Staircase that connects Progresso Street, at the top of the hill, to Cardeal Street, near the Sea.
The Announcement: Perhaps they conspire through the voice of the noblest of his Angels: - Thou shall not narrate, shall not subjugate the unthought, shall not conquer the universe, shall not reach Progresso [Progress] (street), shall not realize, in your ascending and linear History, your Humanity!
The Chaos: In the middle of the journey, at the center of the staircase, Chaos, twice, will return to the arrogant animal, the drift. It will open, through the fallen Name, its boundless abyss: the realization that its existence is this insignificant mark between passing things and words. Chaos will be the destiny and departure of all fortune.
The artists had individual participation in the Biennial, but as the curators were familiar with the work of the Barbosa & Ricalde duo, they proposed a project for the city. The idea of playing Tic-Tac-Toe at an intersection arises while considering Fortaleza’s chaotic traffic and the violent atmosphere generated by it. The work highlights the fact that cities are increasingly prioritizing cars, speed, and a fast-paced rhythm, to which people either adapt or are run over by “progress.” According to the duo, “even though stress was the predominant feeling during the game, there were funny moments when curious pedestrians and drivers shouted anxiously for us to quickly get out of the way of incoming cars.”
In Classificados was a collaborative newspaper where artists showcased their work in the format of the old classified-ads of daily printed newspapers. In addition to the newspaper, the project expanded to an occupation at the Espaço Bananeira in Santa Teresa (RJ), and also toured various SESC units in the state of Rio de Janeiro, where the artists used the newspaper as material for their works.
The exhibition took place within the scope of the Latinidades event, where various SESC-SP units held exhibitions focused on the word. The duo was invited to occupy a newly acquired building by SESC-SP on Avenida 24 de Maio, which was yet to be renovated. In addition to the duo’s works, three other artists participated: Marta Neves, Alexandre Vogler, and Carlos Melo. They all presented large-scale installations, using the word as raw material.
In a small area amidst the traffic of Madrid, a checkers table, originally part of urban furniture situated in a square, is installed. The action begins when the duo moves the table to a small traffic island that separates the lanes, initiating a game of checkers. They take ownership of that space, imposing a human presence where cars are the protagonists. They concentrate on the game amidst the violence of the traffic.
The work takes place at the border between Mexico (Tijuana) and the United States (San Diego), starting two years before its execution in 2005, when the duo moves to the region. There, they explore not only the geographical aspects but also delve into the socioeconomic issues impacting differing realities.
After a detailed presentation of points of interest in both Tijuana and San Diego, the duo heads to shelters on the Mexican side, where they meet people who attempted to cross the border into the U.S. but were stopped by US’s police intervention. In the shelters, they collect a series of names that will serve as the basis for the development of the work.
The local population crossing the bridge buys in to the proposal, providing their names to be used in the work. Once all the names are collected, they are inserted along the entire length of the Puente Mexico over the course of two months.
The fact that the curators of inSite_05 requested direct dialogues with local interlocutor groups led to the choice of the Mexican border for the work, as the idea was to deepen the dialogue where the border seemed the be at its most dramatic: Mexicans crossing to the US side usually face long lines and thorough inspections. This does not happen with US citizens crossing to the Mexican side. The observation of this fact, concerning the issue of unconditional hospitality, expressed in welcoming anyone regardless of their family background, culminates in the work.
Barbosa and Ricalde covered the Mexico Bridge in Tijuana in the manner of a “welcome mat.” This bridge is the entry point for pedestrians crossing from San Diego (United States) to Tijuana (Mexico) and is close to the border line.
The piece, the result of a long process of about two years, was inspired by the typography of colorful signs and the thread bracelets with names sold as souvenirs in the street markets surrounding the area. Additionally, it addressed French philosopher Jacques Derriida’s concept of “unconditional hospitality”: one that does not ask for the family name, does not inquire about where the other comes from.
To carry out the project, they invited a group of sign painters from Tijuana, who, with the help of art students and the artists themselves, covered the area over a period of three months with the names of passersby who wished to leave their names there.
By recording the given names of those crossing the bridge towards the tourist area of Tijuana, *Hospitalidade* proposed a reflection...
on the notion of welcoming the other. The dynamic of exchange between sign painters, art students, and pedestrians transformed this passageway into a place of connection between strangers. Visitors and residents coexisted in a structure where the name acquired the status of identity and allowed the visibility of border flows. *Hospitalidade* inverted the idea of a souvenir by promoting the printing of the walker’s name-identity as a footprint of the city that welcomed them.
**The made-up community of Puente Mexico, Tijuana: an art project by Felipe Barbosa and Rosana Ricalde at the border between two worlds**
Luiz Sérgio de Oliveira
**USA: Latin America: the context of the border**
The service contract made everything explicit: the workers would come from Mexico to New York on Friday night to work on Saturday and Sunday, returning to Mexico City on Sunday night.
“Everything included, even the airfare—it’s cheaper than hiring workers here in Manhattan. We save between 25 and 30 percent,” his gringo partners explained.
Carlos Fuentes, *The Crystal Frontier*, 1999.
Lisandro Chávez crossed the three thousand, three hundred and fifty-seven kilometers (or 2086 miles, as thwey - North Americans - would have it) separating Mexico City from New York, “stuck in an aluminum pencil at 30,000 feet, with no visible support” (Fuentes, 1999). He came to spend the weekend in a city that boasts the title of “everyone’s town.” He came not as a tourist, but “on business,” as a service provider, along with other Mexican workers hired to clean office buildings on the Island of Manhattan. Lisandro Chávez and the other Mexicans would come from Mexico City on Friday evenings and would return on Sunday evenings, after two days of work.
Audrey walked from her apartment on 67th Street to the office building on Park Avenue, at the ritzy heart of New York City. She wanted to take advantage of that Saturday morning at the office to catch up on her work: no phone calls, no jokes being cracked, no pressure; alone with her thoughts, focused on her chores, far from her ex-husband who, throughout the night, begged to be let in her apartment, begged to be let into her arms. Now she was on the 40th floor of the building, in her office, alone. Isolated from the world...but perhaps not that much.
According to a notice given by the building manager, which Audrey had forgotten about, she would not be alone; Lisandro Chávez would be there with his fellow Mexicans to carry out their assignment of cleaning that crystal pyramid’s glass surfaces. A building where everything – ceilings, walls, and floors – is see-through, where people seemed to simply float, levitate; like Lisandro, clinging to the scaffolding on the 40th floor, submerged in an infinite, crystalline expanse. Lisandro and Audrey’s eyes sense each other’s presence. Then, they touch, their bodies greeting one another. After meteoric
flirtation, they draw nearer: with lipstick, she writes YERDUA on the glass, and he, simply, NACIXEM. She has no misgivings about mirroring her individuality, one of the myths North-American society holds dearest – YERDUA / AUDREY – while Lisandro doesn’t recognize himself, doesn’t know what he’s doing so far away from home, so far away from his true dreams. Identifying himself only as Mexican, one among so many who are compelled by the ledge of destitution towards unseemly situations in the USA’s economy.
Audrey brings her lips closer to the glass, a gesture that invites Lisandro to do the same. “Their lips united through the glass” (Fuentes, 1999), through a crystal frontier. When Audrey opened her eyes, he – Lisandro – had vanished; the foreman had ordered them to hurry, considering everything they still had to do.
Those are the central characters in Carlos Fuentes’ formidable short story – *The Crystal Frontier* – a metaphor for the ambiguities between Mexicans and North Americans, riddled with fascination and simultaneous rejection, flowing in both directions. The allure of what they see in the other and know they are not, a recognition of what they are incapable of being.
An allure that shares the stage with prejudices that antagonize and isolate. A short story that seems to beckon to the realities of each of those countries: Lisandro, a service provider who traveled three thousand, three hundred and fifty-seven kilometers to clean windows in Manhattan; Audrey, in “her efforts to come up with a nice catchy slogan for a Pepsi commercial” (Fuentes, 1999). He, a low-skilled laborer; she, an executive making the most of her own talent and intellectual skills, being compensated accordingly. She exports creativity and competence to the world, while he rents out his arms to his rich brother from the North who offers him 100 dollars for a weekend’s worth of work, something unimaginable within the reality of Mexico’s economy.
Those are only two sides of a more than multifaceted frontier, in a region that, nevertheless, resists against acknowledging itself as bi-national. At this frontier, imaginaries, world views, and realities clash against each other. To the south, the huge diversity and wealth of Latin America as it struggles to disentangle itself from centuries of exploitation. On the upper side of this more than made-up line, the world’s richest country, the most powerful, and the most bellicose. A country capable of using its mighty and merciless war machine to defend its political and commercial interests in favor of the interests of a nation that, like few others, understands that war must be waged to defend its well-being. A nation that, since its dawn, was built under the aegis of confrontation, war, and conquest. One that, like Mexico itself, built its territory through confrontation with North American natives. At last, both faced off in combat in the mid-19th century. Texas’ annexation to the North American Union, and Mexico’s refusal to accept this annexation, gave rise to yet another of the countless asymmetrical wars the USA fought.
throughout its history. At that time, it was a fight against a Mexico that found itself in rocky military disadvantage. The war came to an end with the fatal and unavoidable Mexican defeat, conceded in the Guadalupe-Hidalgo treaty of February 2, 1848, consequently leading to a drastic reduction of Mexico’s territory: “nearly all of Texas, New Mexico, Arizona, California, Nevada, and Utah were part of Mexico before the country lost them as a result of the Mexican-American War held from 1846 to 1848” (Huntington, 2004).
But the “crystal frontier” reveals not only the characters of this culturally rich – although, at times, tragic, gloomy, and melancholic – reality. A crystal frontier, made of glass, a line that insists on being a line across the geopolitical maps, that insists on delimiting territories of sovereignty, power, and exclusion, that seems committed to removing every possibility for integration, keeping both parts divided. But this line is far from truly being a line; it broadens, and gains territoriality, unfolding over plains and valleys across both sides of the border. Although it presents itself as a barrier with a specific role, it does not prevent the parts from seeing each other, it does not obstruct the allure both sides have for each other.
The seduction of the far-traveling gaze that crosses the barriers impervious to bureaucracy, militarism, and politics, widening the boundary that is no longer a single streak in geography atlases of old and new – now, it is a region. A frontier region, a hybrid domain characterized by intertwining world views grounded on different traditions belonging to days gone by that rear their heads in extraordinary creations of art and culture, transforming those frontier regions into territories of staggering cultural wealth, be it for the quality of its output or its diversity. Regions that do not reflect the restrictions imposed on them by policies of control, vigilance, and exclusion.
In one of these nooks of the world, a privileged setting where the southwesternmost extreme of the USA touches the northwestern-most edge of the United Mexican States and, by extension, Latin America. As such, it has been the background of a vigorous art production that, over the last two decades, has impregnated the contemporary art scene with a dialog between art and politics. In the 1980s, David Avalos, Louis Hock, Deborah Smail, and Elizabeth Sisco, artists living in San Diego, USA, surprised incredibly resounding and robust art hubs with a production that articulated the political perception surrounding the South California frontier town’s economic means, with the exploitation of unskilled labor pouring in from south of the border[1] - south of “the line,” as the frontier is commonly known in that region. In the coming decades, this same backdrop continued to intrigue and provoke artists from different parts of the world who are invited to develop art projects in the region for the inSITE show[2]. A few Brazilians have been among the artists enticed by the quest for answers within this powerful and riveting context: Rosangela Rennó (1997), Maurício Dias and Walter Riedweg (2000), and
Rosana Ricalde and Felipe Barbosa (2005), among others. Undeniably, this nook/cranny of the world has been able to nurture art history that unfolds in the public domain with meaningful examples of artistic practices, fostering debate and critical thinking concerned with the making of art projects – their amplitude and (im) potency -, facing the complexities of political macrostructures.
These art projects have invariably acknowledged the relevance of the situation and its specific contexts, which have influenced art production in the public sphere since the end of the 1980s when controversy over Richard Serra’s *Tilted Arc* piece carved new paths for our thoughts on the art/public space binomial. Since then, links created by art in urban settings have pointed to a shift: “our understanding of the site changed: from a physical, fixed location, to a place or something that is being built through social, economic, cultural and political processes” (Kwon, 2002). Within this historical context, the art glossary was flooded with new terms and practices that have highlighted the processes of community interaction, known as community-based art projects. However, as we delve into these encounters with the communities, we need to avoid simplistic definitions that limit and see that group through an ideological lens, reducing them to “marginalized communities (stand-ins for the Third World within the First World)” (Kwon, 2002).
This challenging scenario of interweaving and collaborating with communities appears to experience added intensity when taking in artists from regions beyond those surrounded by or that surround these communities, making highly unusual situations their showing grounds. In contemporary practices, this is a common occurrence – inSITE being just another example -, in which artists travel across the globe at the invitation of museums and biennials to develop situation-specific projects. In these practices, the artist travels to provide an art service through the creation of an event, performance, project, or, possibly, a work that can remain tied to that reality, such as the *Hospitality/Hospitalidad* piece by Felipe Barbosa and Rosana Ricalde, which was carved/engraved into the surface and the memories of Puente Mexico, Tijuana.
**hospitality/hospitalidad:**
**art: context: tijuana:**
Felipe Barbosa; Rosana Ricalde
In a process of seemingly authorized dissent, Felipe Barbosa and Rosana Ricalde’s project began as a counterpoint to inSITE_05’s cornerstones, grounded on the process’ emphasis, with an unavoidable indifference for the physical materiality of the enterprises in works openly aimed towards that event. *Hospitality/Hospitalidad* seemed to introduce a contradiction into the inSITE_05 universe, setting itself on a course that, at best, lightly touched on curatorial requirements, apparently more concerned with reaffirming the authors’ own beliefs concerning the insertion of an art project into the public domain.
Using the concepts of hospitality developed by Jacques Derrida (2004) alongside Tijuana’s own popular aesthetic manifestations, Rio de Janeiro-born artists Felipe Barbosa and Rosana Ricalde decided to cover the approximately 1,200 m² (or 12.9 square feet) of Puente Mexico, a pedestrian walkway that leads across the USA border and crosses the touristic Avenida Revolución, in Tijuana, with the names of passersby who approached the artists and their assistants, asking their nombres to be included into a list that compiled more than 2,000 given names. Equipped with bright-colored spray cans and assisted by Tijuana School of Arts students, in addition to two professional rotulistas [sign painters], Barbosa and Ricalde covered the surface of the bridge with names written in the identifiably local typology of a region that, despite the availability of digital media, insists on prioritizing the handmade craft of skilled professionals who “unfurl” advertisement texts.
According to the artists, the project sought to bring about a feeling of belonging, to engage the passersby in a process of identification and reflection on that specific situation, so they could “look at that place and realize that it is prettier, that it could be cleaner”[3] (Ricalde). With this point of view, Felipe Barbosa and Rosana Ricalde embroiled themselves in a tradition of public art production that spans three or four decades and is associated with the process of urban renewal and the building of identities, albeit frequently being derailed by skewed paths.
Initiatives behind civic projects are, by and large, attributed to city governments, which are frequently entangled with real estate enterprise agendas that often lead to gentrification (Deustche, 1996). Although similar experiences are not yet common in Brazil, classic cases found in recent art history include the installation of the Untitled (Chicago Picasso) Pablo Picasso sculpture at the Richard J. Daley Center, in Chicago, Illinois (1967), and Alexander Calder’s La Grande Vitesse in Grand Rapids, Michigan (1969)[4].
Barbosa and Ricalde’s project in Tijuana, however, seems to overturn the typical line of thought associated with this tradition, shaping itself into a process that, starting with the authors themselves, seeks to get in touch with the anonymous passersby on that bridge in a Mexican town. A heartfelt contribution, without utopic outbursts, strikingly different from the great investments and monetary-driven goals implicated in the processes of renewing degraded urban spaces.
While countless of inSite_05’s projects, tailored for the event, turned to the production of videos or documentation as a strategy to prevent their utter disappearance, Hospitality/Hospitalidad moved in the opposite direction, towards the irrefutable assertion of its presence through its gigantic scope and relative continuity: approximately 1,200 m² of a multicolored mosaic that could be scanned from high above by the hyperbolic lens of satellites that orbit the planet. In the words of Rosana Ricalde, the Hospitality/Hospitalidad project is “precisely the opposite of an event, because it is virtually unending,” especially because “it’s a matter of
responsibility: we didn’t want to blow 20 thousand dollars on a single event” (Barbosa).
Also, in the realm of collaborations, Felipe Barbosa and Rosana Ricalde seem to have strayed far from the model implemented by inSite_05’s curatorship, in which they’ve developed their projects within the intersection between the daily life of many different regional micro-communities, tiny enclaves in the world. Nothing could be further from Hospitality / Hospitalidad and its notion of being open to the world, articulating itself with a highly unspecified, “non-essentialist” community: passersby (and “meddlers” – police officers, beggars, street vendors, shopkeepers from surrounding businesses, among others) of Puente Mexico. During this process, collaborations with Grupo Beta and Casa de la Madre Asunta\textsuperscript{[5]}, responsible for forwarding the initial list containing the names of immigrants, were eventually dismissed by the artists, who favored direct contact with the passersby. Not even the relationships the artists developed with the rotulistas and students would exceed the well-defined limits for their assistance during the production process, allowing only for small, occasional decisions that would not interfere with the development of the work nor jeopardize the artists’ original project.
Besides, the amount of collaboration with the bridge “community” – an unlikely community characterized by their differences, lacking any common identity, whose non-specificity and variance did not prevent the artists from “becoming known to them, some even calling us by our names” (Barbosa) – cannot be understood as anything more than interactions of the faintest degree, miles away from a collaboration that could signal co-authorship, as has been suggested in countless contemporary art projects/processes.
While the interaction between the artists and the community could be summed up in a few seconds of contact mediated by pens and a notebook crumpled by being handled by more than 2,000 sets of hands, the same cannot be said about the relationships that arose between the passersby who had their names recorded on the floor of the bridge and Hospitality / Hospitalidad. In that case, regardless of any understanding they might have about the meanings and implications of Barbosa and Ricalde’s project, and even if the names painted onto the bridge’s floor were not quite theirs, eventually having to borrow them from some namesake, it created a feeling of recognition, identification, and belonging in building a community – certainly an extremely precarious one – that found in Barbosa and Ricalde’s work its only bond.
Unlike what usually happens in art projects devised in collaboration with communities, when the artists take on the role of a mediating pivot, in Hospitality / Hospitalidad the artists seemed “doomed” to a certain laterality, even disappearance, at least while the project still survived, long after the show was over, and the artists had returned to Brazil. During this stage of gradual fading due to wear and tear
brought on by the continuous, intense flow of walkers moving between the USA and Mexico, the connection between the walker and the artwork remained, bound to a realm of autonomy that could unapologetically waive any reference to the artists-creators.
It’s also interesting to note the interactions with street vendors, usually shielding from the mighty, hazardous sun beneath the shade of bridge’s access ramps, and from whose activities the artists captured this interest for the culture of given names: “Soon a vendor who sold bracelets was right there by our side [setting up his tray next to Felipe Barbosa and Rosana Ricalde], establishing a sort of museum store for the work; and, of course, we also got something out of them. Because in Tijuana you see names showing up on bracelets, but also rings, keys, grains of rice; there are names on everything!” (Barbosa)
However, no context nor situation could be more suitable and more precise for the installation of an art project based on the engravings of given names, to which we grant such meaning, than the singular and symbolic backdrop – a bridge at the border that answers to a single name, simultaneously simple, vigorous, and resounding: Mexico.
references
DERRIDA, Jacques. *Anne Dufourmantelle convida Jacques Derrida para falar Da Hospitalidade*. Trad. Antonio Romane. São Paulo: Editora Escuta, 2004.
DEUSTCHE, Rosalyn. *Evictions: Art and Spacial Politics*. Cambridge, Mass.: The MIT Press, 1996.
FUENTES, Carlos. *A fronteira de cristal*. In: FUENTES, Carlos. *A fronteira de cristal*. Trad. Mauro Gama. Rio de Janeiro: Rocco, 1999.
HUNTINGTON, Samuel P. *The Hispanic Challenge*. *Foreign Policy*, n. 141, p. 30-45, mar./apr. 2004.
KWON, Miwon. *One Place After Another: Site-Specific Art and Locational Identity*. Cambridge, Mass.: The MIT Press, 2002.
PINCUS, Robert L. *The Invisible Town Square: Artists’ Collaborations and Media Dramas in America’s Biggest Border Town*. In: FELSHIN, Nina. *But Is It Art? The Spirit of Art as Activism*. Seattle, Wash.: Bay Press, 1995, pp. 31-49.
[1] These artists garnered national attention (in the USA) in the early 1980s when they spread posters in rented external ad spaces across 100 busses in the city of San Diego, exposing the ambiguous relationship between the town and illegal immigrants. The artists’ work/action lasted throughout January of that year. The posters took the slogan of the town, self-proclaimed “America’s Finest,” adding “Tourist Plantation,” For more, see PINCUS, 1995.
[2] In 2005, the inSITE, public art show carried out its 5th installment – those before it happened in 1992, 1994, 1997 and 2000.
[3] Extracted from an interview granted by Felipe Barbosa and Rosana Ricalde to the author at Centro Cultural Tijuana (CECUT), in the town of Tijuana, on the afternoon of August 24, 2005. Other references to this interview will be inserted throughout the text in quotation marks, with the name of the artist – Barbosa or Ricalde – in parentheses.
[4] An extensive bibliography has been published around these works and their impact on the urban setting, and can be consulted in the following books Tom FINKELPEARL, *Dialogues in Public Art* (Cambridge, Mass.: The MIT Press, 2001. 453p.), Miwon KWON, *One Place After Another: Site-Specific Art and Locational Identity* (Cambridge, Mass.: The MIT Press, 2002. 218p.) e Harriet F. SENIE e Sally WEBSTER (eds.), *Critical Issues in Public Art* (Washington e Londres: Smithsonian Institution Press, 1998. 315p.).
[5] Support and assistance groups for illegal immigrants in the frontier region.
The work involves the free distribution of bottles of mineral water, each labeled with an explanatory drawing of the proposal, at Rotterdam’s busy train station, in the Netherlands.
By distributing bottles of mineral water in a train station, the duo symbolically sought to remove the excess water from the Netherlands through the bodies of travelers, poetically promoting the displacement of the waters. The curatorial focus proposes a debate on flooding in the Netherlands.
A poetic proposal to redistribute water around the world, irrigating desert areas with water taken from regions where there is an excess of water, using large aqueducts.
An action carried out in downtown Fortaleza, Ceará, where pedestrians were invited to provide their professional information to be included on business cards. Each card contained information printed on the front and back, always presenting the services of two professionals with some correlation between them.
These sets of cards were distributed to the professionals who provided their information, allowing them to promote their services (in an era before social networks). Each card included, on the back, information about another professional’s service, promoting the creation of a network and expanding contacts.
The work Mobile Gardens was conceived for Casa Del Lago, located within Chapultepec Park in Mexico City. There we found several topiaries that were somewhat destroyed, making the shapes hard to identify. Additionally, the park was filled with vendors selling inflatables, so thinking about this work came quite naturally. It reflects both the way leisure is linked to consumption and the artificiality of nature in parks - revisiting a moment when we sought to establish parks as an alternative for reconnecting with a controlled and delimited nature within metropolises.
**moving gardens: an exercise in fantasy at the chapultepec woods**
Curator: Tania Ragasol
“The idea of a park is always at the cusp of reinventing itself. As you know that which we call deconstruction is a way of not clinging to any tradition...I’m not quite sure what a park is. What is a park? A city? This is not about abstract philosophical questions. Talking about an urban park is even more troublesome. I’d ask we go back and go over the whole thing”
Jacques Derrida, interviewed by Hélène Viale, 1988
**tamed nature**
To develop their proposal for an intervention at the Casa del Lago’s surroundings, in June of 2007, Felipe Barbosa and Rosana Ricalde first took a reconnaissance trip to Mexico City. During their stay, they visited the Chapultepec Woods on several occasions, taking long strolls through its different areas.
If, individually, they have works more focused on the object (as is his case) and the use of words (as is hers), as a duo they develop projects that seek to establish dialogs with specific urban surroundings. Their joint works unveil the balance between Barbosa’s geometric games, as they use preexisting objects to create new ones, and the poetic metaphors found in Ricalde’s work. The development of their proposals involves the conscious or involuntary participation of the audience, as they intervene directly upon the flows or social dynamics of the area where they work. By providing singular and innovative “meeting situations” in places of daily use, they alter the space/time perception within specific contexts. Without any preconceived notions, they study the site where they will act with a willingness to “turn the city into a field of possibilities from where everything can be extracted.”
*Jardins Móveis* [Moving Gardens] emerges from the artists’ interest in the ongoing relationship between the informal (moving) trade of international products and the space of leisure and recreation typical of parks (gardens). In distinct times across the history of humanity, architecture and landscaping complemented each other to create special minded environments that provide humans with spaces suitable for delight and relaxation. These moments of leisure are usually accompanied by a growing need for consumption as one is faced with the varied and always salacious offers of novelties, which will find anyone who is going about their way. Barbosa and Ricalde see the parks set in big cities as “artificial spaces that linger as a fabricated memory of a place
that existed before the city.” The Chapultepec Woods and the Casa del Lago gardens are no exception. It’s there, in this combination of the concept of artificiality with the concept of consumption, that the artists’ choices of materials for this intervention becomes alive with meaning.
**travelling ars topiaria**
*Ars topiaria* — A technique for pruning bushes creating geometric or zoomorphic shapes. A feature of Roman gardens, it was recovered during the Middle Ages and used luxuriantly in Italian gardens during the XV century and in Dutch gardens in the XVII century. Nowadays it complements, especially the geometric shapes, architecturally designed gardens.)
On their second trip to Mexico City, in August of 2007, Barbosa and Ricalde started off the production stage of their project. To do so, they gathered hundreds of green inflatable toys (like the ones street vendors offer to Chapultepec Woods visitors). Such as was the case in previous projects, the artists appropriated an element commonly found in urban daily life, reassembling and recontextualizing it, giving shape to something that allows them to address a specific situation. With the amalgamated inflatables mounted onto metallic structures, like one who puts together a jigsaw puzzle – manually, but using mass produced elements -, they assembled “shrubs” or tiny “plastic trees” with zoomorphic outlines. Thus, they spawned an “enchanted woods” of sorts at Casa del Lago: A new place for experiences in surroundings that were familiar to frequent visitors, adhering to classical gardening shapes, but using elements taken from the commercial context of the park. The pruning/topiary of bushes is present and dispersed in a few areas across Chapultepec, hardly noticed by visitors. In a way, *Jardins Móveis* rescues and recreates it with fabricated materials, alluding to the very artificiality of figurative pruning, and proposing a different and distant relationship to purchase/sale transactions – between commercial offers and Chapultepec visitors.
These “enchanted woods” evoke themes such as market globalization and mass proIn 2008, Felipe Barbosa and Rosana Ricalde, feeling the need to expand their workspace due to the growing and specific demands of their artistic productions, bought a house surrounded by land in Rio das Ostras, in the Região dos Lagos of Rio de Janeiro state. It was there that they began constructing the Studio Barbosa & Ricalde.
The construction of the 800 m² building took approximately fifteen months and was carried out continuously, even without a predefined project. The various rooms, including a workshop, a woodworking shop, archive, technical reserve, gallery, metalwork, and others, were built to meet the demands of each artist’s individual work. Large common areas were designed to support both individual and collaborative production.
The construction period also served as a time to discuss and reflect on what was important to them regarding the studio space, in its various facets. The construction of the studio became an experience akin to the process of creating a public artwork in partnership.
Some artists, working strictly with images, limit the studio to space on a hard drive and countless hours spent in editing suites. Others, idealists, believe that it tends to occupy a place only within the folds of gray matter, as art is first concluded in the artist’s mind; physical spaces, whether here or elsewhere, only materialize ideas. There are also the more skeptical ones, who, believing on a nomadic practice that answers to specific demands with often ephemeral actions—in specific sites or social groups—believe that the sedentary nature that defined the traditional studio no longer applies or justifies itself. If art is cosa mentale, as Leonardo claimed, it still is not detached from operationality. It is precisely at the moment when body and spirit appear seamless, without ruptures or contradictions, that the artistic practice reveals its singular way of breeding a world.
The awareness that the work of the modern artist, distancing itself from the métier’s effectiveness, forms a body of meaning, constituting itself as a singular ethical-aesthetic universe, places it before a horizon of accomplishments unlike those of the past. Yet, even if the logic of contemporary art significantly veers away from Leonardo’s, the continuous existence of the studio can still be justified. It is in this sense that, as a workspace, the studio assembles and provides the necessary conditions for professional development.
I became interested in Felipe and Rosana’s work when they were still aspiring artists occupying a floor of an old house in Niterói. Even then, guided by an headstrong professionalism, they kept their studios, although sharing the same physical space, singled out by each one’s productive method. I was able to witness the improvement of their workspaces as their careers took off. Today, they share a large space in Rio das Ostras, designed and built to meet both physical and psychological needs, and a branch in Rio de Janeiro functioning more like a technical reserve and operational base for receiving visits from curators, critics, and collectors.
The studio in Rio das Ostras, bound to production demands, boasts generous rooms with copious lighting, high ceilings, furnishings, equipment, and tools, with common areas designated for technical reserve, a library with over six thousand books - mostly lavishly illustrated ones. Lastly, a room with map cabinets, shelves, and display cases for the conservation and documentation of all their finished works, as well as housing an art collection.
In talks with the artists, I learned about how they work individually and the importance of keeping personal studios in more or less separate spaces. Felipe’s work, marked by extroversion and a straightforward relationship with everyday experiences, is reflected in the way he organizes his studio’s space. Everywhere you’ll find collections of industrial objects that, at any moment, could be used to create a new piece. Bottle caps, piles of matchsticks, small models, and prototypes still in process are seen spread out on the tables. Many completed works or series of works are displayed on the walls, providing a good angle of observation. Felipe asserts that the library is the prime location for creative insights, where he can isolate himself at any time, to browse and draw inspiration from his image database, make sketches, and dive deep into his own mind. Then, he goes on to build models and maquettes, which aid visualization, adjustments, and improvement, warranting technical control during execution, creating less room for error, and maintaining artistic quality standards. Once all stages of the process are completed and aesthetic problems are overcome, he can, at last, assign assistants to carry out the execution of the definitive pieces.
Rosana’s work, unlike Felipe’s, is characterized by more introversion and inner dialogue. Although she appropriates ready-made forms such as labyrinths, arabesques, and geographical charts found in books, the artist instills them with her own flow of mental images. As such, she, perhaps, considers her work to be more conceptual than visually poignant, requiring the audience to engage in prolonged contemplation and pause. Deploying drawing and calligraphy, the execution of her pieces often greatly relies upon the artist’s own hand to achieve the appropriate quality standards. As the work is fueled by an inner drive, her studio contains professional endeavors. It is where teams of assistants are conducted, support staff is managed, art agents are welcomed, and the work is publicized and given prominence. Like pre-modern studios, today’s studios are also places of instruction. In Felipe and Rosana’s case, this cycle has come full circle with their recent initiative to open a gallery, Cosmocopa, whose cast of artists almost entirely consists of former assistants. Perhaps the knack for management, combined with artistic talent, explains why some artists soar while others remain amateurs.
Immediately, Rosana Ricalde and Felipe Barbosa’s “public” works pose a problem: what is the place of art? This question should not be understood restrictively; that is, art does not just settle anywhere but, simultaneously, engenders and results from a series of relationships that define it in a productive manner.
This question, even if somewhat hastily, can be answered as follows: the city is art’s place. In this context, it is not merely taking the city as a medium—though in the case of these works, this is a decisively relevant aspect—but, historically, the city would be its quintessential location, whether linked to a civilizational perspective, or as the possibility for moments of disinterested experience, reciprocity grounded in the foundation of constructive action as the materialization of “productive contemplation” and/or the structuring of a cognitive principle. However, this statement does not yet guarantee a point of balance. There is no definitive city. There are paradigms, landmarks, and crossroads: Brunelleschi’s Florence, 1789’s Paris, the Commune of 1871 and of 1968, Fitzgerald’s and the Jazz Age’s New York, the New York of the 1940s and 50s, New York of 2001, Brasília, Le Corbusier’s Ville Radieuse, the city imagined by the futurists. The examples are endless.
Contemporary experience adds meaning to the city as a medium, problematizing the way it is experienced. This represents an overflow of a certain modern practice, not only confined to the notion of medium specialization but also to the synthesis (or, conversely, dissolution) between the arts, as envisioned in constructivist systems as well as in Dadaist actions. There, lies a double movement initially marked by immersion in the expanded object: instead of the antithesis between subject and object, between complementary yet irreconcilable entities, the city is taken as a “work,” allowing for the transit between the containment of personal limits and the exteriority in relation to its “other.”
Ricalde & Barbosa’s interventions already embody two elements that seem to have been absorbed from the city: “anonymity” and “surprise”. By “anonymity” we mean the emergence of a work that is neither an individual nor a divisible product, but a confluence (rather than a simple summation) of experiences. Convergence and expansion. While “collective” work was already a part of the old guild workshops or of the teams of “associates” in modern projects, here we find a fundamental difference: in the former cases, one sees the conjoining of specialized and shared technical knowledge. In Ricalde & Barbosa’s case, dealing more with the proposition of situations than the construction of objects, they are organized according to the possibility of poetic expansions. In other words, it is the work of a “third author,” following a logic that incorporates elements of their respective individual interests and generates many new and common elements from what it objectively endeavors to confront.
There is yet another kind of “anonymity” or depersonalization, or rather, repersonalization — the constitution of a new subject that is not limited to being an individual, one that considers the conception of the work beyond its materialization, realizing it through its survival in the world, that is, subject to everything that cannot be precisely foreseen. In this way, if it blends into the city, infiltrating the mass of buildings or into an architectural detail, at that very moment, it — paradoxically — ceases to be just another pedestrian and traverses the city like a dandy, a willing poetic invention that lives and asserts itself from its antithesis, an intentionally gray and anesthetic world. And it turns the unusual into an opportunity for rediscovery and wonder, a dynamic wonder, one must stress, that might even be taken as a poetic reconstruction of the subject.
At times, the poetics inserted there retain the ephemerality and transience of a business flow, of small discoveries, and unexpected poetic accidents, much like those foreshadowed by Baudelaire and dandyism in the 19th century. On the other hand, these actions are in some ways dandy-objects, dandy-situations, in that they claim an aesthetic experience resolutely opposed to bourgeois complacency, the regularity of pre-planned efficient and productive action, mirroring those 19th-century personalities by existing through the adoption of a deliberately urban and antipragmatic behavioral practice. They go beyond presupposing rediscovery, reinvention, and re-foundation of the city as a qualitative experience of an amoral consciousness.
Just as there is no privileged “author” for “the” ideal city, there is equally no correct, exclusive point of view—at least since Cubism—because the city, like an organism, lives while it flows, for as long as there is no absolute rest and inaction (death). One must keep in mind some of the duo’s works: the reflecting pool at the Palácio das Artes (Belo Horizonte, MG) is replaced by its filling with bottles of mineral water, which can only be seen when walking up the access ramp to the building. First, one notices that the static subject, the immobile spectator, is replaced, as the work requires (and here it would be valid to refer, by way of comparison, to the city’s of Rodchenko, Moholy-Nagy, Mendelsohn, Umbo, among others) the subject to move and, consequently, abandon their guaranteed, contemplative viewpoint, which is, in fact, ideal and fictitious. However, beyond this, it is not just the transposition of visual devices that shapes the sensitivity of the confrontation with the city being dealt with. There is an overflow of everyday metaphors inherent to their circulation, such as the street vendor, the safeguarding of financial worth (just as the bottle contains water, protecting it from the world and transforming it into worth, the museum does the same with artworks), and so on.
In two more recent works, the first carried out in Fortaleza and the second in Madrid, we find their approach takes on a new angle. The one in Ceará involved a game of tic-tac-toe played at the intersection of two streets, while the one in Spain involved a game of checkers in a small plaza/island separating two parallel roads. In these two instances, it is not only the unexpected nature of the event that is explored, which, as one might imagine, escapes the executive
mentality that regulates movement, traffic, and, in a word, the city. The immediate and justifiable everyday use of space is rejected, with a deliberate choice of location—the unique point where small interstices of “mobile” living are recognized—erratic, unfixed, and volatile according to the macro view of the city.
Tackling the problem through another angle, these incursions involve the discovery of surprises that are not landmarks or characters, but that fact that their survival requires the determination of non-sites, blind spots, and that their order is ensured by punctuating small chaotic moments. This is not about traffic jams, floods, or any assimilated catastrophe, but rather zones of perplexity and rationalized undefinition, and if it were at all possible to linger in them, they would serve to do absolutely nothing.
Curiously, however, through this game device that amplifies the tension inherent in the utilitarian value and use of the urban grid, Ricalde & Barbosa’s projects get at the root of a series of coordinates present since the founding of the industrial city that, to this day, remain emblematic, comfortably nested in the construction of our urban imaginary. One example is the implementation of leisure areas, amusement parks, in short, “civilized” mechanisms of release and momentary idyllic compensation. What makes these works provocative is their refusal to invest themselves with an “acceptable” urbanistic purpose, nor offer themselves as a moment of soothing, playful relaxation. It is a provocation, however, that does not consume itself in nihilistic self-mortification, but in the spontaneous irony of a popular joke or an urban legend, ultimately possessing an open and positive vitality towards the world. They are neither spectacular anecdotes nor complexes of impossibility and fatalism. We are dealing with games—Schillerian games, as we seek comparisons to modernity—whose unpredictability of outcomes overcome the delimiting circumscription of rules, bringing forth strategies and results of an intriguing, radically challenging, and—why not?—innovative nature.
Between 2010 and 2013, Felipe Barbosa and Rosana Ricalde, along with another partner, managed a gallery located in the Shopping dos Antiquários in Rio de Janeiro’s neighborhood of Copacabana. Their intention was to promote artistic production based on their experience as artists, focusing less on market issues. *Cosmocopa* represented 15 artists, held monthly exhibitions, participated in art fairs, organized multiple art production projects, and published a collection of books and fanzines.
Pintura Descolada arose from an invitation to occupy one of the rooms in the old Pombal Palace in Lisbon, which has housed the Carpe Diem Arte e Pesquisa project since 2009, conceived by Paulo Reis, Rachel Korman, and Lourenço Egreja. Among the many beautiful rooms, the one chosen by the duo had a ceiling adorned with stucco and painting in contrast with the worn wooden floor.
They intervened in the room using only the elements already present: wood and drawing. With an electric sander, they reproduced the ceiling’s design on the floor, as if it cast a large shadow over the wood. The force exerted by the sander revealed different tones in the wood, creating a unique effect.
The invitation of the museum director, Ronaldo Barbosa, the project was carried out on a new scale. For the first time, all the pieces were presented outside the museum. The exhibition reached a record audience, with 98,000 visitors over the course of its duration.
“(…) The works, metallic skeletons displayed in the gardens of the Museu Vale and covered with inflatable animals of varied shapes, evoke the idea of memory, an attempt to rebuild something that no longer exists, a counterpoint between the natural and the unnatural, a critique, and a proposal for reflection, almost obscured by the visual appeal of the sculptures, on artificiality, the ephemeral, and the transformation of the essential into the disposable, a constant in modern society.
This is also the first contemporary art exhibition to circulate between Vale’s cultural spaces. This exchange aims to strengthen the jointed operation of these facilities, located in four states across the country, and contribute to expanding access to culture and valuing
Brazilian cultural heritage. In October, the exhibition will be taken to the Memorial Minas Gerais Vale in Belo Horizonte and displayed around Praça da Liberdade, one of the city’s strong cultural hubs (...).
Animals built with inflatable plastic toys. A large-scale panel (20x7.2 feet) was also displayed, with inflatables from other exhibitions.
Based on the theme proposed by the event’s organizers, “232 Celsius - Fahrenheit 451” (the temperature under which paper ignites and the title of a dystopic novel by Ray Bradbury, in which all books are banned), and considering the venue - the old publishing house in the city of Coimbra - the duo presented the following proposal: to dismantle the book *Memórias do Exílio* (Pedro Celso Uchôa Cavalcanti and Joveline Ramos, Arcádia Publishing, 1976), which narrates the stories of political exiles during the Brazilian dictatorship of 1964. A stone was placed over each testimony in the book. The row of pages was laid out under a glass ceiling, already showing signs of having stones thrown at it, with the phrase that titles the work painted in black [Stones Break Glass].
During a visit to the building of the old *Manutenção Militar*, where the exhibition would take place, the duo found many broken bottles, apparently thrown by passersby. This seemed symptomatic of the relationship between this space, which occupies an important place in the city center, and the neighborhood. As in their recent urban intervention and action proposals, they decided to work with the elements found on-site, observing the flow and interactions surrounding these spaces. They recreated, in an external corner of the building, a floor where the mosaic is composed of colored glass shards, with a design inspired by the ruins of Conimbriga.
Urban action carried out on one of the main streets of Coimbra, Portugal, where the duo sets up a table with a *Risk* game board in the middle of the street, participating in a match with their children and guests for about an hour.
The action takes place within the scope of Anozero Ágora, a project associated with the Coimbra Biennial of Contemporary Art aiming to establish a more effective connection with the city. The curatorial proposal for the first edition of the project focused on selecting artists and collectives residing in Coimbra with experimental repertoires expressed through languages that border on other artistic expressions.
**raw war**
*Nelson Ricardo Martins*
On the fourth day of Anozero Ágora, on Ferreira Borges, the busiest street in Coimbra, something unusual happened.
In front of the Edicifio Chiado building, in a chilly afternoon, visual artists Rosana Ricalde and Felipe Barbosa set up a board of War, a game very similar to the European Risk. Very popular in the 70’s and 80’s, the game brought the whole family together, each person with their own strategy to conquer territories and win.
The game, perverse in its objectives, trivializes the destruction machinery driven by the great powers and participants experience a range of petty feelings: power, ambition, and excessive competitiveness.
It resembles the work *Exatidão*, presented in Madrid (2003), when Barbosa and Ricalde played checkers on a concrete “island” amidst the traffic, oblivious to the reigning chaos.
On Ferreira Borges, there was no competition, only the poetics of movement and invisibility. A draw.
“We decided to bring this idea of the war game into the city because it’s somewhat reflective of reality; people are living their lives, focused on their needs and survival, while wars are happening, territories are being disputed, and lives are being discarded. In the end, we are instrumentalized so that warlords can...
achieve their conquest objectives, most of the time without even realizing how much we are manipulated in favor of big capital.” (Rosana Riccalde, in a video interview with the curator Nelson Ricardo Martins).
“The choice of location, also a very busy place... would not necessarily be a performative action. We also want to reflect on how war, in a way, is a game and is ignored by consumerism. We will act on one of the city’s shopping streets. So, the work is also a critique of how wars are made invisible in the midst of everyday life.” (Felipe Barbosa, in a video interview with the curator Nelson Ricardo Martins)
Books that glorify dictatorial regimes or portray prominent figures of these regimes are cut into strips and thrown out of the window of a house located on Visconde Luz Street. This act evokes new year’s celebrations, when, in the commercial districts of major Brazilian cities, documents are shredded and thrown from buildings, symbolizing the disposal of the past and the hope for a new beginning.
The action takes place within the Anzero Ágora - Freedom and Fantasy project, during the fifth edition of the Anzero Coimbra Biennial. The theme, entitled “The Ghost of Freedom,” celebrates the 50th anniversary of April 25th, when Portugal once again became a democratic country after enduring 48 years of Salazarist dictatorship (1926 - 1974).
The curatorial selection prioritizes repertoires that are on the margins, focusing on works by women, immigrants, quilombolas\(^2\), popular artists, Black people, the LGBTQIA+
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[2] TN. Afro-Brazilians who live in quilombos, communities initially settled by run-away enslaved men and women.
community, and indigenous peoples. Over six days, a series of performances, urban actions, site-specific works, video installations, lectures, and videos were showcased in a house located in the city’s historic district and nearby streets.
“At this moment, as we celebrate the fifth years of April 25th, we address the issue of books that are always heavily attacked during dictatorships. We are currently experiencing a global rise of the far right, where education, universities, and many books are being censored. In Brazil, we saw this happening during the previous government… Books are being misinterpreted and lies are made-up to spread hate. Since the event sought to highlight freedom, we wanted to celebrate the enduring desire to be free with our work, drawing from the new year’s tradition in Brazil, when offices throw shredded documents out of windows on December 31 as a form of closure. With this in mind, we shredded various books that bolster the idea of dictatorship, exalt subjects that strengthen repression, and promote the ideas of family and religion as instruments of repression, which are nothing more than manuals created by white men to keep people oppressed and at their service. We shredded these books to perform a kind of cleansing, transforming instruments of repression into confetti and streamers, so these sad books, in shredded paper form, may bring some joy.” (Rosana Ricalde, in a statement to Nelson Ricardo Martins in a video shot before the beginning of the action)
The leaves of the pandanus plant are long, narrow, and have a distinctive waxy texture that helps them retain moisture in arid environments. The leaves are also used for various purposes, including thatching roofs and making mats and baskets.
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MÁRCIO ELIAS DOS SANTOS FERREIRA
Coordenadora de Meio Ambiente da Gerência de Recursos Naturais e Áreas Protegidas
Environmental Coordinator for Natural Resources and Protected Area Management
LAÍLA MEDEIROS
Supervisor Administrativo da Gerência de Recursos Naturais e Áreas Protegidas
Administrative Supervisor of Natural Resources and Protected Areas Management
FERNANDO CALHEIROS DE MORAES JUNIOR
Administração
Management
ANDRÉ NEVES
CÁSSIA AMARO
ERICA ANDRADE
FERNANDA KLEIN
FELIPE FERNANDES
JENNIFER RANGEL
JOSANA SAGRILLO
SUYAN GAVA
VITOR CASTRO
Biodiversidade
Biodiversity
ANA KARINE PEIXOTO
ANDRÉ CARDOSO
DÉBORA MENDONÇA
DIEGO BALESTRIN
NATALIA PAES
SAYONARA COMETTI
TIAGO GODINHO
Manutenção de Áreas Verdes e Coleções Vivas
Maintenance of Green Space and Living Collections
MIGUEL EFFGEN
Infraestrutura
Infrastructure
HUMBERTO CERRI
RODRIGO MOULIN
Herbário e Coleções Científicas
Herbarium and Scientific Collections
GEOVANE SIQUEIRA
EXPOSIÇÃO
EXHIBITION
Coordenação Geral General Coordination
CLAUDIA AFONSO
Curadoria Curatorship
RONALDO BARBOSA
Produção Production
AUTOMATICA
DIOGO FERNANDES
LUIZA MELLO
MARIANA SCHINCARIOL DE MELLO
MARISA S. MELLO
Produção Local Local Production
LORENA SIMÕES
Arte-educatora Art Education
JANAINA MELO
Mediadores Reserva Natural Vale
Empresa contratante: Grupo Dikma
Mediators Reserva Natural Vale
Contracting company: Dikma Group
CATRIELI BERGAMO CRIVELARI
Identidade Visual Visual Identity
LIN LIMA
Design Gráfico Graphic Design
LIN LIMA
FELIPE GOMES
Registro Fotográfico Photographic Recording
CLARABOIA IMAGEM
Registro Videográfico Video Recording
MOLAA HUB CRIATIVO
Versão para Inglês English Translation
JULIA DEBASSE
Revisão de Texto em Inglês
Proofreading of English Text
MICHELLE LEBOWE
Revisão de Texto em Português
Proofreading of Portuguese Text
KHALIL ANDREZZI NAIME
Assessoria de Imprensa Press Office
LR COMUNICAÇÃO
AGÊNCIA GUANABARA
Projeto de Acessibilidade Accessibility Project
MUSEUS ACESSÍVEIS
Impressão do Catálogo Book Print
IPSIS
Impressão Folder Folder Print
GSA
Engenharia Engineering
MARCOS ASCHAUER
FELIPE GERÓNIMO (ABRANGE ENGENHARIA)
Metalurgia Metalworking
RAMTELLI SERVIÇOS
Fundação Staking
START ESTAKEAMENTO
Montagem Installation
DANILO MONTAGENS
Comunicação Visual Visual Communication
FÁBIO SOUTO
Programa Aprendiz Museu Vale
Aprendiz Program
Coordenação Coordination
KARENN AMORIM
Professores Teachers
CLARA PIGNATON
ELSIMAR ROSINDO TORRES (SENAC)
LUCAS PIGNATON
NICOLAS SOARES
Estudantes Students
ANA PAULA PATROCINIO VIEIRA
EMILY RIBEIRO FIRMINO
ESTEFANY DA SILVA AMORIM
EVELIN SOUZA SOARES
HELENA VERVLOET DE MELO
HIGOR CALDEIRA BOREL
JOSÉ AUGUSTO RIBEIRO BOTELHO
KAIO SANTOS NASCIMENTO
KAÚ SANTOS NASCIMENTO
LARA EMANUELLY ANDRADE DE ALMEIDA
LAVÍNIA DOURADO FUNDÃO
MARIA EDUARDA PEIXOTO MIRANDA
MURILO SILVA EMILIO
VICTOR RIHAN SENA DE ARAUJO
Produção Production
FRIDA PROJETOS CULTURAIS, SOCIAIS E EDUCACIONAIS
PARQUE BOTÂNICO VALE
VALE BOTANICAL PARK
Coordenadora de Meio Ambiente e Ativos Socioambientais Coordinator of Environment and Socioenvironmental Assets
TATIANA RODRIGUES
Administrativo Administrative
WAGNA ZANON
Biodiversidade Biodiversity
PAULO MAIOLI
Educação Ambiental Environmental Education
NILLHER OLIVEIRA
PRISCILA MENDES
JUDISMARA NAZARETH
Eventos Events
JANINE PIAZAROLO
Infraestrutura Infrastructure
PRISCILA MENDES
Saúde e Bem-estar Health and Well-Being
FRANKILYN OLIVEIRA
Uso Público | Apoio a Gestão
Public Use | Management Support
GLAUCIA GABLER
Agradecimentos Acknowledgments
Técnico de Segurança do Trabalho
Work Safety Technician
JABES ROCHA MALAVASI
Técnico em Segurança do Trabalho Sênior
Senior Work Safety Technician
RANTER VIDAL
Equipe de Limpeza e Organização de Alojamento – Empresa Delta Cleaning and Organization Staff - Empresa Delta
VINÍCIUS NUNES DOS SANTOS ALVES
INGRIDI ANDRÉ ANCHIETA
EDSON MARTINS BATISTA
ZENILSA SILVA SANTOS
Equipe de Cozinha – Empresa Líder
Kitchen Staff- Empresa Líder
TATIELE BARBOSA ALVES NUNES
SHIRLY APARECIDA SANT’ ANNA LAFAEITE
MARIA ALCILENE QUIQUI DE MEDEIROS
Equipe Áreas Verde – Empresa Emflora Green Area Staff- Empresa Emflora
JOSUÉ MENEZES SOUZA
VICENTE AGOSTINHO FILHO
PETHERSON ROSA DIÓGENES
EREMIS JOSÉ DOS SANTOS
WELTON DE OLIVEIRA SILVA
ARTHUR RIBEIRO
DANIEL DOS SANTOS LOPES
JOÃO PAULO FERREIRA
JÔNATAS DA SILVA QUIQUI
ALEXSANDRO GIACOMIM
DIMAS ALMEIDA ZANELLI
Tipografia Typography Franklin Gothic URW, Segoe UI e Acumin Variable
Papel miolo Book block paper Munken Lynx Rough 120 g/m²
Impressão Printing IPSIS
Tiragem Print run 1000
Iniciativa
Parceria
Produção
Patrocínio
Realização
Lei de Incentivo à Cultura
Lei Rouanet
Museu Vale
INSTITUTO CULTURAL VALE
Reserva Natural Vale
Parque Botânico Vale
A Auto Nata
VALE
MINISTÉRIO DA CULTURA
GOVERNO FEDERAL
BRASIL
UNIÃO E RECONSTRUÇÃO
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Assessment Report
2007 Mathematical Methods & Mathematical Methods (CAS) GA 2: Exam 1
GENERAL COMMENTS
The number of students who sat for the 2007 examination was 15 770, which was 834 fewer than the 16 604 who sat in 2006. Around 8% scored 90% or more of the available marks, compared with 16% in 2006, and 2% received full marks, compared with 3% in 2006.
The overall quality of responses was not as strong as that of recent years; however, there were many very good responses and it was rewarding to see the quite substantial number who worked through the questions to obtain full marks. It was, however, disappointing to find that a significant number of students were unable to obtain any marks on the paper. There appeared to be a wider gap between those students who understood the material of the course and those who did not than in the previous year. Too many students were unable to correctly evaluate simple arithmetic calculations, including fractions, or simple algebraic expressions. Probability was an area of weakness and many students did not score well on these questions.
While there was no significant difference evident between the responses of Mathematical Methods students and Mathematical Methods (CAS) students, the mean performance on individual questions by Mathematical Methods (CAS) students was slightly better than their Mathematical Methods counterparts.
Students again need to be aware that the instruction to show appropriate working when more than one mark is available is applied rigorously when marking the papers. Failure to show appropriate working results in marks not being awarded where only an answer is given in response to the question. Similarly, incorrect, careless and sloppy notation is penalised: in particular, the dropping of 'dx' from anti-differentiation and integration expressions. Graphs should be drawn showing correct features, such as smoothness and endpoints.
Students need also to be reminded that material from Units 1 and 2 of the study can be drawn on; Question 6, which related to basic probability, was an example of this. Question 11b. on conditional probability was another example and this area is often seen in either examination 1 or 2 questions. As noted in previous assessment reports, there continues to be difficulty with algebraic skills, setting out, graphing skills and the proper use of mathematical notation. This was evident again this year in almost every question on the paper.
SPECIFIC INFORMATION
Question 1
| Marks | 0 | 1 | 2 | Average 1.5 |
|---|---|---|---|---|
| % | 16 | 21 | 62 | |
Many students were able to obtain the correct answer; however, some students failed to gain both marks because they then incorrectly factorised the correct expression. Students should be advised against proceeding beyond what is explicitly asked for in a question. Students who attempted to use the product rule rather than the quotient rule often could not find the derivative of ( ) ( 1 sin ) x − . Incorrect responses included simply differentiating the numerator and 2 3 x
cos denominator separately to obtain
( ) x
, cancelling sin(x) or adding numerator terms to give
Question 2a.
Assessment Report
This question was generally well answered, with many students knowing at least one logarithm law. Common mistakes included simply cancelling the logarithms, adding to obtain 3x + 7, or multiplying to get 6x + 5.
Question 2b.
Given that this was a standard application of the chain rule for differentiation, the question was not well answered.
Some students attempted to use the product rule. Common responses were ( ) ( ) ( ) 2 1 1 1 , and tan sec cos x 2 x x . It was not uncommon to see students substitute 4 π into their expression but then fail to evaluate it, possibly due to not knowing the relevant exact values.
As seen in recent years, students' ability to deal effectively with both circular functions and logarithmic functions was an area of concern.
Question 3a.
Many students had difficulty sketching the graph and including all the required information. Common errors were drawing the cusp point at x = 0 as a closed circle as well as the point at x= 3, not indicating endpoints or showing them as open circles at x = 0 or at x = 3, showing endpoints at extreme left and right, and excluding the section to the right of x = 3 altogether. Some students were happy to draw many-to-many relationships or inverse relations. Other students drew only the section (─3, ∞) correctly. This section could also have been drawn with a suitable curve.
Question 3b.
R\{0,3}
Assessment Report
In this question, students often gave responses that were inconsistent with the graph they had drawn in part a. As always, R was a popular response regardless. Use of notation was slightly better than in previous years; however, union and intersection were sometimes confused as was the use of round, square or curly brackets.
Question 4
| Marks | 0 | 1 | 2 | 3 |
|---|---|---|---|---|
| % | 28 | 20 | 10 | 42 |
Some students had difficulty deciding on how to label variables; x was sometimes interchangeable with d or h and little or no consistency was evident through the question. Most students were able to correctly differentiate V with respect to x but then either incorrectly used the chain rule or could not manage the arithmetic required. Common errors were to simply substitute 4 into V or to substitute into the derivative.
Question 5
| Marks | 0 | 1 | 2 | Average 0.8 |
|---|---|---|---|---|
| % | 46 | 29 | 26 | |
Students generally either attempted to use the binomial distribution or a tree diagram to answer the question. Some were
⎛ 1 1
4
unable to evaluate
n
n
⎝ 2 1
⎞=
⎜ ⎟
⎠ 6
n
or the binomial coefficients. Students should know that and
. Notation
1
n
C=
1 n
C
−
=
was poor and often made it difficult to ascertain if the student really understood what was required. Common responses were 0.5 2 + 0.5 3 + 0.5 4 , or a combinations of such, and incomplete tree diagrams. Probabilities greater than 1 were also seen.
Question 6
Students generally either did very well on this question or not well at all. For a basic probability question it was very poorly done. Probabilities greater than 1 were seen too often and arithmetic was again an issue for some.
Question 6a.
Students who used a Venn diagram or Karnaugh map usually obtained the correct answer. Many students either just added or multiplied and ( ) Pr A′ ( ) Pr B . Some students attempted unsuccessfully to develop a formula.
Question 6b.
| Marks | 0 | 1 |
|---|---|---|
| % | 77 | 23 |
Assessment Report
A lot of incorrect attempts were seen for this question. A very popular incorrect response was 4 15 , obtained by confusing independent events with mutually exclusive events.
Question 7
| Marks | 0 | 1 | 2 | 3 | Average 1.1 |
|---|---|---|---|---|---|
| % | 56 | 9 | 7 | 28 | |
This question should have been a standard and familiar calculus problem, but was not well answered. Some students differentiated, while others ignored x and proceeded to anti-differentiate regardless. The instruction 'hence' was often ignored. Setting out and notation were very poor in this question and 'dx' often did not appear. Many students were unable to rearrange the expression.
Question 8a.
| Marks | 0 | 1 | 2 | Average 1.1 |
|---|---|---|---|---|
| % | 41 | 14 | 45 | |
This question was handled reasonably well. The biggest hurdle for many students was not knowing the correct basic angle for the exact value and therefore being unable to obtain the correct result for x. Other common errors were giving answers outside the given domain, including negative values, or only finding x = 2.
Question 8b.
| Marks | 0 | 1 | 2 |
|---|---|---|---|
| % | 62 | 18 | 20 |
The graph of 2 sin 3 x y π ⎛ ⎞ = ⎜ ⎟ ⎝ ⎠ has first maximum turning point at 3 2 2 4 x π π 3 = × = . The graph is translated 1 unit to the right, so 3 4 7 4 4 4 x = + = is where the maximum first occurs.
or
The maximum first occurs when
2007 Assessment Report
or
Students found this question quite challenging, and a significant number did not know what was required. Many students encountered problems when attempting to set up an equation: ( ) 3 1 f x 2 − + became and this led to x = 1. Many variations on this theme were seen. Some students attempted to find the derivative of an almost correct expression, which they then equated to zero. Other students attempted to find when ( ) 3 1 f x ′ − = 0 ( ) ( ) 2 1 sin 1 3 x π − = ; this was sometimes successful. Only a small number of students attempted to find the answer by transformation.
This question proved to be a good discriminator of overall student performance.
Question 9
This should have been a straightforward question.
Question 9a.
| Marks | 0 | 1 | 2 | Average 1.1 |
|---|---|---|---|---|
| % | 35 | 20 | 44 | |
Students often had difficulty correctly finding the y intercept; (0, 1) was a common answer, leading to the normal being y = ─2x + 1. Quite a few students differentiated but then did not find the value of the derivative at x = 0 and simply substituted the expression for the derivative into the equation of the normal, which led to incorrect attempts at algebraic manipulation and non-linear normals. Some students found a tangent instead.
Question 9b.
| Marks | 0 | 1 | 2 | 3 | Average 1.3 |
|---|---|---|---|---|---|
| % | 38 | 18 | 17 | 27 | |
Most students correctly set up an area expression but some were unable to proceed due to their 'normal' not being a linear expression. Many had the correct terminals, although 2 instead of 1 was a popular incorrect value. Arithmetic errors appeared frequently and subtraction mistakes in the integrand were also common. Some students also lost '1' from the equation of the curve. The use of 'dx' was surprisingly good. A few students used the area under the curve minus the triangle with some success.
2007 Assessment
Report
Question 10
| Marks | 0 | 1 | 2 | 3 | Average 1.6 |
|---|---|---|---|---|---|
| % | 31 | 15 | 21 | 33 | |
This question was generally well answered. Many students were able to set up the correct expression and integrate correctly. However the 1 3 2 ⎛ ⎞ ⎜ ⎟ ⎝ ⎠ sometimes became 3 2 instead of 2 3 . Too many students were unable to evaluate the
⎛ 3 ⎞
expression 9
⎜ ⎟
⎝
9 1
⎜
2
9
kx dx
⎛
⎞
− ⎟
0
⎝
⎠
∫
Question 11
Some students who were unable to obtain any other marks on the paper correctly answered both parts of this question. However, overall this was not well answered.
Question 11a.
| Marks | 0 | 1 | 2 | Average 1.1 |
|---|---|---|---|---|
| % | 37 | 14 | 49 | |
or, using a tree:
Common incorrect responses included incorrect values on the branches of the tree or just taking one branch to obtain . Multiplication of decimals was not well done by some students. 0.8 0.4 0.32 × =
Question 11b.
2 ⎠
=
correctly. Some students who had little idea simply set the given expression equal to 27.
27was also quite common.
2007 Assessment Report
This was a poorly answered question, with many students obtaining no marks. Again, students struggled with conditional probability. Despite copying the formula from the formula sheet, students did not apply it to their values.
Common responses included ( ) ( ) Pr Pr T F F ⋅ or ( ) Pr answer to part a. F . Quite a few students didn't use their previous answers at all.
Question 12
| Marks | 0 | 1 | 2 | 3 | 4 |
|---|---|---|---|---|---|
| % | 67 | 5 | 4 | 3 | 20 |
The equation of line OP is (OP is perpendicular to y = 10 – 2x for minimum length) y x =
1 2
The point of intersection 1 10 2 2 x x = − gives x = 4. The coordinates of P are (4, 2), hence the minimum length is 2 5
or
or
so applying the quadratic formula and symmetry, or similar consideration, to identifies the minimum value as occurring at x = 4. 2 5 40 100 x x − +
This proved to be a challenging question for most students. Many did not know what they were required to find, or how to go about it if they did. Many different methods of solution were attempted, the most common being to use the normal, or the distance expression. A common, incorrect response was to find intercepts (0, 10) and (5, 0) on the line then use the distance between two points to find the distance to be 5 5 . Other common, incorrect responses involved taking P as the midpoint of the line, guessing and checking solutions without justification, incorrectly differentiating the distance equation, or using an incorrect diagram. A small number of students used a vector approach to solve the problem. Some attempts at geometrical solutions were also seen with varying degrees of success.
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News from the Association of Insolvency & Restructuring Advisors
The Common Interest Privilege: Two Recent Cases Clarify Its Application to Protect Plan Negotiations
Sara Beth Kohut Young Conaway Stargatt & Taylor, LLP
ALSO IN THIS ISSUE
¾ ¾ LETTER FROM THE PRESIDENT
Stephen Darr, CIRA, CDBV
¾ ¾ RETURNING TO PROFITABILITY
David M. Bagley
¾ ¾ AIRA SCHOLAR IN RESIDENCE
Jack F. Williams
¾ ¾ BANKRUPTCY TAXES
Forrest Lewis, CPA
¾
Baxter Dunaway
¾ BANKRUPTCY CASES
Two recent decisions from the United States Bankruptcy Court for the District of Delaware add clarity to the application of the common interest privilege to plan negotiations. In the case of Leslie Controls, Inc. ("Leslie"), 1 Bankruptcy Judge Christopher S. Sontchi held that parties to a plan pursuant to 11 U.S.C. § 524(g) could rely on their common interest in maximizing the debtor's assets to withhold from discovery certain documents exchanged during their prepetition negotiations. Following Leslie, Bankruptcy Judge Kevin J. Carey similarly concluded that plan proponents in the Tribune Company bankruptcy proceedings could rely on a common interest to withhold the communications they shared while mediating a settlement and proposed plan from discovery sought by proponents of a competing plan. 2
with the Ad Hoc Committee and the Pre-Petition FCR. The Plan Parties withheld the documents on the grounds that they were protected under the common interest doctrine. 4 The documents included a memorandum from Leslie's insurance counsel analyzing the effect of the insurers' likely coverage positions and communications among the Plan Parties regarding that advice. 5 On September 21, 2010, Judge Sontchi resolved the discovery dispute by holding that the common interest privilege protected the documents because they concerned and were exchanged in furtherance of the Plan Parties' shared legal interest in preserving and maximizing the debtor's total asset "pie," even though the Plan Parties had conflicting interests as to how the "pie" ultimately would be distributed.
LESLIE—SHARED INTEREST IN PRESERVING AND MAXIMIZING DEBTOR'S ASSETS
In Leslie, Judge Sontchi clarified the scope of the common interest privilege and found that the debtor's insurers were not entitled to discovery of certain documents exchanged by the debtor and other parties in the course of developing a prenegotiated plan. 3 Leslie demonstrates that the parties negotiating a plan need not share a complete unity of interests on a legal position for the common interest privilege to apply. Rather, the common interest privilege will apply to the extent they have a shared cognizable legal interest.
On July 12, 2010, Leslie filed a plan it had negotiated prepetition with an ad hoc committee representing asbestos plaintiffs (the "Ad Hoc Committee") and Leslie's proposed future claimants' representative (the "Pre-Petition FCR") (Leslie, the Ad Hoc Committee and the Pre-Petition FCR are collectively referred to as the "Plan Parties"). Subsequently, two of Leslie's insurers sought 26 documents that Leslie had shared
1 In re Leslie Controls, Inc., 437 B.R. 493 (Bankr. D. Del. 2010).
3 Id. at 493.
2 In re Tribune Co., Case No. 08-13141 (KJC), 2011 Bankr. LEXIS 299 (Bankr. D. Del. Feb. 3, 2011).
Preliminarily, the court found, based on in camera review, that the documents were protected by the attorney-client privilege and/or work product doctrine because they concerned counsel's legal analysis and mental impressions in anticipation of litigation in the bankruptcy and/or insurancecoverage proceedings. 6 Any waiver of that privilege turned on whether the debtor satisfied the standards of the common interest privilege: "The party invoking the protection of the common interest doctrine must establish: (1) the communication was made by separate parties in the course of a matter of common interest, (2) the communication was designed to further that effort, and (3) the privilege has not otherwise been waived." 7 While the privilege does not require a "complete unity of interests[,]. . . it is limited by the scope of the parties' common interest." 8
The insurers argued that Leslie waived any privilege by sharing the documents with the Ad Hoc Committee and Pre-Petition FCR, because the Plan Parties lacked an interest that was legal and common. 9
4 Id. at 495.
6 Id. at 497.
5Id.
7 Id.
9 Id. at 497.
8 Id. at 500.
Interest Privilege continues on p. 20
Interest Privilege continues from p. 1
The insurers asserted that the common interest asserted by the Plan Parties – that of preserving and maximizing the estate's insurance assets – was, at best, a shared commercial, not legal, interest. 10 Further, the insurers claimed that the Plan Parties lacked a common issue when the documents were exchanged because at that time they had yet to agree on the terms of a plan and were adversaries with respect to the debtor's insurance proceeds. 11
The court rejected the insurers' argument, finding the precedent they cited factually distinguishable or favorable to Leslie. The cases established that the party claiming the common interest privilege must present evidence implicating a legal interest. 12 Leslie met that standard because, when it exchanged the documents, the Plan Parties all shared the interest of preserving and maximizing the debtor's insurance assets to pay asbestos claims:
As representatives of the ultimate beneficiaries of at least a portion of the proceeds [the Ad Hoc Committee and the Pre-Petition FCR] were directly involved in the effort to maximize insurance coverage. They were working with the Debtor to maximize the size of the pie. Whether their competing interests in getting the biggest piece of the pie prevented the application of the common interest doctrine in this case is another matter. 13
The interest of maximizing the insurance assets was "inherently legal" because it involved analysis of insurance documents and contract, insurance and bankruptcy law and proceedings in the bankruptcy court. 14
The court declined to adopt a black-line rule "that parties engaged in negotiations cannot share a common interest[,]" because the particular facts of each case determine whether a common interest exists. 15 The facts of Leslie showed that, although the Plan Parties had conflicting interests as to distribution of the debtor's assets, they shared a common interest in maximizing those assets against the insurers, their "common enemy":
10 Id.
12 Id. at 500.
11 Id. at 498
13 Id.
15 Id. at 501-02.
14 Id.
20 April/May 2011 Vol. 25 No. 1
To return to the pie analogy, the size of the pie and the size of the pieces are two separate questions. The parties are in accord as to the former and adversaries as to the latter. The information contained in the documents that were shared with the Ad Hoc Committee and the Pre-Petition FCR goes to the size of the asset pool – a matter of common interest. 16
Because the Plan Parties shared a common legal interest, all 26 documents were protected from discovery under the common interest doctrine. 17
Pursuant to the Leslie opinion, parties negotiating a chapter 11 plan of reorganization may rely on the common interest privilege to exchange documents in furtherance of the common legal interest of preserving and maximizing the debtor's assets. The protection is not negated simply because the exchange occurs before the parties agree to plan terms and have competing interests as to whose constituency will receive the biggest piece of the debtor's asset pie.
Tribune—Shared Interest in Obtaining Court Approval of Proposed Settlement and Plan
In Tribune, Judge Carey adopted and followed much of the reasoning of Leslie to resolve a discovery dispute between competing proponents of reorganization plans. The Tribune Company and certain of its subsidiaries (the "Debtors") filed for bankruptcy protection on December 8, 2008. 18 In 2007, Tribune had been the subject of a leveraged buyout, which gave rise to certain potential causes of action (the "LBO Causes of Action"). 19 On September 1, 2010, the court appointed Bankruptcy Judge Kevin Gross to mediate negotiations among various parties with respect to a plan of reorganization and a resolution of the LBO Causes of Action. 20 After the mediation, four competing plans were filed, including one proposed by certain noteholders (the "Noteholders" or "Noteholder Plan Proponents") and one proposed by the Debtors, the Official Committee of Unsecured Creditors (the "Committee") and certain lenders (the "Lenders", collectively with the Debtors
16 Id. at 502.
18 Tribune, 2011 Bankr. LEXIS 299, *3-4.
17Id. at 503.
19 Id. at *4 n.6. 20 Id. at *7-8.
and the Committee, the "Debtor/ Committee/Lender Plan Proponents" or "DCL Plan Proponents"). 21
The Noteholders filed a motion to compel documents from the Debtor/Committee/ Lender Plan Proponents regarding their plan's proposed settlement of the LBO Causes of Action to "test the arms-length nature and good faith of the settlement negotiations." 22 The dispute focused on objections to producing documents (1) protected by the common interest privilege, (2) protected by a mediation order (the "Mediation Order", which directed that all mediation discussions, documents and communications were confidential, inadmissible, and could not be disclosed to any non-party 23 ), Local Bankruptcy Rule 9019-5(d) and Federal Rule of Evidence 408, and (3) for the time period from the petition date to December 15, 2009, when the court entered an order authorizing the Debtors to create a centralized document depository program in connection with the Committee's investigation of the LBO Causes of Action (the "Document Depository Order"). 24 With respect to the common interest privilege, the parties disputed whether the privilege applied and, if so, when the privilege arose and the scope of its protection.
The Noteholders argued that the common interest privilege did not apply because the Debtors, the Committee, and the Lenders shared no common interest; the former two wanted to maximize the estate, while the latter wanted to resolve the LBO Causes of Action by paying the least amount possible. 25 The DCL Plan Proponents asserted that they shared a common legal interest to gain court approval of their proposed plan and settlement. 26
The Tribune Court adopted the reasoning of Leslie as to the elements and applicability of the common interest privilege and its recognition that the existence of a common interest "must be determined on a case by case basis." 27 Although their interests were not completely in accord, the court concluded that the DCL Plan Proponents shared a community of
21 Id. at *2-3, 9.
23 Id. at *26-27 n.18.
22 Id. at *11.
24 Id.
26 Id. at *13.
25 Id. at *12-13.
27 Id. at *13-16.
AIRA Journal interests based on their common legal interest to resolve the legal dispute among them by obtaining court approval of their proposed settlement and plan. 28
As to when the common interest privilege arose, the DCL Plan Proponents asserted they had a common interest when the mediator filed the parties' term sheet on October 12, 2010. 29 The Debtors and two lenders claimed they shared an interest as of September 27, 2010, when they agreed to become plan proponents and resolve the LBO Causes of Action. 30 The Noteholders argued no privilege existed until the DCL Plan Proponents filed their plan on November 23, 2010, and the term sheets were not a sufficient trigger because the parties had continued to negotiate the plan terms. 31 The court agreed with the DCL Plan Proponents that their common interest arose on October 12 (and on September 27 for the Debtors and two lenders) because they had agreed upon the material terms of their settlement and "it is reasonable to conclude that the parties might share privileged information in furtherance of their common interest of obtaining approval of the settlement through confirmation of the plan." 32 Whether particular communications were protected based upon that common interest depended on the DCL Plan Proponents' ability to demonstrate that the communications were privileged and met the three-part test of Leslie. 33
With respect to the scope of the privilege, the Noteholders argued the common interest covered only communications written or made by lawyers because the privilege only applied to communications protected by the attorney-client privilege or work product doctrine. 34 The DCL Plan Proponents objected that the Noteholders' attempt to limit the "common interest communications" to those prepared by lawyers would artificially limit the privilege and needlessly require the funneling of communications through attorneys. 35 The court concluded that the Noteholders' proposal was too restrictive, noting that the DCL Plan Proponents would have the
28 Id. at *15-16.
30 Id. at *17.
29 Id. at *16-17.
31 Id.
33 Id. at *18 n.13.
32 Id. at *17-18.
34 Id. at *19.
35 Id. at *23.
AIRA Journal opportunity to show that the discovery sought was covered by the privilege. 36
The Noteholders argued that the mediation information sought was not protected by the Mediation Order, Local Rule 9019-5(d) or Fed. R. Evid. 408 because the DCL Plan Proponents put the requested discovery at issue by claiming their settlement was fair as a result of mediation with a judge and that it was unfair for the DCL Plan Proponents to use the Mediation Order as both a sword and a shield. 37 In response, the DCL Plan Proponents offered to disclose information regarding the mediation process, but not its substance, by producing communications (1) about the negotiation and abandonment of an earlier proposed plan, (2) prior to mediation, and (3) that occurred outside the mediator's presence or on a non-mediation day. 38
The court noted that courts within the Third Circuit require a party seeking discovery about a settlement to make a particularized showing of relevance and that precedent and Delaware Bankruptcy Rule 9019-5(d) reflect a strong policy that confidentiality is "essential" to "promoting full and frank discussions during a mediation." 39 In light of the facts that the case was complex and involved a large media company, challenges to an $8 billion leveraged buyout, and mediation between twelve parties collectively owed billions of dollars, the court determined that the DCL Plan Proponents' proposal was reasonable and "an appropriate balance between allowing discovery of potentially relevant information and protecting the confidentiality of the mediation." 40 The court adjusted the proposal, however, to protect communications between or among mediation parties concerning the mediation to the extent the communications were exchanged on a mediation day only if the communications were between mediation parties who were present at the mediation or participated remotely. 41
Finally, the court concluded that the appropriate start date for the discovery was the date of the Document Depository
36 Id. at *23-24.
38 Id. at *28.
37 Id. at *25.
39 Id. at *28-30.
41 Id. at *32.
40 Id. at *31-32.
Order and not the earlier petition date. 42 That time frame allowed discovery as to the LBO-related settlements, while limiting the burden and expense of timely completing discovery. 43 The court rejected the Noteholders' contention that they should have full discovery of all settlement discussions that occurred during the Debtors' chapter 11 case because the LBO settlement was a part of plan confirmation. 44
Accordingly, the court granted in part and denied in part the motion to compel. The court concluded that the common interest privilege applied to communications the DCL Plan Proponents shared in furtherance of their common interest after October 12, 2010 (or September 27, 2010 for the Debtors and two lenders). The Noteholders could not discover, inter alia, communications between a mediation party and the mediator, communications between or among mediation parties who were present or participating offsite in mediation with the mediator, and communications showing the substance of the mediation discussion. The Noteholders could, however, seek discovery of information since December 15, 2009.
Echoing the Leslie Court's refusal to issue a black-line rule, the Tribune Court cautioned against a broad reading of its decision and advocated a fact-specific inquiry with respect to the common interest privilege:
A determination involving whether a community of interest privilege applies is an intensely fact-and-circumstancedriven exercise. The balancing of tensions which arise during the search for truth may, depending upon the particular circumstances involved, fall either way. Guided by Circuit precedent, other persuasive decisional law, applicable local rule, and orders governing mediation, I have decided that the matter before me involves circumstances warranting a determination that a community of interest privilege may be invoked by co-proponents of a plan. This is not to say that parties who are co-proponents of a plan or parties who reach settlements arising from mediation are always entitled to assert this privilege. Neither should it be said
42 Id. at *35.
44
43 Id.
Id. at *33.
Vol. 25 No. 1 April/May 2011 21
Interest Privilege continues from p. 21
that the privilege can never be invoked unless the circumstances involve the proposal of a joint plan or a settlement resulting from mediation. 45
Thus, pursuant to the Tribune opinion, parties who engage in mediation that leads to a bankruptcy plan, the terms of which include settlement of litigation among
45 Id. at *35-36.
NEW CIRAS
Josephine Giordano
Phoenix, AZ
Sierra Consulting Group LLC
Mesirow Financial Consulting LLC Chicago, IL
Eric Goehausen
Alvarez & Marsal North America, LLC Chicago, IL
Stanley Grabish
Focus Management Group Tampa, FL
Mark Greenberg
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FTI Consulting, Inc.
David Hales
Loughlin Meghji + Company New York, NY
Matthew Hart
Lazard Freres & Co. New York, NY
John Hemingway
Chicago, IL
Huron Consulting Group LLC
Bette Hiramatsu
Hiramatsu and Associates Los Angeles, CA
Peter Hoberman
New York, NY
Traxi LLC
Jeffrey Huddleston
Conway MacKenzie, Inc. Houston, TX
Brendan Joyce
Troy, MI
FTI Consulting, Inc.
Aaron Kibbey
Loughlin Meghji + Company New York, NY
Justin Koehler
Richmond, VA
Protiviti Inc
Nishant Machado
Bloomfield Hills, MI
Mackinac Partners
Eric Markin
Andrew Meislin
Lauhala Mortgage Kailua Kona, HI
Kenji Mochizuki
University of Pennsylvania Philadelphia, PA
Edwin Ordway, Jr.
Saddle Brook, NJ
Capstone Advisory Group, LLC
Omer Ozgozukara
Huron Consulting Group LLC New York, NY
Brian Phillips
Birmingham, MI
Amherst Partners, LLC
Richard Pollack
Berkowitz Dick Pollack & Brant LLP Miami, FL
Jeffrey Potter
Mesirow Financial Consulting LLC New York, NY
Devi Rajani
Toronto, Ontario
FTI Consulting, Inc.
Matthew Roling
AlixPartners, LLP Southfield, MI
Dan Rouse
AIG Commercial Equipment Finance Plano, TX
Marc Salotti
New York, NY
AlixPartners
Shavi Sarna
Alvarez & Marsal North America, LLC Southfield, MI
Justin Adendorff
Barrier Advisors Inc Dallas, TX
Liam Ahearn
Capstone Advisory Group, LLC Saddle Brook, NJ
Brett Anderson
Huron Consulting Group LLC Chicago, IL
Brian Aronson
Capstone Advisory Group, LLC Saddle Brook, NJ
David Bott
KenWood & Associates, P.C. CPAs Sugar Land, TX
Jennifer Byrne
FTI Consulting, Inc. San Francisco, CA
Adam Chonich
Capstone Advisory Group, LLC Chicago, IL
Jason Cristal
Group LLC
GlassRatner Advisory & Capital
Atlanta, GA
Corey Dong
Loughlin Meghji + Company New York, NY
Matthew English
Bailey, Elizondo & Brinkman, LLC Walnut Creek, CA
Brian Fenley
Denver, CO
FTI Consulting, Inc.
B. Fletcher
Marotta, Gund, Budd & Dzera, LLC New York, NY
Michael Fuller
Private Advisors, LLC Richmond, VA
22 April/May 2011 Vol. 25 No. 1
them, may share a common legal interest in obtaining court approval of that plan and the settlement embodied in it. As a result, the common interest privilege will apply to protect the communications the parties exchanged in furtherance of their common legal interest from discovery of proponents of a competing plan.
Conclusion
Leslie and Tribune clarify that a complete alignment of interests among the parties exchanging documents or communications is not necessary to satisfy the common interest privilege. A shared interest in maximizing the debtor's asset pie, despite competing interests in how that pie is distributed, merited protection under the privilege in Leslie , while a shared interest in obtaining court approval of a proposed litigation settlement and plan of reorganization following mediation
Cory Schupp
Alvarez & Marsal North America, LLC Knoxville, TN
Antone Simion
Alvarez & Marsal North America, LLC Southfield, MI Sukbin Song Ridgewood, NJ
Matthew Stewart
Greenwich, CT
Adam Tauzel
Dallas, TX
FTI Consulting, Inc.
Shantel Thomas
Kapila & Company Ft. Lauderdale, FL
Lowell Thomas
AlixPartners, LLP New York, NY
Mark Wakefield
AlixPartners, LLP Southfield, MI
Annie Wang
Loughlin Meghji + Company New York, NY
Judy Weiker
Manewitz Weiker Associates, LLC Princeton, NJ
Michael West
Office of the U.S. Trustee Wilmington, DE
Jeffrey Whetzel
NewM Group Houston, TX
Jack Williams
Detroit, MI
KPMG LLP
AIRA Journal
|
Effect of Infertility on the Quality of Life, A CrossSectional Study
Ashraf Direkvand-Moghadam 1 , Ali Delpisheh 2 , Azadeh Direkvand-Moghadam 3
ABSTRACT
Introduction: Infertility is a major life crisis which causes serious mental problems and stressful experience of infertile couples. Therefore, the aim of the present study was to compare the quality of life in fertile and infertile women.
Materials and Methods: In a cross - sectional study compared the quality of life in 450 women attending both public and private health centers in Ilam, western of Iran, in 2013. Participants were divided in two groups' fertilities and infertilities women. Data was collected by trained research midwives using demographic and SF-36 questionnaires. SPSS software Package 16 was used to analyze the data of this project. Differences were regarded statistically significant with an alpha error of 0.05.
Introduction
The word quality of life (QOL) is mentions "an individual's perception of their position in life in the context of the culture and value systems in which they live and in relation to their goals, expectations, values and concerns incorporating physical health, psychological state, level of independence, social relations, personal beliefs and their relationship to salient features of the environment quality of life refers to a subjective evaluation which is embedded in a cultural, social and environmental context" [1]. The quality of life is affected by several factors, including individual and societal factors [2]. Quality of life can be interpreted in three ways. The first definition focuses on the welfare and tranquility of life, second definition of the potential economic, social, physical symptoms or specific diseases and third definition focuses on disability and disease [3]. SF-36 is one of the most significant tests for assessing health-related quality of life.
Considering the importance of women's health, many studies have been done in this area [4]. Some of these studies have been done on pregnant women [5] and nonpregnant women have been the study population of other studies [6, 7].
The prevalence of infertility is increasing from 1955 to now and today 15-10% of all couples in worldwide suffer from infertility [8]. As in many cultures, having a child is considered major social and cultural values; the infertility is a major problem in today's medicine. Infertility is a major life crisis which causes serious Mental problems and stressful experience for infertile women [9]. Many women are faced with the difficult challenges of individual, familial, social and economical, especially in traditional societies [10]. Infertile women are prone to depression and anxiety. Neglect about the emotional disorders and others adverse outcomes of infertile couples, can have a negative impact in the treatment of this couple [11].
More than one million infertile couples living in Iran and infertility is one of the major causes of their divorce [12]. Therefore the aim of the present study was to compare the quality of life in fertile and infertile women.
Journal of Clinical and Diagnostic Research. 2014 Oct, Vol-8(10): OC13-OC15
Results: Significant difference was reported in mean age between fertile and infertile women (p=0.003). Mean scores of all Mental dimensions of quality of life were higher in fertile women in comparison with infertile women. This difference was statistically significant (58.35±19.43 vs 56.56±13.18 respectively) (p= 0.000).The mean score of all physical dimensions have not statistically significant difference in fertile and infertile women (79.77± 23.19 vs 74.96±23.45 respectively) (p= 0.441).
Conclusion: In most infertile women, the mean score of Mental dimensions of quality of life is lower in comparison with fertile women, therefore, it is necessary the used of counseling and treatment programs in infertile women.
Keywords: Effect of infertility, Mental dimension of the quality of life, Physical dimension of the quality of life, SF-36
Materials and Methods
In a cross - sectional study compared the quality of life in 450 women attending both public and private health centers in Ilam, western of Iran, in 2013.The participants were selected by the simple random sampling method. Data was collected by trained research midwives.
Inclusion criteria consisted of married women, 15-55 years old, nonpregnant and non-lactating. All menopausal women and women with known Physical and Mental illness were excluded. Participants were divided into two groups of fertile and infertile women. Fertile women were included all women who could become pregnant with regular intercourse without using contraception. Infertile women were included all women who experiencing primary or secondary infertility during study sampling.
This study was undertaken with the approval of the Ethical Committee of the Ilam University of Medical Sciences. The aim of the study was described an informed consent was obtained from all participants before the enrollment in the study.
We used of the demographic characteristics and SF-36 quality of life questionnaire for data collection. Both questionnaires were completed by trained research midwives. The content of the SF-36 questionnaire is included 36 questions and measures the quality of life in eight dimensions: physical function, role limitations due to physical problems, bodily pain, general health, vitality, social functioning, role limitations due to emotional problems and mental health. Each dimension contains 2-10 questions. Validity and reliability of SF-36 questionnaire have been confirmed in Iranian infertile women undergoing in vitro fertilization [13].
Statistical analysis
The sample size was determined by p=0.05, d=0.03 and confidence interval 95%. Mean± SD, median and percentages were used to describe the data. When a normal distribution of continuous data
| Characteristics | Group | | Total |
|---|---|---|---|
| | fertile | infertile | |
| Age* | 32.17±3.09 | 35.93±8.07 | |
| Menarche age* | 13.89±1.45 | 14.68±2.4 | |
| Married age* | 21.99±4.41 | 22.53±5.15 | |
| Education** | | | |
| Illiterate | 15(3.3) | 12(2.7) | 27(6) |
| Elementary | 15(3.3) | 4(1.1) | 19(4.4) |
| Secondary | 108(24) | 14(3.1) | 122(27.1) |
| Collegiate | 197(43.8) | 85(18.9) | 282(62.7) |
| Occupation** | | | |
| Housekeeper | 159(36.1) | 65(14.8) | 224(50.9) |
| Non-governmental jobs | 3(0/7) | 0(0) | 3(0.7) |
| Governmental jobs | 169(38.4) | 44(10) | 213(48.4) |
Comparison of characteristics between groups
[Table/Fig-1]:
*Values are given as mean ± Standard Division
**N (%)
≤
[Table/Fig-2]: Compare the age group of study participants * N (%)
| Group | | Total |
|---|---|---|
| fertile | infertile | |
| 83(18.4) | 15(3.3) | 98(21.8) |
| 139(30.9) | 38(8.4) | 177(39.3) |
| 117(26) | 58(12.9) | 175(38.9) |
[Table/Fig-3]: Compare marriage age groups in study participants * N (%), **Years
| | ≥15 | 16- 20 | 21-25 | 26-30 | 31-35 | ≤ 36 |
|---|---|---|---|---|---|---|
| Fertile | 14 (3.3) | 108 (25.6) | 119 (28.2) | 23 (5.5) | 11 (2.6) | 4(0.9) |
| Primary infertility | 0(0) | 17(4) | 2 (0.5) | 16 (3.8) | 4 (0.9) | 0(0) |
| History of primary infertility | 0(0) | 0(0) | 17(4) | 0(0) | 0(0) | 0(0) |
| Secondary infertility | 0(0) | 8 (1.9) | 25 (5.9) | 13 (3.1) | 0(0) | 0(0) |
| History of secondary infertility | 0(0) | 0(0) | 15 (3.6) | 0(0) | 0(0) | 0(0) |
| Both primary and secondary infertility | 8 (1.9) | 0(0) | 0(0) | 0(0) | 0(0) | 0(0) |
| Never been pregnant | 6 (1.4) | 2 (0.5) | 6(1.4) | 0(0) | 4(0.9) | 0(0) |
| Total | 28 (6.6) | 135 (32) | 184 (43.6) | 52 (12.3) | 19 (4.5) | 4(0.9) |
was not assumed, Mann–Whitney correlation was used to analyze the correlation between different variables. Categorical variables such as education, and job were analyzed by x 2 analysis of 3×2 contingency tables or by Fisher's exact test as appropriate, followed by a similar analysis by 2×2 tables for differences within the groups. SPSS software Package 16 was used to analyze the data of this project.
Results
A total of 450 women was studied. The Mean ± SD age was 32.17 ± 3.9 years in fertile and 35.93 ± 8.07 in infertile women. Significant difference was reported in mean age between fertile and infertile
| Characteristics | Group | |
|---|---|---|
| | fertile | infertile |
| Physical function | 60.17± 13.65 | 55.28±15.3 |
| Role limitations due to physical problems | 33± 39.95 | 23.54±18.01 |
| Bodily pain | 68.33±22.41 | 65.34±23.73 |
| General health | 49.3 ±17.28 | 54.37±12.43 |
| Vitality | 53.18± 15.25 | 53.51± 15.27 |
| Social functioning | 67.61±27.5 | 73.18 ± 22.67 |
| Role limitations due to emotional problems | 27.25±38.65 | 3.3 ±16.17 |
| Mental health | 54.14±16.48 | 61.69 ±17.87 |
[Table/Fig-4]: Comparison of quality of life scores between groups
*Values are given as mean ± SD
women (p=0.003). Demographic and obstetric characteristics of study participants are presented in [Table/Fig-1].
The most frequent age group was 26-35 years. All age groups are presented in [Table/Fig-2].
Most of the participants were married at 21-25 years. All marriage age groups are presented in [Table/Fig-3].
The mean ± SD scores for physical functioning, role limitations due to physical problems, general health, vitality, social functioning, role limitations due to emotional problems and mental health were significantly different in fertile and infertile women. But the physical pain scores were not significantly different in fertile and infertile women. Comparison of quality of life scores are presented in [Table/ Fig-4].
Discussion
This study compared the quality of life in fertile and infertile women. Based on our results, age is one factor affecting the quality of life. Khyata et al., reported that aging caused a reduction of the quality of life in infertile women [14]. In contrast, a study showed that long-term treatments in infertile couples caused better accept of their living conditions and hence increase the quality of life in older infertile couples [13].
The findings emerged from the study indicate that the major dimension quality of life of infertile women is lower than in fertile women. Infertile women have a worse situation, in the mean scores: physical function, role limitations due to physical problems, general health, vitality, social functioning, role limitations due to emotional problems and mental health. Other studies have shown that infertility is a devastating and painful experience, especially for women. Consistent with our results, a study showed that infertile women experience more feelings of helplessness in comparison to fertile women. Also, infertile women are more at risk of mental and emotional disorders, depression, anxiety, low self esteem and marital dissatisfaction. Apart from infertility factors, even when the male infertility is diagnosed, infertile women can experience anxiety more than fertile women [15].
Researchers have studied different dimensions of infertility impacts on couples. They concluded that infertility can be considered as life crisis, chronic illness and the combination of these. Due to the complicated treatments and high levels of stress, infertility has become a feature of chronic physical illness [16]. Other studies have confirmed the reduced quality of life after infertility [17,18].
El-Messidi et al., evaluated the effect of failure treatment on the quality of life in infertile couples. In this study participated 150 couples. The first group consisted of 50 couples with a history of treatment failure. Second group consisted of 50 infertile couples who have not received treatment. The control group consisted of 50 couples who have at least one child and had not history of infertility.
Journal of Clinical and Diagnostic Research. 2014 Oct, Vol-8(10): OC13-OC15
The results showed that infertility is associated with reduced quality of life. The quality of life in the control group was significantly higher in compression with other groups [19].
Conclusion
In most infertile women, the mean score of Mental dimension of quality of life is lower in comparison with fertile women, therefore, it is necessary the used of counseling and treatment programs in infertile women.
Acknowledgment
This study was approved by the Ilam University of Medical Sciences. We thank the participants, coordinators, and data collectors who assisted in this study.
References
[1] WHOQOL Group (1995). The World Health Organisation Quality of Life Assessment.
[2] Pukeliene V, Starkauskiene V. Quality of Life: Factors Determining its Measurement Complexity. Inzinerine Ekonomika-Engineering Economics. 2011; 22(2):147-56.
[3] Hunt YM, Kyle TL, Coffey SF, et al. University of Rhode Island Change AssessmentTrauma: preliminary psychometric properties in an alcohol-dependent PTSD sample. J Trauma Stress. 2006; 19(6):915-21.
[4] Direkvand-Moghadam A, Khosravi A. The impact of a novel herbal Shirazi Thymus Vulgaris on primary dysmenorrhea in comparison to the classical chemical Ibuprofen. J Res Med Sci. 2012; 17(7):668-70.
[5] Direkvand-Moghadam A, Rezaeian M. Increased intravenous hydration of nulliparas in labor. Int J Gynaecol Obstet. 2012; 118(3):213-15.
[6] Direkvand Moghadam A, Kaikhavani S, Sayehmiri K. The Worldwide Prevalence of Premenstrual Syndrome: A Systematic Review and Meta-Analysis Study. The Iranian Journal of Obstetrics, Gynecology and Infertility. 2013; 16 (65):8-17.
[7] Direkvand Moghadam A. Investigating On Relationship between Birth Weight and Prevalence and Severity of Pelvic Organ Prolapse. The Iranian Journal of Obstetrics, Gynecology and Infertility. . 2012; 15(16): 13-19.
[8] Oliva A, Spira A, Multigner L. Contribution of environmental factors to the risk of male infertility. Hum Reprod. 2001; 16(8):1768-76.
[9] Volgsten H, Skoog Svanberg A, Ekselius L, et al. Risk factors for psychiatric disorders in infertile women and men undergoing in vitro fertilization treatment. Fertil Steril. 2010; 93(4):1088-96.
[10] Ebomoyi E, Adetoro O. Socio-biological factors influencing infertility in a rural Nigerian community. Int J Gynecol Obstel. 1990; 33(1):41-47.
[11] van den Akker OB. Coping, quality of life and psychological symptoms in three groups of sub-fertile women. Patient Educ Couns. 2005; 57(2):183-89.
[12] Behjati Ardekani Z, Akhondi M, Kamali K, et al,. Mental Health Status of Patients Attending Avicenna Infertility Clinic. J Reprod Infertil. 2010; 11(4):319-24.
[13] Rashidi B, Montazeri A, Abedinia N, et al,. Health-Related Quality of life in Iranian Couples Receiving IVF/ICSI Treatment(Views: 109) PAYESH. 2012; 11(3):385-89.
[14] Khayata GM, Rizk DE, Hasan MY, et al,. Factors influencing the quality of life of infertile women in United Arab Emirates. Int J Gynaecol Obstet. 2003; 80 (2):183-88.
[15] Greil AL. Infertility and psychological distress: a critical review of the literature. Soc Sci Med. 1997; 45(11):1679-704.
[16] Kainz K. The role of the psychologist in the evaluation and treatment of Infertility. Women's Health Issue 2001; 11(6): 481-85.
[17] Coffey S, Bano G, Mason HD. Health-related quality of life in women with polycystic ovary syndrome: a comparison with the general population using the Polycystic Ovary Syndrome Questionnaire (PCOSQ) and the Short Form-36 (SF36). Gynecol Endocrinol. 2006; 22(2):80-86.
[18] Nilforooshan P, Ahmadi S, Abedi M, et al. Attitude towards infertility and its relation to depression and anxiety in infertile couples. J Reprod Infertil. 2006; 6(5):546-52.
[19] Weaver SM, Clifford E, Hay DM, et al,. Psychosocial adjustment to unsuccessful IVF and GIFT treatment. Patient Educ Couns. 1997; 31(1):7-18.
PARTICULARS OF CONTRIBUTORS:
1. Student of Ph.D. by Research, Psychosocial Injuries Research Center, Faculty of Nursing and Midwifery, Ilam University of Medical Sciences, Ilam, Iran.
2. Psychosocial Injuries Research Center, Ilam University of Medical Sciences, Ilam, Iran. 3. Student Research Committee, Ilam University of Medical Sciences, Ilam, Iran.
NAME, ADDRESS, E-MAIL ID OF THE CORRESPONDING AUTHOR:
Dr. Ali Delpisheh,
Psychosocial Injuries Research Center, Ilam University of Medical Sciences, Ilam, Iran.
Phone : +98 841 222710, E-mail : firstname.lastname@example.org
Financial OR OTHER COMPETING INTERESTS: None.
Journal of Clinical and Diagnostic Research. 2014 Oct, Vol-8(10): OC13-OC15
Date of Submission: Jan 14, 2014
Date of Peer Review: May 12, 2014
Date of Acceptance: May 18, 2014
Date of Publishing: Oct 20, 2014
|
Improvement plan for 2019 to 2021 Streaky Bay Area School
School name
Streaky Bay Area School
Vision statement
Plan summary
This table will be automatically populated to provide a summary of your plan.
| To increase performance in Reading. | By the end of 2019: 62% (13/21) of year 3 students will achieve in higher bands in NAPLAN (Reading) 75% (19/25) of Year 4 students will exceed bands 100 - 109 in PAT-R 100% of Year 5 (8/24) and Year 7 students (5/21) will be retained in higher bands in NAPLAN (Reading) 75% (18/24) of Year 6 students will exceed bands 110-119 in PAT-R , 80% (19/24) of Yr 8 students exceed bands 120-129 in PAT-R |
|---|---|
| | By the end of 2020: 35% of Year 5 students will achieve in higher bands in NAPLAN (Reading) 83% (20/24) of Year 6 students will exceed bands 120-129 in PAT-R 40% (15/24) of Year 7 students will achieve in higher bands in NAPLAN (Reading) 95% (20-21) of Year 8 students exceed bands 120-129 in PAT-R |
| | By the end of 2021: 85% of Year 5 students will achieve in higher bands in NAPLAN (Reading) 90% of Year 6 students will exceed bands 120-129 in PAT-R 60% Year 7 students will achieve in higher bands in NAPLAN (Reading) 90% of Year 8 students will exceed bands 130-139 in PAT-R |
| To increase performance in writing achievement in all subject areas. | By the end of 2019: 40% (8/21) of Year 3 students will achieve in the higher bands in NAPLAN (Writing). 40% (9/24) of Year 5 students will achieve in the higher bands in NAPLAN (Writing). 15% (3/21) of Year 7 students will achieve in the higher bands in NAPLAN (Writing). 15% (3/21) of Year 9 students will achieve in the higher bands in NAPLAN (Writing). |
| | By the end of 2019: 40% (8/21) of Year 3 students will achieve in the higher bands in NAPLAN (Writing). 40% (9/24) of Year 5 students will achieve in the higher bands in NAPLAN (Writing). 15% (3/21) of Year 7 students will achieve in the higher bands in NAPLAN (Writing). 15% (3/21) of Year 9 students will achieve in the higher bands in NAPLAN (Writing). |
| | By the end of 2019: 60% (12/20) of Year 3 students will achieve in the higher bands in NAPLAN (Writing). 60% (12/21) of Year 5 students will achieve in the higher bands in NAPLAN (Writing). 60% (14/24) of Year 7 students will achieve in the higher bands in NAPLAN (Writing). 30% (6/21) of Year 9 students will achieve in the higher bands in NAPLAN (Writing). |
| | By the end of 2019: 80% Year 1 students achieve Level 21 in Running Record results 100% (25) Year 2 students achieve Level 26 in Running Records results |
| | By the end of 2020: 85% Year 1 students achieve Level 21 in Running Record results 100% Year 2 students exceed Level 26 in Running Records results |
Improvement plan for Streaky Bay Area School
2019 to 2021
How to complete this template
* Complete every step. The Quality School Improvement Planning Handbook explains how to do this. In addition, your education director will provide support.
* Complete steps 1 to 3 during term 4 of 2018 and have it approved by the principal, governing council chairperson, and education director.
* Email this plan (steps 1 to 3) to your education director.
* Publish your school improvement plan on your school website.
* Work through step 4 (Improve Practice and Monitor Impact) regularly throughout the school year. This step does not need to be published on your website.
* Complete step 5 (Review and Evaluate) in term 4 of each year. This step does not need to be published on your website, though it should inform the Improvement Planning and Outcomes section of your annual report to the school community.
* Your school improvement plan will be current for 2019 to 2021 and should be updated in term 4 each year.
For further information and advice, contact:
Andrew Wells
Review, Improvement and Accountability Manager
email@example.com
Phone: 8226 1576
Step 1
Analyse evidence of student learning and answer the question 'What are our goals for improvement?' Specify up to 3 goals and annual targets for student learning improvement in the table below.
The Quality School Improvement Planning Handbook explains how to do this.
| Goal 1 | To increase performance in Reading. | 2019 |
|---|---|---|
| | | 2020 |
| | | 2021 |
| Goal 2 | To increase performance in writing achievement in all subject areas. | 2019 |
| | | 2020 |
| | | 2021 |
| Goal 3 | To increase the number of students reaching Level 21 by end of Year 1. | 2019 |
| | | 2020 |
| | | 2021 |
Consider how improvements in teaching practice will help to achieve your improvement goals and answer the question 'What areas of practice should we focus on improving to reach our goals?' Specify your challenge of practice for each goal in the table below.
The Quality School Improvement Planning Handbook explains how to do this.
Step 3
Plan actions for improvement
Consider evidence of best practice to answer the question 'What actions should we take to improve our practice and reach our goals?' Specify your actions for improvement, timeline, responsibility, resources and success criteria for each goal in the tables below.
The Quality School Improvement Planning Handbook explains how to do this.
| Challenge of practice | | |
|---|---|---|
| Actions | Timeline | Roles and responsibilities |
| Ensure Student Free Days focus on developing an understanding of the Big 6 of Reading, in particular the aspects of comprehension, fluency and vocabulary. | Term 1-4 | Leadership to plan and monitor content of SFDs. Leadership to continue learning from SFD through sub school meetings and support for teachers. Engage SLLIP to continue learning with staff. |
| Implement recommended actions from Stage of Improvement guidebooks to ensure all practices in teaching reading are evidence based. | Term1 | Leadership to audit current practices and lead discussion with staff around whether current practices match recommended practices. Support for teaching staff to implement recommended practices. |
Step 3 continued
Plan actions for improvement
| Actions | Timeline | Roles and responsibilities |
|---|---|---|
| Ensure reading is a timetabled occurrence across all subject areas and sub-schools. | Term 1 | Leadership to incorporate conversation about how reading is timetabled and implemented into professional development discussions. |
| Monitor targeted students through formative assessment. | Term 1 - 4 | Leadership to support teacher/s to monitor targetted students through regular professional conversations based on data from students and learning design from teacher/s. |
| Use reading as prompt for writing across subject areas. | Term 1-4 | Site Improvement Team to support teachers to find and use subject content as prompt for writing. |
| Total financial resources allocated | | |
Page 7 of 12
Plan actions for improvement
| Goal 2 | | |
|---|---|---|
| Challenge of practice | | |
| Actions | Timeline | Roles and responsibilities |
| Continue whole staff learning around writing processes. | Term 1-4 | Leadership to plan how writing support will continue, involving all staff. A percentage of staff meetings to be dedicated to this learning for all staff. 1:1 support for teachers, through the use of key teachers as Site Improvement Team to continue intensive focus. |
| Ensure the focus of writing is based on content of subject area and that all genres are taught according to Australian Curriculum Genre Map. | Term 1-4 | Coordinators to ensure that writing is intentionally timetabled into each subject area. |
| Integrate writing goal with reading goal (goal 1). | Term 1-4 | Leadership to highlight connections between writing and reading. Professional development conversations to reinforce this connection and ensure these areas aren't taught in isolation. |
Step 3 continued
| Actions | Timeline | Roles and responsibilities |
|---|---|---|
| Monitor progress of writing through the use of Brightpath (Primary & Secondary English teachers) and Language and Literacy Levels (Primary and Secondary teachers) to better understand increments of teaching/learning to be implemented. | Term 1-4 | Key teachers to join Brightpath project and introduce Language and Literacy Levels to staff. Some staff meetings to be dedicated to supporting staff to understand Brightpath and Language and Literacy Levels. |
| Streamline current practices with recommended practices from Stage of Improvement guidebooks. | Term 1 - 4 | Leadership to audit current practices with whole staff and have discussions about their alignment with recommended practices. Line managers to monitor learning design to ensure recommended practices are included/prioritised. |
| Use teaching points generated by Brightpath as focus of improvement cycles | Term 2-3 | Site Improvement Team to plan and co-design improvement cycles based on teaching points. Leadership to continue discussion and accountability in sub-school meetings. |
| Total financial resources allocated | | |
Step 3 continued
Plan actions for improvement
| Timeline | Roles and responsibilities |
|---|---|
| Term 1 | Leadership to source/run Running Records training and release staff to attend. |
| Week 1 | Primary School Coordinator and Junior Primary staff to analyse data and inform teaching practice accordingly. |
Page 10 of 12
Step 3 continued
Plan actions for improvement
| Timeline | Roles and responsibilities |
|---|---|
| Term 1 | Primary Coordinator to incorporate evidence based research around the learning to read process into sub-school meetings. Leadership to ensure T&D offered to or requested by staff aligns with SIP goals. |
| Term 1 | Leadership to ensure current practices align with Stage of Improvement recommended practices. |
| Term 1- 4 | Teachers of Reception-Year 2 students. Leadership to support through professional conversations based on data and teaching cycle. |
School improvement plan
Approved by principal
Approved by governing council chairperson
Approved by education director
Leonie Shelley
8/2/19
Name
Date
Name
Date
Approvals
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Fasting and Feasting Today?
By Budget Wranich co-founder, and Rene Malag6n
breakfast or orders in pizza for Christmas dinner. Why do these things bother us? It's because we have in our mind a set of "rules" for what is appropriate on these occasions. Traditionally what was considered appropriate was handed down from the temple or the church. Today it is more likely based on our changing notions of culture, season, etiquette and health.
Attitudes and approaches toward fasting and feasting vary greatly from group to group and over time. Societies may evolve from hunter-gatherer to agricultural to industrial or even "post-industrial" but there are always formal and informal "rules" associated with the production and consumption of food. Most people in today's fast paced society don't think of their eating habits based on vague, old fashioned food "rules" and with ancient fasting and feasting days. However, if you look closely, people do react when they hear of someone who eats ice cream for
Fasting, in a strict definition, implies the total giving up of food and drink for a given period. Another level of fasting is abstinence, which usually suggests the giving up of specific foods or drinks for a prescribed period. An example of this would be the traditional abstinence of red meat on Fridays for Roman Catholics, although many people use the word fasting to describe this behavior. Abstinence also can imply the temporary suspension of other types of enjoyable or indulgent behavior such as smoking tobacco or sexual activity.
Feasting, on the other hand, is a celebration in which a specific food or drink is harvested, prepared and served in an elaborate or highly ritualistic and prescribed manner. The various steps in the preparation and serving of the food and drink are usually tied into a symbolic representation of the event being celebrated. For example, Easter foods such as eggs and lamb are reflective of the ending of the Lenten fast and the celebration of rebirth, new life and the coming of spring.
There is often a period of abstinence before the day of celebration and feasting, especially as seen in many religious observances. Thefeasting can be a solemn and serious occasion or it may be a celebration enjoyed with great gusto, drinking and merry making. The two approaches are not always mutually exclusive; they can be integrated into different components of the same feast or celebration.
This may seem somewhat removed from our modem day secular society. Today, most people in Canada do not fast, in the strict meaning of the word. This is partially due to the decline in our participation in organized religion and because many believe that a complete fast is not good for your health. Various forms of abstinence, for religious or cultural factors, are more common. There can also be a political facet to this type of behavior. Those who wish to exert non-violent, political pressure in a public manner may undertake a hunger strike. Those who undertake this activity hope that the publicity of their "sacrifice" will result in public pressure and sympathy towards their cause.
Today many people "fast" or at least abstain, fiom food that they crave but this behavior is now called dieting. We abstain fiom various types of food and drink with the hope of losing weight or simply to maintain a healthier lifestyle. Some diet out of medical necessity. Our society is so concerned with dieting that the food manufacturers have filled this need by developing fat and sugar free products. Almost everything today comes in a "light" version. An entire industry is trying to aid us in our abstinence, with none of the personal sacrifice. Feasting on the other hand comes quite easy for us. We are festive not only for holidays but also to demonstrate our wealth and sophistication on a personal or even political level.
-
personalities is an established practice.
Fundraising dinners (feasts) for political parties or
Aside Zhis 3ssuc:
Does a feast mean more if it follows a fast? It seems likely. There must be a greater appreciation for the food set in front of you after denying yourself. Today many of us feel a little guilty after a big feast. We feel we don't deserve it, after all, there has been no real fast.
Pg. 2 Recipe & Cook Notes
Pg. 3 Fiona'sMusings
Pg. 4&5 CanadianFHN
Pg. 6 Book Reviews
Pg. 7 Family Fare
Pg. 8 Culinary Calendar
To Stew Pears
Hannah Glasse, The Art ofcookery Made Plairi and Easy, London, 1796, pg. 221.
Background:
When you read the title of chapter XVI for Lent, or a Fast Dinner tucked near the back of Hannah Glasse's cookbook, where this recipe originates, you may think the recipes provided will help you prepare a dinner in less time. In this case, Glasse is referring to a Fast Dinner as a meal, which is prepared without meat and can be used when one is fasting or abstaining. In her introduction to the chapter, she makes it clear that the dishes will be useful to those who may still fast during Lent ( period of 40 days excluding Sundays from Ash Wednesday to Easter) or "for the convenience of those persons who may, by being near the sea coast, or in the country at a distance from market towns, find it easier to get fish and vegetables than meat whenever they want it.. ."
Altogether there are 223 recipes in chapter XVI and they cover a wide range of foods. It includes 19 soup recipes, 24 fritter1 pancake recipes, 43 vegetable dishes, 15 egg dishes, 66 pudding recipes and 23 pie recipes. This variety of foods reflects the traditional British Shrovetide and Lenten observances. The Saturday before Lent was referred to as Egg Saturday. Pancakes were served on Shrove Tuesday. Ash Wednesday (the beginning of Lent) was Fritter Wednesday and Palm Sunday (last Sunday in Lent) was known as pudding pie Sunday. Glasse covers all of the recipes necessary to keep all of these observances, and " a number of good dishes which may be made use of at any other time."
For a cook today, this chapter can be used by anyone cutting back on their meat consumption but not necessarily their caloric intake. The last recipe in the chapter is "to roast a Pound of Butter". This dish is sewed on a bed of stewed oysters, and is a very rich recipe.
Stewed Pears is a favourite because it is so simple to make and yet so elegant to serve. These pears are a beautiful deep pink and have a sweet rich flavour. This recipe has been made many times at Historic Fort York and most recently at the Friends of Fort York annual fundraising Georgian Dinner. It was an impressive and delicious eye-catching dessert.
Original Recipe:
"Pare six large winter pears and either quarter them or do them whole: they make apretty dish with one whole, the rest cut in quarters, and the cores laken out; lay them in a deep earthen pot, with a few cloves, apiece of lemon-peel, a giN of red wine, and a quarter of a pound offine sugar; if the pears are very large, they will take half a pound of sugar, and halfa pint of red wine; cover rhem close with hrmln paper, and bake them rill they are enough. Sewe them hor or cold oust as you like them), and they will he very good with water in the place of wine. "
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Ed Lyons, Volunteer Cook at Spadina, has asked where and when did the use of Rose Water as flavouring begin? I associate it with Victorian cooking, but apparently its use began in Arabia by the 13th century and may have been carried by Mongols into India. The Shorter Oxford dates the word to Late Mediaeval times, so perhaps Crusaders brought a taste for it to England. It can be distilled from r. damascena, which grows in the Balkans, Provence and Turkey, particularly around Egridir, a famous centre for Attar of Roses and Rose Water. Can anyone add to this? :.:
Wash and peel pears. Core and quarter five of the pears leaving the sixth whole. Lay them in a ceramic dish (22x22 cm 1 9 x 9 " ). Add cloves, lemon peel and sugar to red wine. Stir mixture until sugar is completely dissolved. Pour over pears. Cover with foil and bake at 180 OC1350 OF for 40 -45 minutes or until pears are just tender. (For even flavour and colour after baking about 20 minutes, remove dish from oven and baste pears with sauce. Return dish to oven and finish baking.) To serve pears use a pretty dish and set whole pear in the centre and lay quarters around it just slightly overlapping. Spoon remaining sauce over top or serve on the side. :..... ;; ;;;... ;;.,.;;;;;.,.;;;....m.; ;;;.,.;;.,.; rm.;.,.;;;;.,.;.i ;;;;;;;.,.;;;;; ;;.,. ;;;;.,.; ;;;;.-.;; :*! .... "".,""" ..,.........*....*........ ..,,.....*....,..,,.,,.,*,,..,,. ;q * * COOK NOTES: q ~ i a MMG if i !.I :.: ..: !.: *- i:i
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We culinary historians in Ontario have a lot of work to do. Work as in research that needs t o be accomplished. Not work as in, gosh, we're busy! Well, we are, but we're not sharing our work by publishing it.
Here are a few topics selected from my " to be researched" file. These topics need to be investigated by people interested in the history of Ontario's foodways, servants, kitchens and dining rooms. I offer this list in the spirit of scholarly comradeship, hoping some ideas will inspire you - for an article in a future newsletter of CHO, an article for a local newspaper or national magazine, an MA or PhD thesis, a class project. Or, dare I say it, a book! Well written overviews with extensive primary bibliographies are badly needed as fundamental secondary resources to support all the personal research happening a t museum sites, in high school and university classrooms, and in the media, including the Canadian Food Network. The individual topics could be broadly focused on the whole of Canada, or better yet, on smaller areas like individual provinces, towns or cities.
One huge gap in our ability t o research Canadian cookery will soon be filled by Elizabeth Drivers' Culinary Landmrks: A Bibliography of Canadian Cook Book, 1825-1949. Others must rise t o Liz's superb example!
NATIONAL OVERVIEWS:
a Series of summaries of foodways in each province, one book per province, from the First Nations to the year 2000.
We need a really good:
History of in (Canadian) cookery. Fill in the blank: e.g. shortening, pearlash, vanilla, pork, curry, mesclun greens, organics ... .
a Illustrated history of Canadian kitchens.
a Anthology of Canadian culinary quotes. Illustrated general history of servants. Register of unpublished handwritten manuscript recipe books in archives, libraries and personal collections.
Culinary time line for reference desks everywhere.
a Decade by decade study of 19th century Canadian foods, cook books and kitchens in the excellent style of A Century of Canadian Home Cooking, 1900 to 1990s, by Carol Ferguson and Marg Fraser (1992).
Bibliography of primary and secondary articles and books other than cook books. Biographies of important Canadian culinary women, such as: home economist Nellie Lyle Pattison (Canudian Cook Book, 1923), home economist Kate Aitken (prolific cook book author and radio commentator), and Madame Benoit (another prolific cook book author and microwave promoter).
History of in geographical area. Fill in the blank: e.g. domestic science, cooking schools, ice industry, ice houses and cellars, root houses, war rationing ... .
Development of the 20th-century urban kitchen and dining room.
Reversal of value and attitudes t o . Fill in the blank: oysters, eggs, chicken, Italian foods ... .
Institutional kitchens: hospitals, jails, schools.
Culinary treatment for the ill.
Picnics, eating outdoors, dining a1 fresco.
First Nations as consumers of European f oodways in the 18th century middle-ground.
Evolution of Franco-Ontarien f oodways.
Military cookhouses in British North America.
Just how did the Loyalists feed themselves, really?
INDIVIDUAL TOPICS FROM A PROVINCIAL OR NATIONAL PERSPECTIVE:
Material culture studies of: food wraps (aluminum foil, wax paper etc.), the kitchen table, the peanut butter sandwich, baking powder, maple syrup, specific cook books, soap, the microwave oven, the chef's knife, the kitchenware shop ... .
Revolutions in cookery: chemical leavening agents, bleached white f lour, shortening, cheap white sugar, pudding cloths, iron cook stoves, vanilla, chocolate, Tef Ion cookware ... .
Influence of the on cookery in geographical area. Fill in the blank: e.g. Americans, British, Dutch, East
Indians, Italians, Jamaicans, Mennonites, Russians, Swedes,Trinidadians ....
Last issue, I invited responses to my experiences of food as the genesis for personil transformation. Unhappily, I never received any feedbock - but I bet I inspired some reminiscing! Ever optimistic, I'once ogain invite responses from CHO's readers: send me the topics-we-need-to-research that you are willing t o shore and I'll include them in my summer column.
by So Marie Powers
Culinary Historians of Ontario is pleased to announce that we are embarking on a partnership with Food Hidory News. We will be sponsoring an article in each FHN issue, which will then be reprinted in CHO. This is our first, which will appear in FHN 52, spring 2002. Our thanks to Jo Marie for inaugurating this new venture!
The big news in Canadian historical circles is that Dorothy Ouncan stepped down as Executive Director of the Ontario Historical Society (OHS). During her long tenure Dorothy fostered culinary history, organized four conferences about Ontario's food history, and gave numerous workshops and talks, as well as publishing books on the topic. Fittingly, the OHS Board of Directors honoured Dorothy Duncan at an historic feast, a re-creation of the "Rendezvous" feast at Fort William, based on a paper written by borothy for the Oxford Symposium of Food and brink in 1990.
Dorothy Duncan was quickly tapped as Chair of Cuisine Canada's next conference in Guelph, Ontario - Northern Bounty V, 4-6 October 2002. Cuisine Canada's conferences are an extravaganza t o satisfy both mind and appetite. There will be more than 60 speakers, including Canada's foremost food and beverage writers. Three sessions on Canada's food history are being put together by well-known Canadian culinary historians including Fiona Lucas and Elizabeth Driver. As a bonus you can explore Canada's richest cookbook collection located in the University of Guelph's archives. The exchange rate is certainly favourable for Americans - get together a group, come up and find out what Canadian cuisine is all about. Guelph is just 50 miles from the Toronto airport. The web site for information and registration is www.cuisinecanada.ca.
The oldest English-language Canadian cookbook written by a Canadian is the 1840 FrugalHousewife's Manual Five authors are working on a reproduction of this book (Fiona Lucas, Christine Ritsma, Bob Wildfong, Mary Williamson and, Bridget Wronich). Part of their detective work is to seek out the identity of the author, known only as "A.B. of Grimsby." Mary Williamson's job involves finding out what she can about "A.B.", as well as the historical context and conditions under which the book was published. Mary says there is a strong American component in this book since much of Ontario was settled by British Loyalists from the U.S., along with Americans who saw f inancial opportunities or were given farmland in Ontario. A fascinating part of the book is the second half, containing directions for planting and maintaining garden vegetables. Most old cookbooks have a scarcity of vegetable recipes, perhaps because vegetables were considered simple t o prepare and thus unworthy of recipes. Christine Ritsma and Bob Wildfong have spent their recent summers growing the many vegetables listed in the book, using heritage seeds (Bob Wildfong is President of Seeds of Diversity). When published, this reproduction will be accompanied by research papers, a glossary, recipes for modern kitchens, and ideas for the modern gardener.
eating, drinking, and entertaining each other. "Ideas", a CBC (Canadian equivalent of NPR) radio program, with host Paul Kennedy, did an hour-long show about the Order. Members of Cuisine Canada gave a feast, bringing foods that could have been served at the feasts, and played the parts of the gentlemen and Mi'kmaq who attended. For menus, pictures and recipes from this feast see www.radio.cbc.ca/programs/ideas/cheer/index,html.
Canadian food historians claim that "L'Ordre de bon temps," founded by Samuel Champlain in 1605, was the first gastronomic society in North America. Taking place before the founding of Plymouth, the Order was celebrated by a series of feasts. I t had been noted that the explorers who did not become sick tended to be cheerful - so the answer was to have a good time
,In Quebec there is a food writer many Americans will be interested in knowing about, Micheline Mongrain Dontigny. Micheline interviews elderly women throughout the province about their early memories of cookery while collecting their recipes. The book she is working on presently is Traditional Eastern Townships Cooking and she talked with more than 200 persons throughout the townships, visited museums and consulted many small village cookbooks for her research. The Eastern Townships border New York State and were settled by both English and French people. Since Micheline is fluent in both languages, this book will be printed in both English and French. She has also published cookbooks about the traditional foods of the Charlevoix and Mauricie regions in Quebec. Still in print is her
Traditional Quebec Cooking A Treasure of Heirloom Recipes. You can order her books directly by contacting: Micheline Mongrain-Dontigny, Les Editions La Bonne Recette, 1055 rue Payette apt.206, St-Jean-sur-Richelieu, QC, J3A 1T8; email: edition.bonnerecette@sym~atico.ca.
If anyone has a passion for publishing old Canadian cookbooks it's Robert McCullough, Oirector of Publishing for Whitecap books in Vancouver. Whitecap's "Canadian Classic Cookbook Series" began with the first cookbook commercially available in Canada and is working its way through the years. To offer readers more than a simple reprint, Whitecap hired noted Canadian culinary historian, Elizabeth Driver, to direct, find appropriate copies of the original books, and write historical notes to be incorporated into the new editions. Titles in the series thus far are: The Five Roses Cook Book (1915), The Purity Cookbook (1967). The Laura Secord Canadian Cook Book (1966), The Supper Bookwritten by Marion Cunningham (Fanny Farmer), and, just off the press, The Home Cook Book (1878). The latter celebrates its 125th anniversary this year and was the first fund-raising cookbook in Canada with proceeds used to begin Sick Children's Hospital in Toronto. Having crossed the border, many of these books were favourites in American kitchens. The series is available from Amazon.com or from local booksellers, and the books are distributed in the U.S. by Graphic Arts Center Publishing Company in Oregon.
Talking about Elizabeth Driver, she is going into the last stages of writing her bibliography of Canadian cookbooks entitled Culinary Landmarks: A Bibliography of Canadian Cookbooks, 1825-1949. Liz describes every cookbook that was ever published in Canada before 1950 including extensive annotations, the location of each book, and all kinds of amazing discoveries that she found. For example, the earliest French -language cookbook written by a Canadian was La culSinit9-e camdienne which appeared to be lost. Liz's persistence led to the discovery of a copy in Quebec, which is now safely stored in Ottawa at the National Library, thanks to her efforts. Not surprisingly, with all of her adventures, she has been working on this major project for more than ten years. $, e ...
researching household and cookery books up until 1841 (Elizabeth Driver is working on 1841 to 1918). She is also looking for information about Susannah Carter, author of The FrugalHousewife, who, according to London editions, came from Clerkenwell, in the centre of the old town of London. I f any of you can help in this search it would be much appreciated.
Researcher Mary Williamson is looking for The British Laws Diary and Pocket Almanack for 1790, advertised by The Quebec Herald (Quebec City), as published by the Herald on 15 December 1789. She is working on the History of the Book in Canada project, and is
The Volunteer Historic Cooking Group is a highly successfully program initiated by Fiona Lucas, Senior Interpreter, Museums of the City of Toronto. Based in Toronto, these volunteer historic cooks, rigorously trained by Fiona, present food demonstrations, conduct cooking classes in museums and cook historic foods for special events. After six years, she now has 29 volunteers who, as costumed interpreters, enjoy interacting with the public and have been able to put their interest in early cooking to good use.
Amy Proulx, a graduate student at the University of Guelph, helped an organization search for an ingredient in old cookbooks - no one had come up with a single entry after searching for weeks. I n an hour Amy found it in more than 20 cookbooks published before 1900. She used a marvelous internet resource: Early Canadians Online (ECO), www.canadiana.org. This web site will allow you to scan more than a million historical pages for precise keywords. The "page-turners" were somewhat embarrassed!
Finally, if you are looking for an exotic vacation and one that provides lots of culinary history, go to Newfoundland. There are Irish, English and French villages there where little has changed over centuries - for example, people still speak Old English in places like Twillingate. There is also a National Historic Site at L'Anse aux Meadows containing building remnants left by Norsemen nearly 1000 years ago. Interpreters at this site, actors cast in roles of the Vikings, allow you to experience 11th century food preparation using recreated cooking gear. Because of weather, June through August is probably the best time to visit. For more information search for "Newfoundland tourism" on the web or go to www.parkscanada for links to L'Anse aux Meadows.
Jo Mane Powers, co-author with Anita Stewart of Northern Bounty: A Celebration of Canadian Cuisine, has a major interest in culinary history. She initiated Cuisine Canada's National Culinary Book Awards and is helping to build the cookbook collection at the University of Guelph. She retired several years ago from the School of Hotel and Food Administration, University of Guelph.
Food History News comes out of Maine, under the editorship of culinary historian Sandra 0. Oliver. A subscription is $20, US or $34 US for 2 years. Mailing address is: 1061 Main Road, Islesboro, ME 04848.
Great Food for Happy Kids by Jesse Frayne Book review by Thelma Barer-Stein,
Culinary historians may think this book isn't important for them. But look at it this way: what mom do you know who couldn't use some fresh and healthy ideas for feeding kids in a way that makes those eyes shine and smiles widen? And oh yes, garners some help for mom in the kitchen?
OK, here's the little book to do it. New member, Jesse Frayne, is the author of Great Foodjor Happy Kids, published by Renedezvous Press (Toronto). There's no question that even the cover of the book will delight you, but wait till you read Marni Jackson's foreword. Being a neighbour of author Jesse, her words have special significance
--
because she really knows about Jesse and her cooking magic with kids and Marni notes that she has been "yearning for a sensible, sensual. kid-centric cookbook like this one."
The testimony to its practicality, kid-proof recipes and fun cooking will be the dribbled, splotched and stained book that everyone in your family wants to cook from. Featuring everything from finger food for tots to party, picnic meals, school lunches and tantalizing teen specialties like spring rolls, homemade pizza, breads, bagna cauda and more - there's something there for everyone. You'll be heading for the kitchen, Jesse's book in hand and a gleam in your eye.. .
A confession: I found myself delighted the way she introduces the more unusual vegetables, and even the smelly cheeses and warming soups so irresistibly that toddlers and teens and even &ssy dads will be digging in. Not only that, they'll want to cook too. Jesse's writing and recipes have that effect.
Whew! Better buy a few copies for gifts so your copy won't "disappear". And quick get one for yourself, leave it on the kitchen table and go off and study Culinary History quietly by yourself See what I mean?
- Great Food for Happy Kids by Jesse Frayne; illustrations by Gina Calleja. - Toronto : Rendezvous Press, 2001. $24.95
Sacred Food by Elisabeth Luard
Book Review by Christine Ritsma
Sacred Food by Elisabeth Luard is both a visual and sensual exploration of the vital role which food has in religious ceremonies and secular celebrations around the world. Luard takes the reader on her journey to discover how food is traditionally served at important moments in our lives. The book is divided into four sections: fertility, cultivation and harvest; birth, baptism and initiation; courtship, betrothal, and marriage; and the last chapter talks about death, remembrance and resurrection. Luard reveals the historical background to many religious and cultural festivals where food is the predominant focus. Recipes such as Firni (Afghan betrothal custard) are included to complement the readings as well as beautifir1 illustrations of foods and festivals from around the world.
I must admit I have been inspired by this book to take good stock of how I celebrate important or pivotal moments in my life and of my children's lives. In the past I know I purchased "things" to mark important personal milestones. This year when I organize a "Harvest Moon" Festival in October (acelebration of the transition of summer to autumn), I think I will ask people to come early so we can spend time together preparing and cooking the foods for the night. Perhaps we will also set aside some to honour the Moon Goddess as well.
Sacred Food: Cooking for Spiritual Nourishment Elisabeth Luard, Chicago Review Press, 2001. $53.00 Cdn.& well worth it!
Other new publications worth noting:
0:.
Whitecap Books. $18.95. ISBN-1-55285-348-9 0:. The M m e Cook Book, reprint of t h e 1877 edition with introduction by Elizabeth briver.
TheLauraSecordCanadianCookBook,reprintof the1966CanadianClassic. Whitecap Books. $16.95. ISBN-1-55285-260-1
0:- The Culinary Saga of New Iceland Recipes from the Shores of Lake Winnipeg. Kristin Olafson-Jenkyns. Coastline Publishing. $32.95. ISBN-0-9689119-0-0
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SSC GD 2012 Shift 1
All rights reserved. No part of this publication may be reproduced, distributed, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, or stored in any retrieval system of any nature without the permission of cracku.in, application for which shall be made to firstname.lastname@example.org
Instructions
In each of the following questions, select the related word/letters /number from the given alternatives.
Reasoning
Question 1
Eye: Cataract : : Skin : ?
APyorrhea
BSinusitis
CEczema
DTrachoma
Answer: C
Explanation:
Cataract is a clouding of the lens in the eye which leads to a decrease in vision, similarly, eczema is a medical condition in which patches of skin become rough and inflamed with blisters which cause itching and bleeding.
=> Ans - (C)
SSC GD Free App
Question 2
Vitamin A : Carrot :: Vitamin C : ?
AMeat
BFish
C
D
Egg
Orange
Answer: D
Explanation:
Carrot is a good source of vitamin A whereas Orange is a good source of vitamin C.
Hence, option D is the correct answer.
Question 3
ACF : GIL :: MOR : ?
ASUX
BTUX
C
D
UWZ
SVY
Answer: A
Explanation:
The pattern followed here is,
A + 6 = G, C + 6 = I, F + 6 = L
Code for MOR will be,
M + 6 = S, O + 6 = U, R + 6 = X
Hence, option A is the correct answer.
The pattern followed here is,
(32 x 2) + 2 = 66.
Therefore, code for 134 will be,
(134 x 2) + 2 = 270.
Hence, option C is the correct answer.
SSC GD Important Questions and Answers PDF
Instructions
In the following questions, find the odd word/number from the given alternatives.
Question 5
ASweater
BMuffler
C
D
Socks
Shawl
Answer: C
Explanation:
A sock is a type of clothing worn on feet and all other clothing's mentioned in the options are worn on upper parts of the body. Hence, option C is the correct answer.
Question 6
AQWBS
BMPTD
C
D
UIAE
RVGW
Answer: C
Explanation: Except in option C, other options contain consonants in them. (Only Option C contains vowels in it)
Hence, option C is the correct answer.
Question 7
A1942
B1937
C1935
D1925
Answer: A
Explanation:
Except '1942' other numbers are odd numbers.
Hence, option A is the correct answer.
SSC GD Syllabus (Download PDF)
Instructions
For the following questions answer them individually
Question 8
Arrange the leaves according to their size (Small to large):
1. Mango leaf
2: Tamarind leaf
3: Papaya leaf
4. Banana leaf
A1, 2, 3, 4
B3, 2, 4, 1
C
D
2, 1, 3, 4
2, 3, 1, 4
Answer: C
Explanation:
The size of the leaf's in ascending order would be,
1) Tamarind 2) Mango 3) Papaya 4) Banana
Hence, option C is the correct answer.
Question 9
In the following questions, a series is given with one term missing. Choose the correct alternative form the given ones that will complete the series.
N, P, R, ?
AT
BU
C
D
O
V
Answer:
A
Explanation:
The pattern followed here is,
N + 2 = P
P + 2 = R
R + 2 = T
Hence, option A is the correct answer.
Question 10
In the following questions, a series is given with one term missing. Choose the correct alternative form the given ones that will complete the series.
1 4 9 16
25 36 49 ?
81 100 ? 144
A64 & 121
B20 & 100
C121 & 46
D95 & 150
Answer: A
Explanation:
The given numbers are the squares of natural numbers starting from '1'
Hence, missing numbers are squares of 8 and 11 i.e 64 and 121.
Hence, option A is the correct answer.
20 SSC GD Mocks 117 (Latest Pattern)
Question 11
In the following questions, a series is given with one term missing. Choose the correct alternative form the given ones that will complete the series.
4, 3, 2.5, 2.25, ?
A1
B1.125
C
D
2
2.125
Answer: D
Explanation:
The pattern followed here is,
4 - 1 = 3,
3- 0.5 = 2.5,
2.5 - 0.25 = 2.25,
2.25 - 0.125 = 2.125.
Hence, option D is the correct answer.
If 8th of April falls on Monday, what would be the 30th day of that month ?
ASunday
BMonday
CTuesday
D Wednesday
Answer: C
Explanation:
If 8th of April falls on Monday then 15th, 22nd, 29th will also be Monday. Therefore, 30th of that month will be Tuesday.
Hence, option C is the correct answer.
Question 13
From the given alternatives. Select the word which cannot be formed using the letters of the given word.
ESTABLISHMENT
ATABLE
BBLUNT
C
D
TENTS
STATE
Answer: B
Explanation:
Except the word 'BLUNT' other words given in the options can be formed using "ESTABLISHMENT"
There is no 'U' in the given word "ESTABLISHMENT".
Hence, option B is the correct answer.
SSC CPO Previous Question papers (download pdf)
Question 14
If SUNDAY is coded as 012345 and BIG is coded as 678, how would you encode SANDBAY ?
Explanation:
SUNDAY is coded as '012345' and BIG is coded as '678'
Each alphabet on the left is directly related to each number on the right.
S = 0 ; U = 1 ; N = 2 ; D = 3 ; A = 4 ; Y = 5 ; B = 6 ; I = 7 ; G = 8
In the same way,
Select the correct combination of mathematical signs to replace * signs and to balance the following equation9 * 3 * 3 * 3 * 6
Answer: A
Explanation:
The correct combination would be,
9 ÷ 3 x 3 - 3 = 6
Hence, option A is the correct answer.
Question 16
Select the correct response. If RAJ = 29, EDUCATION = ?
A85
B86
C
D
88
92
Answer: D
Explanation:
The pattern followed here is,
R(18) + A(1) + J(10) = 29
The code for EDUCATION will be,
E(5) + D(4) + U(21) + C(3) + A(1) + T(20) + I(9) + O(15) + N(14) = 92
Hence, option D is the correct answer.
SSC MTS Previous Question papers (download pdf)
Question 17
At dusk, Rohit started walking facing the west, After a while, he met his friend and both turned to their left. They halted for a while and started moving by turning again to their right. Finally Rohit waved 'good bye' to his friend and took a left turn at a corner. At which direction is Rohit moving now ?
Explanation:
As per the given question,
Answer:
B
Question 19
Which figure best represents the relation among Man, Vegetables and Cow ?
Explanation:
All three given entities are completely different from each other.
Hence, option A is the correct answer.
Free SSC Study Material (18,000 Solved Questions)
Question 20
There are two statements labelled as Assertion (A) and Reason (R). A.A little gap is left between iron rails. R. Iron expands is summer.
A Both (A) and (R) are true.
B Both (A) and (R) are false.
C (A) is true and (R) is false.
D (A) is false and (R) is true.
Answer: A
Question 21
Which answer figure will complete the pattern in the question figure:
A
B
C
D
Answer: B
From the given answer figures, select the one in which the question figure is hidden / embedded.
SSC CHSL Prevoius Papers (DOWNLOAD PDF)
Question 23
A piece of paper is folded and cut as shown below in the question figures. From the given answer figures, indicate how it will appear when opened.
A
D
Answer: B
Question 25
A word is represented by only one set of numbers as given in any one of the alternatives. The sets of numbers given in the alternatives are represented by two classes of alphabets as in two matrices given below. The columns and rows of Matrix-I are numbered from 0 to 4 and that of Matrix-II are numbered form 5 to 9. A letter from these matrices can be represented first by its row and next by its column, e.g. 'A' can be represented by00, 23, etc. and 'P' can be represented by 55, 69, etc. Similarly you have to identify the set for the word given in the question. BEAST
A 33, 42, 58, 55, 87
B 31, 68, 32, 55, 95
C 24, 22, 23, 58, 59
D 42, 31, 10, 13, 77
Answer: C
Explanation:
As per the given question,
B can be represented by - 01, 10, 24, 33, 42.
Similarly,
E - 04, 13, 22, 31, 40
A - 00, 14, 23, 32, 41.
S - 58, 67, 76, 85, 99.
T - 59, 68, 77, 86, 95.
24, 22, 23, 58, 59 is one of the combinations for BEAST.
Hence, option C is the correct answer.
SSC Stenographer Previous Papers (Download PDF)
General Awareness
Instructions
For the following questions answer them individually
Question 26
Production function refers to the functional relationship between input and______.
A product
B produce
Coutput
Dservice
Answer: C
SSC GD Constable Previous Papers
Question 27
'Self Reliance' was the main objective of
AFourth Plan
B Seventh Plan
CThird Plan
D Sixth Plan
Answer: D
Question 28
District Judge is under the control of
A State Government
B High Court
C Supreme Court
D Governor
Answer: B
Question 29
What is the meant by social justice ?
A All should have same economic rights
B All should have same political rights
C All kinds of discrimination based on caste, creed, colour and sex should be eliminated
D All should be granted right to freedom of religion
Answer: C
SSC MTS Previous Papers (DOWNLOAD PDF)
Question 30
_______ are essential for liberty.
Name the country which launched the first Satellite "Sputnik" into the space.
AUnited States of America
B Soviet Union
C Japan
D England
Answer: B
Question 32
Who is commonly known as the Iron Man ?
A Sardar Vallabh Bhai Patel
B Vittal Bhai Patel
CBal Gangadhar Tilak
DBipin Chandra Pal
Answer: A
SSC GD Constable Previous Papers (DOWNLOAD PDF)
Question 33
Mahavira's first disciple was
A Bhadrabahu
BSthulabhadra
C
D
Charvaka
Jamali
Answer: D
Question 34
Which of the following is the most numerous tribe in India ?
ATodas
BBhils
Answer: D
Question 35
Soils of Western Rajasthan have a high content of
A Aluminium
B Calcium
CNitrogen
D Phosphrous
Answer: B
SSC CGL Previous Papers (DOWNLOAD PDF)
Question 36
Activity of an enzyme can be modulated by change of ?
ApH
BLight
C
D
Humidity
Rainfall
Answer: A
Question 37
Proteins are digested by
AProteases
BAmylases
C
D
Lipases
Nucleases
Answer: A
Question 38
Jaundice is a disease which effects
A Heart
B Liven
C Spleen
D Gall bladder
Answer: B
SSC CGL Free Mock Test (Latest Pattern)
Question 39
Which metal is the heaviest in periodic table among the following ?
AOs
BPt
C
D
Pb
W
Answer: A
Question 40
The chemical formula of the laughing gas is
A NO
B
C
D
N O 2
NO2
N O 2 3
Answer: B
Explanation:
Nitrous oxide, commonly known as laughing gas or nitrous, is a chemical compound, an oxide of nitrogen with the formula . At room temperature, it is a colourless non-flammable gas, with a slight metallic scent and taste. N O 2
Question 41
Outside of cooking utensils are generally left black from below because
A it is difficult to clean daily
B black surface is a good conductor of heat
Cblack suface is a poor conductor of heat
Dblack surface is a good absorber of heat
Answer: D
SSC CHSL Free Mock Test (Latest Pattern)
Question 42
The colour of sky appears blue due to
A reflection
Brefraction
C
scattering of shorter wave lengths
D
dispersion
Answer: C
Question 43
GUI stands for
A Graphical User Interface
B Graphical User Information
C Graphical User Interaction
DGraphical User Instruction
Answer: A
Question 44
Indian Council of Forestry Research and Education is located in
ADehradum
B Ranchi
C New Delhi
D Raipur
Answer: A
Question 45
Cholesterol is absent in
A Groundnut oil
BButter oil
CButter milk
D Ice cream
Answer: A
Question 46
India's first Crypto-Currency exchange "coincome" has launched by which payment gateway ?
A Direcpay
BCitrus pay
C
D
Payzippy
Billdesk
Answer: D
SSC Stenographer Previous Papers (Latest Pattern)
Question 47
"Dandia" is a popular dance of
AGujarat
BAssam
C
D
Jharkhand
Maharashtra
Answer: A
SSC GD Constable Free Mock Test (Latest Pattern)
Instructions
For the following questions answer them individually
Question 51
The value of 0.65 x 0.65 + 0.35 x 0.35+0.70 x 0.65 is
A1.75
B1.00
C
D
1.65
1.55
Answer: B
Explanation:
Quant
SSC CPO Free Mock Test (Latest Pattern)
Question 52
How many numbers between 400 and 800 are divisible by 4, 5 and 6 ?
Answer: A
Explanation:
L.C.M. of (4,5,6) = 60
Numbers between 400 and 800 that are divisible by 60 are : 420, 480, ......., 780
The above series is an arithmetic progression with first term , common difference and last term = a = 420 = d = 60 = l = 780
Let number of terms be n
Thus, last term of an A.P. =l=a+ (
=>420 + (
n−1)
n−1) × (60) = 780
=>
=>
(n−1) × (60) = 780 −420 = 360
(n−1) = =
60
360
6
=>n= 6 + 1 = 7
Numbers between 400 and 800 are divisible by 4, 5 and 6 = 7 ∴
=> Ans - (A)
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d
Question 53
If sum of two number be a and their product be, b, then the sum of their reciprocals is
Question 54
In a camp of 160 students provisions are available for 10 days. If 40 more students join the camp, how long will the provisions last ?
A5
B
C
D
6
2
1
8
12
2
1
Answer: C
Explanation:
2
= No.ofmen × 1 No.ofdays1 No.ofdays × 2 No.ofdays
= 160 × 10 (160 + 40) ×x
= 160 × 10 200 ×x
⇒x=8 days
SSC GD Free Videos (Youtube)
Question 55
Three taps A, B, C can fill an overhead tank in 4, 6 and 12 hours respectively. How long would the three taps take to fill the tank if all of them are opened together ?
Explanation:
Time taken by tap A to fill the tank in one hour = 4
1
1
Time taken by tap B to fill the tank in one hour = 6
1
Time taken by tap C to fill the tank in one hour = 12
Time taken by all taps to fill the tank in one hour =
or
+
4
1
+
6
1
12
1
Total time taken by all three taps together to fill the tank = 2 hours.
Hence, option A is the correct answer.
Question 56
The perimeter of a triangle and an equilateral triangle are same. Also, one of the sides of the rectangle is equal to the side of the triangle. The ratio of the areas of the rectangle and the triangle is
A : 1 3
B1 : 3
C 2: 3
D4 :
3
Question 57
A solid spherical copper ball, whose diameter is 14 cm, is melted and converted into a wire having diameter equal to 14 cm. The length of the wire is
A27 cm
Downloaded from cracku.in
6
12 or
1
Explanation:
Radius of spherical copper ball(r) = 7cm
Volume of sphere = r 3
4
∏
3
Radius of Cylindrical wire(R) = 7cm
Let length of wire be 'L'
Volume of cylinder = R L ∏
2
Here Volume of sphere = Volume of sphere
4
= r 3
∏
3
R L ∏
2
4
= 7 7 L
×
3
7 × 7 × 7 × ×
∴
Length of the wire 'L' = cm 3
28
Question 58
Discount on a pair of shoes marked at Rs.475 and discounted at 15% is
=> Ans - (B)
Question 59
The cost price of an article is Rs.100. A discount series of 5%, 10% successively reduces the price of a article by
ARs 4.5
BRs 14.5
C
D
Rs 24.5
None of the above
Answer: B
Explanation:
Cost price = Rs. 100
Selling price after first discount of 5% = 100 −( ×
100
5
=100 −5 =Rs. 95
Similarly, selling price after second discount of 10% = 95 −( ×
100
10
95)
Downloaded from cracku.in
100)
=95 −9.5 =Rs. 85.5
∴
Amount is reduced by =
=> Ans - (B)
Question 60
A grinder was marked at Rs.3,600/ After given a discount of 10% the dealer made a profit of 8%. Calculate the cost price.
ARs. 3,000
BRs.3,312
C Rs.3,240
D Rs.2,960
Answer: A
Explanation:
Marked price = Rs. 3600
Discount % = 10%
=> Selling price =3600 −(
100
= 3600 −360 = Rs. 3240
Profit % = 8%
SSC GD Important Questions and Answers PDF
Question 61
If x+
2
9y
2
A1 : 3
B3 : 2
C3 : 1
D 2 : 3
Answer: C
Explanation:
2
=6xy
x+ 9y
2
⇒ x−
2
6xy+ 9
⇒(x−3
⇒x-3y=0
x=3y ⇒
y)
2
=0
= 6xy, then x: y is
Downloaded from cracku.in
y
2
=0
100 −85.5 =
10
× 3600)
Rs. 14.5
⇒ =
x
y 1
3
∴
x:y=3:1
Question 62
In a school of the boys are same in number as of the girls and of the girls are same in number as of the boys. The ratio of the boys to girls in that school is 10 1 4 1 8 5 4 1
A2 : 1
B5 : 2
C
D
4 : 3
3 : 2
Answer: B
Explanation:
Let the number of Boys be 'B' and the number of girls be 'G'
1
B= 10 G 4
1
⇒ =
G
B
2
5
∴
B:G=5:2
Question 63
The average of 8 numbers is 27. If each of the numbers is multiplied by 8, find the average of new set of numbers.
A1128
B938
C
D
316
216
Answer: D
Explanation:
Let the 8 numbers be x , x , ....., x 1 2 8
Sum of these 8 numbers =x+
1 x+
2
..... +x=
8
27 × 8 = 216
If each number is multiplied by 8, => Numbers = 8x , 8x , ....., 8 1 2
--------------(i)
x8
Sum =8(x+
1 x+
2
..... +x)
8
=8 × 216
∴
New average =
8×216
=> Ans - (D)
SSC GD Syllabus (Download PDF)
Question 64
In a prep school, the average weight of 30 girls in a class among 50 students is 16 kg and that of the remaining students is 15.5 kg. What is the average weight of all the students in the class ?
Downloaded from cracku.in
8
= 216
Explanation:
Average weight of 30 girls = 16 kg
=> Total weight of 30 girls =
kg
16 × 30 = 480
Similarly, total weight of remaining(50 −30 = 20)
∴
Average weight of all the students in the class =
=
kg
=
5
79
15.8
=> Ans - (B)
Question 65
The average age of a husband and his wife was 23 years at the beginning of their marriage. After five years they have a one-year old child. The average age of the family of three, when the child was born, was
A27 years
B24 years
C
D
18 years
20 years
Answer: C
Explanation:
Sum of ages of husband and wife at the time of their marriage =
years
23 × 2 = 46
Child was 1 year old after 5 years, => child was born 4 years after the marriage.
Sum of the husband and wife after 4 years = 4 years of husband + 4 years of wife
=> Total age =
years
46 + 8 = 54
=> Required average = =
3
54
=> Ans - (C)
Question 66
If the profit on sale price be 20%, the percentage of profit on cost price is
Explanation:
Let selling price = Rs. 100
18years [Child's age was 0, when he was born]
boys =15.5 × 20 = 310
(480+310)
50
20
kg
=> Profit on selling price = ×
100
20
Thus, cost price =100 −20 =
∴
Profit on cost price =
=
100 =
Rs
20
×
80
Rs. 20
. 80
100
100
=
4
25%
=> Ans - (D)
20
×
100
2000)
750 −(
5
×
100
750)
. 2750
20 SSC GD Mocks 117 (Latest Pattern)
Question 67
A shopkeeper purchased a TV for Rs.2,000 and a radio for Rs.750. He sells the TV at a profit of 20% and ther radio at a loss of 5%. The total loss or gain is
AGain Rs.353.50
BGain Rs.362.50
C Loss Rs.332
D Loss Rs.300
Answer: B
Explanation:
Cost price of TV = Rs. 2000
Profit % = 20%
=> Selling price of TV =2000 + (
=2000 + 400 =Rs. 2400
Similarly, selling price of radio =
=750 −37.5 =Rs. 712.5
Thus, total cost price =(2000 + 750) =
and total selling price =
Rs
(2400 + 712.5) =
∴
Gain=3112.5 −2750 =
=> Ans - (B)
Question 68
A container containing 400 litres of oil lost 8% by leakage. Oil left in the container is
A320 litres
B368 litres
C
D
332 litres
32 litres
Answer: B
Explanation:
Quantity of oil originally in the container = 400 litres
Quantity of oil left = 400 −( ×
100
8
400)
=400 −32 = 368litres
Rs
Rs. 362.50
. 3112.5
=> Ans - (B)
Question 69
If - 3x + 1 = 0, then the value of
x
2
A87
B123
C 135
D201
Answer: B
Explanation:
2
=0
x− 3x+ 1
Taking 'x' common x(x-3+
=0)
x
1
⇒ =
x+
x
1
3 →(1)
Squaring on both sides
2
=9
x+ +
x
2
1
2 ×x×
x
1
⇒ =
x+
2
x
2
1
7 →(2)
Cubing equation(1) on both sides
3
=27
x+ +
x
3
1
3 ×x× (x+
x
1
)
x
1
3
+
=27(
=3)
x+
x
3
1
3 × 1 × 3
∵
x+
x
1
3
=27-9=
x+
x
3
1
18 →(3)
Squaring equation(2) on both sides
4
=49
x+ +
x
4
1
2 ×x×
2
x
2
1
4
=
x+
x
4
1
47 →(4)
Multiplying equation(1) and equation(4)
SSC CPO Previous Question papers (download pdf)
Question 70
The value of cosec
A 3
1
B
2
3
1
is equal to
x
5
1
18 −
is cot
72
2 ∘
1
Downloaded from cracku.in
2 ∘
5
x+
cosec 18 − 2 ∘ cot 72 2 ∘ 1
Explanation:
= cosec
(
=)
= cosec - 18 2 ∘ tan (90 − 2 72) ∘
= cosec -
(
)
cosec -
=1(
-
=1)
18 −
2 ∘
tan72
2 ∘
∵
cot⊖
2
1
tan⊖
2
18
2 ∘
sec18
2 ∘
∵
sec⊖=
2
tan(90 −
2 ∘
⊖)
18
2 ∘
sec18
2 ∘
∵
cosec⊖
2
sec⊖
2
Question 71
The elevation of the top of a tower from a point on the ground is . On travelling 60 m from the point towards the tower, the alevation of the top becomes . The height of the tower, in metres, is 45 ∘ 60 ∘
A 30
B30(3-)
3
C 30(3 + ) 3
D 30 3
Answer: C
Explanation:
From ACD, △
tan 60 = ∘ CD AD
⇒ AD=CD
From ABD,
△
tan45 =
∘
AD
BD
⇒AD = BD
⇒AD = BC+CD
AD( − 3 1) = 60 3
Rationalising above equation
Answer: D
Explanation:
Let a=3, b=2, c=1
a ( −b)
2
(
b c
+
−)(c−a)
2
=
+
(2−1)(1−3)
= -
1
2
−
1
2 +4=3
(a
(3−2)
b−
b
+
−
c)
2
c)( −a)
2
a ( −
b −
c)
2
b)( −c)
2
(3−2)(1−3)
+
(3−2)(2−1)
(a
(3−1)
SSC MTS Previous Question papers (download pdf)
Question 73
The product of two numbers is 2160 and their HCF is 12. Numbers of such possible pairs is
H.C.F. of the two numbers is 12, let the numbers be and , where and are co-prime 12x 12y x y
Product =(12x) × (12y) = 2160
=xy=
144
2160
=>xy= 15
Now, factors of 15 = 1, 3, 5, 15
Thus, possible values of(x,y) = (1, 15), (3, 5)
∴
2such pairs are possible.
=> Ans - (B)
Instructions
The following table gives the result of a survey based on newspaper reading habits. Study the table and answer the questions.
Downloaded from cracku.in
(2−1)
(
Question 74
The number of people who read only English newspapers.
A975
B654
C1086
D221
Answer: B
Explanation:
Number of people who read only English newspapers
= 123 + 206 + 325 = 654
=> Ans - (B)
Question 75
The total number of people surveyed are
A2040
B1086
C12961
D1936
Answer: D
Explanation:
Number of people who do not read newspapers = 162 + 13 + 21 = 196
Number of people who read only in regional languages = 271 + 285 + 209 = 765
Number of people who read only English newspapers = 123 + 206 + 325 = 654
Number of people who read in both languages = 52 + 82 + 187 = 321
=> Total number of people surveyed = 196 + 765 + 654 + 321 = 1936
=> Ans - (D)
Free SSC Study Material (18,000 Solved Questions)
Instructions
In the following questions, some part of the sentences have errors and some are correct. Find out which part of a sentence has an error. The number of that part is the answer. If a sentence is free from error, then your answer is (4) i.e., No error.
Question 76
A Could you please give me
B A postal address
C of the Indian Embassy in New York
DNo error
Answer: B
SSC CHSL Prevoius Papers (DOWNLOAD PDF)
Question 77
A Short stories and poems
B of varying quality
C appears in dailies and periodicals
D No error
Answer: C
Question 78
A One of the
B most dangerous disease
Cis AIDS
D No error
Answer: B
Instructions
In the following questions, sentence are given with blanks to be filled with an appropriate word(s). Four alternatives are suggested for each question. Choose the correct alternative out of the four.
Question 79
Throughout his career, his performance has fairly been _____
A consistence
B consistent
C consisting
D constituted
Answer: B
SSC Stenographer Previous Papers (Download PDF)
Question 80
I convey my thanks _____ the members of the club.
Afor
Bof
C
D
to about
Answer: C
Question 81
The government ____ on this issue.
SSC GD Constable Previous Papers
Instructions
In the following questions, out of the four alternatives, choose the one which best expresses the meaning of the given word.
Question 83
Humorous
Awitty
SSC MTS Previous Papers (DOWNLOAD PDF)
Instructions
In the following questions, choose the word opposite in meaning to the given word.
Question 86
Slave
Answer: B
SSC GD Constable Previous Papers (DOWNLOAD PDF)
Instructions
In the following questions, four alternatives are given for the Idiom / Phrase printed in bold. Choose the alternative which best expresses the meaning of the Idiom / Phrase.
Question 89
I have told you time and again not to make this mistake.
Question 90
He handled the situation with an iron first.
A strictly
B leniently
C softly
D wayward
Answer: A
Question 91
She is leaving the country for good.
A for the time being
B for good times
C temporarily
D permanently
Answer: D
SSC CGL Previous Papers (DOWNLOAD PDF)
Instructions
In the following questions, a part of the sentence is printed in bold. Below are given alternatives to the bold part at (1), (2) and (3) which may improve the sentence. Choose the correct alternative. In case no improvement is needed your answer is (4)
Question 92
It has been raining since morning.
Afrom
B for
C during
D No improvement
Answer: D
Question 93
I am neither a poet nor philosopher.
A not philosopher
B nor the philosopher
C nor a philosopher
D No Improvement
Answer: C
Question 94
He was hung for murder
A hang
Bhanged
C hanging
D No improvement
Answer: B
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31 October 2008
Australian Securities Exchange Company Announcements Office 10th Floor, 20 Bridge Street SYDNEY NSW 2000
QUARTERLY REPORT FOR PERIOD ENDING 30 SEPTEMBER 2008
HIGHLIGHTS
A Memorandum of Understanding with Acadian Mining Corporation has been signed to consider:
* processing gold ore from Atlantic's Touquoy Gold Project (Nova Scotia) at Acadian's Scotia mill, and
* consolidating both companies' gold properties in Nova Scotia which together comprise almost 3.0 million ounces of gold resources and more than 1000 km 2 of highly prospective exploration lands.
The financial feasibility and competitive strengths of the Touquoy Gold Project remain, driven by:
* relatively low operating costs as a result of the low waste:ore ratio; excellent metallurgical characteristics of the ore; and its strategic location with respect to infrastructure, and
* grant of the critical Environmental Assessment approval.
Strategic support from the emerging Cochrane Hill property where supplementary resources of over 0.5 Moz have been so far defined, and
the Canadian dollar gold price remains strong.
-o-0-oPROJECT DEVELOPMENT
TOUQUOY GOLD PROJECT Nova Scotia Canada
(Atlantic Gold 60%, may earn up to 75% outside known resources)
PROJECT FEASIBILITY
Despite the present extreme financial market conditions, the financial feasibility and competitive strengths of the company's Touquoy Gold Project remain. These in particular are the relatively low operating costs as a result of the low waste:ore ratio, excellent metallurgical characteristics of the ore, its strategic location with respect to infrastructure, and grant of the critical Environmental Assessment approval.
Nevertheless access by the company, like most others, to cost effective project capital has been delayed. In response a number of alternative development options involving reduced capital costs and financing burdens are being evaluated to take advantage of continued favourable Canadian dollar gold spot market pricing conditions.
One of these production options contemplates throughput via TSX-listed Acadian Mining Corporation's presently operating base metal treatment plant at its Scotia Mine, 40 km west of Touquoy, for processing (refer to location plan). With the necessary plant modifications made to treat gold ore a throughput rate of up to 1.0 million tonnes per annum could be achieved.
As a result of these evaluations Atlantic Gold has signed a Memorandum of Understanding ("MOU") with Acadian Mining Corporation to consider
processing ore from the Touquoy Gold Project through Acadian's Scotia mill; and
consolidating each other's assets and in particular the companies' gold interests.
A preliminary scoping study suggests the Touquoy Gold Project could be operational by late 2009 processing up to one million tonnes per annum through the Scotia mill. The use of the Scotia mill would save significant capital expenditure and the project would be in production sooner than if a stand-alone gold processing plant was constructed at the Touquoy site. Some modifications to the Scotia mill would be necessary to process the gold ore, and certain regulatory approvals are expected to be required.
Consolidation of both companies' gold properties in Nova Scotia would result in a combined resource inventory of almost 3.0 million ounces of gold and over 1000 km 2 of highly prospective exploration lands. The resources controlled by both companies are as follows:
The way forward now is for both Atlantic and Acadian to share information and discuss options and terms upon which this joint initiative could be constructed with equitable benefit to both parties.
The MOU will allow both companies to exchange information and develop a financial model for ore from Touquoy to be processed through the Scotia mill. The terms for the combination, and plans for development, of the companies' gold assets in Nova Scotia can also be determined. The parties have until the end of March 2009 to agree terms of this business combination.
In parallel with this initiative other production scenarios involving lower capital and operating costs are being investigated.
PROJECT PERMITTING
Application for Industrial Approval, the adjunct to the previously granted Environmental Assessment Approval, was submitted to the Nova Scotia Department of Environment (NSE) last quarter. The Application is presently under review with notification received that evidence of legal access to surface land titles is required to complete processing of the application.
Advice has also been received from the Nova Scotia Department of Natural Resources that the Application for a Mining Lease, also submitted last quarter, is also under review, with additional information relating to reclamation having been requested.
Receipt of Industrial Approval and grant of the Mining Lease will complete regulatory requirements necessary to commence mine development.
EXPLORATION
COCHRANE HILL OPTION, Nova Scotia
(Atlantic Gold may earn either 60% or 80% depending on co-venturer's election following Atlantic Gold's earn-in expenditure)
Cochrane Hill is an advanced gold exploration property located 80 km east of the Company's Touquoy Gold Project (refer to accompanying plan) and is subject of an option agreement with TSX-listed Scorpio Mining Corporation.
As previously reported preliminary scoping studies applying cost structures derived from the Touquoy Gold Project and a gold price of C$900/oz have indicated that about 70% of this resource – almost 400,000 ounces – could potentially be mined by open pit. Thus Cochrane Hill and Touquoy together have the potential for combined production of over 800,000 oz.
It is reasonable to consider that the Cochrane Hill project, as presently known, is commercially viable and subject to permitting and financing, should be developed and operated in conjunction with Touquoy with the advantages of synergy that such development and operation would offer.
The current JORC-compliant resource estimate for Cochrane Hill is as previously announced:
COCHRANE HILL GOLD DEPOSIT
| | Tonnes (millions) | Grade (g/t Au) | Contained Ounces |
|---|---|---|---|
| Indicated Resource | 3.6 | 1.7 | 200,000 |
| Inferred Resource | 6.4 | 1.7 | 347,000 |
| TOTAL | 10 | 1.7 | 547,000 |
A National Instrument 43-101 report addressing this resource is presently in preparation to meet Canadian regulatory compliance.
Completion of the resource delineation drilling, final resource estimation, metallurgical testwork, pit design and financial studies are therefore now key priorities for advancing the Cochrane Hill project.
The nature of the Cochrane Hill mineralisation confirms Atlantic Gold's belief that this district is highly prospective for bulk-mineable gold reserves similar to that at Touquoy. Acquisition of a controlling interest in this advanced prospect, with its demonstrable upside, represents a significant forward step in Atlantic's strategy to develop a commercially viable, environmentally sustainable and socially acceptable gold mining industry in Nova Scotia. Atlantic looks forward to advancing this property to production.
Under the terms of the agreement with Scorpio Mining Corporation (SMC), once Atlantic Gold (through its wholly-owned Canadian subsidiary) has completed expenditure of C$4.75 million on exploration and development within 4 years, conditionally extendable for a further 2 years, and has made aggregate cash payments of C$100,000 to SMC, then at SMC's election Atlantic will have earned either a 60% Joint Venture interest (with SMC retaining a 40% contributing Joint Venture interest) or 100% interest subject to a 20% free carried interest retained by SMC. Atlantic may withdraw at any time. The property is subject to an underlying 3% production royalty in favour of a third party. The Cochrane Hill property comprises 53 mineral claims (8.3 km 2 ).
OTHER PROJECTS, Nova Scotia
Sixty-five shallow reconnaissance "interface" holes were drilled on four regional wholly-owned prospect areas, mostly in the Cochrane Hill area. Assay results are pending. Surface prospecting was undertaken to evaluate several other whollyowned Licences and properties held by others.
Following an evaluation of regional reconnaissance data an additional 42 exploration licences were pegged with about 500km 2 now held under licence.
CORPORATE
A pro-rata non-renounceable rights issue has been offered to shareholders on the basis of one New Share for each 20 Shares held on the Record Date of 1 October 2008 at an issue price of 12 cents per New Share to raise approximately $1.26 million. Funds are to be used to purchase selected land titles at Touquoy and to assist with short-term working capital requirements. At the time the issue was offered the company's share price was 14 cents. As a result of the general market collapse the share price has fallen below the offer price of 12 cents and in consequence the Closing Date has been advanced to 7 November 2008.
Yours faithfully
This report and accompanying plans will be posted on the Company's website, www.atlanticgold.com.au following its release to the Australian Stock Exchange.
Attribution: The geological and sampling information in this report relating to Mineral Resources has been compiled by W R Bucknell who is a director of Atlantic Gold, a Member of the Australasian Institute of Mining and Metallurgy (AusIMM). He has sufficient experience which is relevant to the style of mineralisation and type of deposit under consideration to qualify as a Competent Person in respect of the 2004 Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves (the JORC Code).
About Atlantic Gold NL
Atlantic Gold aims to develop open pit gold deposits in Nova Scotia, the Touquoy Gold Project being the starting point. The extensive goldfields of Nova Scotia have never before been systematically approached in this way. The Company's skills are derived from 15 years of such work in Western Australia, where its principals, as executives and directors of the highly successful Plutonic Resources Limited, discovered more than 11 Moz of gold and operated up to five gold mines. The Company principals have considerable previous experience in exploration in Atlantic Canada.
The target at Touquoy is to develop a project with a minimum 1.5 million tonne per annum throughput and a 7 year minimum mine life to produce approximately 90,000 ounces gold per year. Atlantic Gold holds a 60% interest in the Touquoy Gold Project. An additional 15% interest can be acquired in the property outside the general area of the known resource by securing project financing.
In addition to developing the Touquoy Gold Project Atlantic Gold is undertaking extensive exploration, both regional and near-mine, to build its resource base. The Company believes the area is highly prospective for additional Touquoy style deposits. Atlantic Gold's involvement in the advanced Cochrane Hill property reflects this strategy, to the extent that the company now has over 1 million ounces of gold resources under its control in the Touquoy district.
15 Mile Stream
Cochrane Hill
547,000 oz
Goldenville
183,000 oz
ATLANTIC GOLD NL
October 2008
Location of Atlantic Gold's and
Acadian Mining's gold resources in Nova Scotia
Forest Hill
255,000 oz
Appendix 5B
Mining exploration entity quarterly report
Introduced 1/7/96. Origin: Appendix 8. Amended 1/7/97, 1/7/98, 30/9/2001.
Name of entity
ATLANTIC GOLD NL
ABN
Quarter ended ("current quarter")
82 062 091 909
30 September 2008
Consolidated statement of cash flows
| Cash flows related to operating activities 1.1 Receipts from product sales and related debtors 1.2 Payments for (a) exploration and evaluation (b) development (c) production (d) administration 1.3 Dividends received 1.4 Interest and other items of a similar nature received 1.5 Interest and other costs of finance paid 1.6 Income taxes paid 1.7 Other (provide details if material) Net Operating Cash Flows | Current quarter $A’000 |
|---|---|
| | (208) (401) - (150) 16 |
| | (743) |
| Cash flows related to investing activities 1.8 Payment for purchases of: (a)prospects (b)equity investments (c) other fixed assets 1.9 Proceeds from sale of: (a)prospects (b)equity investments (c)other fixed assets 1.10 Loans to other entities 1.11 Loans repaid by other entities 1.12 Other – Security deposits Net investing cash flows 1.13 Total operating and investing cash flows (carried forward) | (37) |
| | (37) |
| | (780) |
+ See chapter 19 for defined terms.
30/9/2001
Appendix 5B Page 1
Rule 5.3
| 1.13 Total operating and investing cash flows (brought forward) | (780) | (2,872) |
|---|---|---|
| Cash flows related to financing activities 1.14 Proceeds from issues of shares, options, etc. 1.15 Proceeds from sale of forfeited shares 1.16 Proceeds from borrowings 1.17 Repayment of borrowings 1.18 Dividends paid 1.19 Other – Costs of share issues Net financing cash flows | 2 (19) | 11 (19) |
| | (17) | (8) |
| Net increase (decrease) in cash held 1.20 Cash at beginning of quarter/year to date 1.21 Exchange rate adjustments to item 1.20 1.22 Cash at end of quarter | (797) 1,409 12 | (2,880) 3,497 7 |
| | 624 | 624 |
Payments to directors of the entity and associates of the directors Payments to related entities of the entity and associates of the related entities
| 1.23 Aggregate amount of payments to the parties included in item 1.25 1.24 Aggregate amount of loans to the parties included in item 1.10 | Current quarter $A'000 |
|---|---|
| | 80 |
| | Nil |
1.25 Explanation necessary for an understanding of the transactions
Directors fees
22
Salaries
58
Non-cash financing and investing activities
2.1 Details of financing and investing transactions which have had a material effect on consolidated assets and liabilities but did not involve cash flows
Nil
2.2 Details of outlays made by other entities to establish or increase their share in projects in which the reporting entity has an interest
Nil
+ See chapter 19 for defined terms.
30/9/2001
Appendix 5B Page 2
Financing facilities available
Add notes as necessary for an understanding of the position.
3.1 Loan facilities
3.2
| Amount available $A’000 | Amount used $A’000 |
|---|---|
| 1,292 | 1,292 |
Credit standby arrangements
Estimated cash outflows for next quarter
Reconciliation of cash
| Reconciliation of cash at the end of the quarter (as shown in the consolidated statement of cash flows) to the related items in the accounts is as follows: | Current quarter $A’000 | Previous quarter $A’000 |
|---|---|---|
| 5.1 Cash on hand and at bank 5.2 Deposits at call 5.3 Bank overdraft 5.4 Other (provide details) | 54 | 42 |
| | 570 | 1,367 |
| Total: cash at end of quarter (item 1.22) | 624 | 1,409 |
Changes in interests in mining tenements
6.1 Interests in mining tenements relinquished, reduced or lapsed
6.2 Interests in mining tenements acquired or increased
| Tenement reference | Nature of interest (note (2)) | Interest at beginning of quarter |
|---|---|---|
+ See chapter 19 for defined terms.
30/9/2001
Appendix 5B Page 3
Issued and quoted securities at end of current quarter
Description includes rate of interest and any redemption or conversion rights together with prices and dates.
| | Total number | Number quoted | Issue price per security (see note 3) (cents) |
|---|---|---|---|
| 7.1 Preference +securities (description) 7.2 Changes during quarter (a) Increases through issues (b) Decreases through returns of capital, buy- backs, redemptions | | | |
| 7.3 +Ordinary securities Fully paid ATV Partly paid 9c ATVCD 7.4 Changes during quarter (a) Increases through issues Fully paid ATV – placements (b) Decreases through returns of capital, buy- backs | 209,880,242 30,286,342 | 209,880,242 30,286,342 | 20 cents |
| | 21,194 | 21,194 | |
| 7.5 +Convertible debt securities (description) 7.6 Changes during quarter | | | |
| 7.7 Options (description and conversion factor) – ATVO – ATVAI – ATVAK – ATVAM – ATVAO – ATVAQ 7.8 Issued during quarter – ATVAQ 7.9 Exercised during quarter – ATVO 7.10 Expired during quarter – | 21,722,548 2,200,000 4,550,000 400,000 7,500,000 2,000,000 | | Exercise price $0.18 $0.20 $0.15 $0.15 $0.15 $0.155 |
| | 2,000,000 | | $0.155 |
| | 21,194 | | $0.18 |
| 7.11 Debentures (totals only) | | | |
| 7.12 Unsecured notes (totals only) | | | |
+ See chapter 19 for defined terms.
30/9/2001
Appendix 5B Page 4
Compliance statement
1 This statement has been prepared under accounting policies which comply with accounting standards as defined in the Corporations Law or other standards acceptable to ASX (see note 4).
2 This statement does give a true and fair view of the matters disclosed.
Sign here:............................................................ Date: 31 October 2008
(Director/Company secretary)
Print name:
Walter R Bucknell
Notes
1 The quarterly report provides a basis for informing the market how the entity's activities have been financed for the past quarter and the effect on its cash position. An entity wanting to disclose additional information is encouraged to do so, in a note or notes attached to this report.
2 The "Nature of interest" (items 6.1 and 6.2) includes options in respect of interests in mining tenements acquired, exercised or lapsed during the reporting period. If the entity is involved in a joint venture agreement and there are conditions precedent which will change its percentage interest in a mining tenement, it should disclose the change of percentage interest and conditions precedent in the list required for items 6.1 and 6.2.
3 Issued and quoted securities The issue price and amount paid up is not required in items 7.1 and 7.3 for fully paid securities.
4 The definitions in, and provisions of, AASB 1022: Accounting for Extractive Industries and AASB 1026: Statement of Cash Flows apply to this report.
5 Accounting Standards ASX will accept, for example, the use of International Accounting Standards for foreign entities. If the standards used do not address a topic, the Australian standard on that topic (if any) must be complied with.
== == == == ==
+ See chapter 19 for defined terms.
30/9/2001
Appendix 5B Page 5
|
SECURITIES AND EXCHANGE COMMISSION
FORM 8-K
Current report filing
Filing Date: 2009-01-26| Period of Report: 2009-01-20
SEC Accession No. 0001136999-09-000019
(HTML Version on secdatabase.com)
FILER
MS STRUCTURED SATURNS SERIES 2003-12
CIK: 1279643| IRS No.: 134026700| State of Incorp.: DE| Fiscal Year End: 1130
Type: 8-K| Act: 34| File No.: 333-101155-04| Film No.: 09545124
SIC: 6189Asset-backed securities
Copyright © 2012 www.secdatabase.com. All Rights Reserved.
Please Consider the Environment Before Printing This Document
Mailing Address 1585 BROADWAY NEW YORK NY 10036
Business Address 1585 BROADWAY NEW YORK NY 10036
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) January 20, 2009
MS Structured Asset Corp. (Issuer in Respect of Saturns Trust No. 2003-12)
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction (Commission
of incorporation)
001-16443
File Number)
13-4026700 (IRS Employer
Identification No.)
1585 Broadway, New York, New York 10036
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code 212-761-2520
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Section 8 - Other Events
Item 8.01. Other Events.
This current report on Form 8-K relates to the semi annual distribution reported to the holders of SATURNS Trust No. 2003-12, which was made on January 20, 2009.
Section 9 - Financial Statements and Exhibits
Item 9.01 Financial Statements and Exhibits.
(c) Exhibits
(Exhibit No. Description)
99.1 Semi-Annual distribution report pursuant to the Trust Agreement for the distribution on January 20, 2009.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Copyright © 2012 www.secdatabase.com. All Rights Reserved.
Please Consider the Environment Before Printing This Document
LASALLE BANK NATIONAL ASSOCIATION, IN ITS CAPACITY AS TRUSTEE UNDER THE TRUST AGREEMENT ON BEHALF OF MS STRUCTURED ASSET CORP., REGISTRANT
By: /s/ Barbara L. Marik Barbara L. Marik Senior Vice President
Date: January 26, 2009
Structured DaimlerChrysler Series Reporting Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 Administrator: Thais Hayum email@example.com Analyst: Johan firstname.lastname@example.org Statement 135 S. Chicago, USA Statements to Cash Bond Interest Other Rating Realized Page Page(s) Information Issue Monthly Name: SAT00312 SAT00312_200901_3.ZIP Closing First Rated 20-Aug-03 20-Jan-04 18-Jan-31 Parties to Depositor: Underwriter: Rating 800.246.5761 LaSalle www.etrustee.net Page 15-Jan-2009 Class CUSIP Original Opening Principal Negative Closing Interest Pass- Per Next WAC: WAMM: Payment Prior Next Record 50.736000% 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 Structured DaimlerChrysler Series Face Balance Payment Adj. Amortization Balance Payment Adjustment Rate 528 Grantor Statement 1000.000000000 0.000000000 1000.000000000 35.000000000 Fixed 0.00 0.000000000 7.0000000000% 0.000000000 804110203 A 25,000,000.00 0.00 25,000,000.00 875,000.00 25,000,000.00 1000.000000000 0.000000000 1000.000000000 7.280000000 Fixed 0.00 0.000000000 1.4560000000% 0.000000000 N 804110AA2 B 25,000,000.00 0.00 25,000,000.00 182,000.00 25,000,000.00 Total 0.00 25,000,000.00 1,057,000.00 Total 25,000,000.00 0.00 1,057,000.00 15-Jan-2009 Page Notes: (1) Structured Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 DaimlerChrysler Series Statement Cash Current Interest Less Plus Less PPIS 1,057,000.00 0.00 Less 0.00 Less Other 0.00 Total 1,057,000.00 Unscheduled Prepayment 0.00 Yield 0.00 Other 0.00 Total 0.00 Less Special Interest Recoup Misc. Total Less Trustee Fee Interest Plus Total Principal Scheduled Current Advanced Scheduled Unscheduled Curtailments Prepayments Liquidation Repurchase Other Total Remittance Pool Beginning Scheduled Unscheduled Deferred Liquidations Repurchases Ending Balance Count Principal Interest Prior Plus Less Ending Servicing Current Plus Fees Less Plus Total PPIS Gross Reduced PPIS PPIS Due 0.00 1,057,000.00 0.00 1,057,000.00 25,000,000.00 20.00 0.00 025,000,000.00 20.00 0.00 1,057,000.00 Interest Current ) 0.00 Workout Liquidation 0.00 Less Non 0.00 Advance 0.00 Misc. Page 15-Jan-2009 Structured Class Accrued Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 DaimlerChrysler Series Bond Interest Deductions Allocable Deferred Prior Prepay- Other Additions Interest Credit Original Current(4) Accrual Int. falls ment Interest Payment Amount PPIS Interest Certificate Accretion Interest Loss/ Interest Penalties Proceeds Interest Shortfalls Certificate Rate Pass Thru Method Outstanding Remaining Statement Distributable Current (Shortfall)/ Recovery Int on Shortfall 1.00 0.00 A 875,000.00 0.00 NA 7.0000000000% 0.00 30/ 180 0.00 B 182,000.00 0.00 NA 1.4560000000% 0.00 30/ 180 0.00 1,057,000.00 0.00 (2) (3) Includes 15-Jan-2009 Page (1) Other (4) Structured Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 DaimlerChrysler Series Other Statement Swap Next None 0.00 0.00% Swap Page 15-Jan-2009 Structured Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 DaimlerChrysler Series Other Statement The underlying Those facilities maintains a statements underlying Page 15-Jan-2009 Structured Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 DaimlerChrysler Series Rating Class CUSIP Fitch Moody's S&P Fitch Moody's S&P Original Rating Statement A 804110203 NR A3 BBB+ A- 4/15/ B 804110AA2 NR A3 BBB+ A- 4/15/ Page 15-Jan-2009 NR - (1) Changed payment investors Structured Payment Prior Next Record 20-Jan-09 18-Jul-08 20-Jul-09 14-Jan-09 DaimlerChrysler Series Realized Period Disclosure Control Appraisal Date Appraisal Value Beginning Scheduled Balance Gross Proceeds Gross as Sched. Aggregate Liquidation Expenses Net Liquidation Proceeds Net as Sched. Realized Loss Statement Current Cumulative 15-Jan-2009 Page *
Asset Trust North America 2003-12 Package Date: Payment: Date: 312.904.8944 Laksmana Date: LaSalle IL Certificateholders Reconciliation Related Information Loss 2 3 4 5 6 7 8 is available Id: Data Date: Payment Final The MS Morgan Agency: Global 1 of - 16:50 Through $ Rate(3) Date: Payment: Date: Asset Trust North America 2003-12 Value or (2) Trust Date: UNIT P&I - 16:50 2 of N denotes Asset Trust Date: Payment: Date: North America 2003-12 Date: Reconciliation Scheduled Summary Deferred Gross Reducing ASER Adjustment Interest: Penalties Maintenance Interest Fees & Fee Servicing Due Serv of Prior Fees & Unscheduled Interest Fees & Fee Strips Reserve Interest Summary Principal: Scheduled Principal Principal: in Full Proceeds Principal Unscheduled Principal P&I Due Balance Pool Principal Interest Pool Outstanding Current Recovered Outstanding Fee Servicing Advanced Reduction Delinquent Servicing Summary PPIS by PPIE by by Other Reducing Certificate Not Period Fees Recovered Summary Fees 3 of - 16:50 Asset Trust Date: Payment: Date: North America 2003-12 Reconciliation & Support Short- Due (2) Exp (1) Days Date: Period Accrual Prior (3) UNIT 360 UNIT 360 Accrued - interest - 16:50 4 of Interest Determined Asset Trust Date: Payment: Date: North America 2003-12 Related Date: Receipents Amount Swap Information 5 of - 16:50 Asset Trust Date: Payment: Date: North America 2003-12 Related Date: underlying security periodic maintained website on the and other security 6 of - 16:50 Asset Trust Date: Payment: Date: North America 2003-12 Information Ratings Change/ Date: UNIT 08 UNIT 08 7 of - 16:50 Designates ratings date listed obtain Asset Trust Date: Payment: Date: North America 2003-12 Loss # Proceeds a Balance * Proceeds a Balance Date: Total - 16:50 8 of Aggregate
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Letters To Seven Churches (Part Six): Sardis
Dead Men Walking Richard T. Ritenbaugh Given 30-Mar-19; Sermon #1480
I do not know how many old people—you know, the elderly, the senior citizens, the golden-agers, the over-the-hill gang, whatever you want to call them—have told me that they read the obituaries a whole lot more than they used to. When they were younger, they did not care. But now that they have gotten a little bit of age on them, those obituaries are more and more interesting all the time.
Now, I am led to believe that a good many of these old folks read them just about every day. They read them like younger people read the sports pages. Some say it is a kind of morbid curiosity about their acquaintances and friends. Others say that they are just indeed looking for the obituaries of friends and acquaintances. And one old man told me with a wink many years ago that he was just keeping score, and he finds out every day he is still winning.
With local newspapers reducing their content, and many going out of business, I wonder how long this will continue. Although I cannot imagine that these obituaries will go away altogether. People are just too curious about who is still around, or maybe put it this way: Who is over the dirt and who is under the dirt.
Obituaries have long been a staple of newspapers and some news magazines. Even the Worldwide Church of God had them in . I The Worldwide News remember getting and reading that whole page about The Worldwide News who was born, who was engaged, who was married, who had died over the past couple weeks. We do it now on cgg.org on our special announcement page. We have those kinds of announcements.
But those sorts of things—death notices, obituaries—they go back a long way because archaeologists are digging up that sort of thing all over the world, whether they are gravestones or some other sort of funerary writing,
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and they get published in all the archaeology magazines. The fact is, people want to be remembered, and they will often pay handsome sums to carve their death notice in something that is long-lasting, like marble or granite or bronze, or the Internet. Once it is there, it never goes away, I have heard.
I do not know if you are aware of this, but major news organizations employ a number of journalists, a lot of times they are interns or first year journalists, to write obituaries for famous people, whether they are politicians or actors or athletes, CEOs, writers, what have you. And they do not do this when the people die, they do that writing of the obituary years and years before the people actually die, many years in advance, and then they are regularly updated as the person makes news. So the recent accomplishments are put in there, scandals and other newsworthy events that affect that particular person.
The reason why they do this is because the news cycle these days is 24/7. And if a famous person dies suddenly, and that happens once a week or so it seems, the newsroom does not have the time to research and write an accurate and compelling obituary. They have to get it up there. They have to put it on the air. They have to print it. They have to post it on the Internet immediately because they do not want some other news source scooping them. They want to be among the first that gets out a cogent obituary for the particular person, and the stress gets ratcheted higher and higher, depending on just how famous the person is. So they have an obituary on hand that could be quickly edited and presented at a moment's notice.
But talking about obituaries and things like that, we cannot obscure the fact that an obituary is a communique of death. That is what it is, at base. Someone has died by whatever cause, and it is being reported to the interested and affected parties. Such a notice, like a funeral sermon that a preacher might preach, is to inform and to guide and to instruct the living. You know, dead people do not read. They can do nothing. They know nothing, so funeral sermons and obituaries and those sort of things, that is for the survivors. The heirs, the left behind, the colleagues of the dead, those that still have hope, who are still breathing. And if nothing else, we know who should receive a card or flowers, or where we should go for the funeral. That is what an obituary does.
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Today we are going to be studying Christ's letter to the church in Sardis which reads very much like an obituary, believe it or not. Let me stress again, as I have stressed before, we are handling these letters, not as prophecies, per se, but as epistles, like Paul's many epistles, like Peter's, like James', like Jude's, and John's. Those men wrote letters and they had instruction that the people were to learn from, glean from, so that they can make their lives better—more Christ-like. So, because we are approaching these as letters, in no way are we trying to fit people or churches into these letters. What we are trying to do is look at them personally, to understand and use Christ's insight into the seven churches to spot and overcome our personal faults and so be found worthy of Him at His return.
So let us go to Revelation 3. We are finally into Revelation 3 after all these many, many weeks, and we will read the letter to the church at Sardis. We will read verses 1-6.
"And to the angel of the church in Sardis write, Revelation 3:1-6 'These things says He who has the seven Spirits of God and the seven stars: "I know your works, that you have a name that you are alive, but you are dead. Be watchful, and strengthen the things which remain, that are ready to die, for I have not found your works perfect before God. Remember therefore how you have received and heard; hold fast and repent. Therefore if you will not watch, I will come upon you as a thief, and you will not know what hour I will come upon you. You have a few names even in Sardis who have not defiled their garments; and they shall walk with Me in white, for they are worthy. He who overcomes shall be clothed in white garments, and I will not blot out his name from the Book of Life; but I will confess his name before My Father and before His angels. He who has an ear, let him hear what the Spirit says to the churches."'
It is pretty obvious that this is not an upbeat letter. It just does not come across that way. The pronouncement "you are dead" is not encouraging at all. It sounds like a conclusion—a judgment, a condemnation. Christ's only , not to be confused with condemnation, is that Sardis has a commendation mere handful of people in that church who are living righteously. Just a few. Who knows how big the congregation was. But in terms of the balance, or
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imbalance, I should say, of people who were with it and people who were not, the percentage was quite small of those who were living righteously and making a proper witness before the world. They were far outnumbered by those whom Christ has judged as dead.
Everything else in the letter is criticism or warning. It is actually, in my estimation, perhaps the worst church among these seven, and we will see why as we go on. Anyway, I have given the Sardis church the titles, "Dead Men Walking" and "Church of the Living Dead."
Let us understand a little bit about the environment of Sardis. It is the modern city of Sart. But ancient Sardis lay about 50 miles inland from Smyrna. Remember, Ephesus, Smyrna, Pergamos were all there on the coast, so this was across inland to the east from Smyrna about 50 miles, and it was about 30 miles southeast of Thyatira. If we are going along this mail route, we had started at Ephesus and we got went up one leg of the horseshoe and down the other, now we are kind of even with Smyrna. So Ephesus, Smyrna, Pergamos, Thyatira and then down to Sardis. We are coming around the bend. They are actually on the straightaway toward the bottom end of the mail route.
Sardis was a very wealthy city, and it was situated at the junction of five roads. It had a lot of commerce, so it was a very active commercial city. It had been the city of Croesus, the king of Lydia in the mid-sixth century . BC And if you have heard the name Croesus, you may have heard the proverb "as rich as Croesus," or "as wealthy Croesus," or however that is. He was proverbial for his wealth. A very, very wealthy king. A lot of that wealth came from gold dust that was sluiced out of the nearby Pactolus River, just like they did in the Gold Rush up there towards Sacramento, California. There were all kinds of flakes in the silt and sand of the river, and they would take it out and give it all to Croesus, because he was the king, and he became very, very wealthy. And the five roads that came into Sardis did not hurt either, because with that wealth, he was then able to trade and make his city very, very wealthy.
The city, as I mentioned, was the capital of Croesus' kingdom. It was also the longtime capital of Lydia itself. In it, the city lay in two parts. The first part was a nearly impregnable but small, what may be called limited-in-size,
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fortress, that was about 1,500 feet on top of a promontory with steep cliffs. The only way you could access it was a very narrow path that ran up along the south side, so it was very easily defended.
This sounds a lot like another place we just recently heard about that had had a similar set up, where you have a promontory and a fortress on top of the promontory, and then you have a lot of the city down below. Well, the second part of the city of Sardis was that part down below. It was a very expansive city, a prosperous extended city of commerce and agricultural products and industry. And because of those trade routes, which I have mentioned a couple times already, merchants came from all over and the wealth of Sardis just grew and grew and grew. It was in a spectacular spot to get stuff from the east, from the west, stuff from the north, stuff from the south, and it all ended up in Sardis. Then they sold it and made a killing. It was one of those places where if you lived in Sardis, you were likely to make some good money. It was the going thing during that time.
Of course, wealth causes envy and it draws enemies. Enemies want to take all that wealth and make it for their own. So Sardis was conquered twice, and it was very interesting how Sardis actually was conquered. The first time was by the Persian Empire of Cyrus the Second. He threatened King Croesus. From his empire in Persia, he was marching his armies further and further west in Asia Minor, and Croesus was concerned. So he went to the oracle at Delphi and the oracle there told him, "If you cross the River Halasz, you will destroy a great empire." That was the prophecy that the oracle gave, so encouraged by this, he crossed over the river and engaged the Persians in battle. But when they came together, it was inconclusive. Both sides withdrew.
So Croesus had a decision to make. He decided that it was getting too late in the year; winter was coming on, so he would return to Sardis. His fortress was 1,500 feet up in the air and only reachable by a small path up the south side, so he felt pretty good about going back to his city and just waiting out the winter. Surely Cyrus would retreat also, would he not? He would go back and wait the winter out and maybe come up with another way to move westward. Croesus, thinking that this is the way it was going to be, sent his soldiers home for the winter.
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However, Cyrus did not go away. He did not retire for the winter. He came on with stealth and one morning Croesus pulled the curtains back and looked down, and there were the Persians besieging his promontory 1,500 feet up in the air, his fortress there. They had already come in and conquered the lower city, overnight, hardly without anyone raising a cry. But Croesus looked down from his perch up there and he said, "We're secure. Nobody can get up here. We're impregnable."
But one day, while the siege was going on, a Lydian soldier, one of Croesus' soldiers, accidentally dropped his helmet from the wall. He looked down over the wall, "There it is. I see it." So he climbed over the wall, climbed down the wall, got his helmet, put it on his head, climbed back up the wall and over the top. Well, Persians were not blind. They saw what he did. And so that night, the whole force, or the major part of the force of Persians, climbed up the exact same route he did, went over the wall, took the fortress without a fight, and Sardis fell. The empire that the oracle at Delphi said would be destroyed was his own. The empire of Sardis, or the kingdom of Croesus, was brought low by Croesus' own overconfidence and slackness. He assumed safety and security when he was very much endangered and needed to fight to remain alive.
What is interesting is that in 214 , the soldiers of Antiochus the Great of BC Syria did the exact same thing to the defenders at Sardis once again, and the city fell. Both times, the Sardians were lax, careless, overconfident, inattentive, and totally unprepared. And so they fell and died. Jesus, in His ministry, tells us to watch. He says that several times. Watch! One of the ones we go to in particular a lot is Luke 21:30-36. "Watch and pray always that you may be worthy to escape all these things and to stand before the Son of Man," and He likewise counsels the Sardians in Revelation 3:2 to watch. He says there, "Be watchful and strengthen what remains."
Watching has to do with being awake, aware, alert, wary, careful, prepared, and on guard. All of these nuances are part of the command to be watchful. But the Sardians did not heed this instruction. The church in Sardis seems to have reflected the unhealthy and careless habit that the other Sardians about them had. They had picked it up from the world, and it undermined their spiritual health. And from what Jesus says here in this letter, it was pretty far along in killing them. They were on their last legs.
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The major pagan goddess in Sardis was Sybille, the mother goddess, and she was worshipped a lot like the Ephesian's worshipped Diana or Artemus there in Ephesus. But they were not fervent in Sardis for Diana or Artemus or Sybille like the Ephesians were. You know, the Ephesians went down to the city square in front of the temple of Diana and they went for hours saying, "Great is Diana of the Ephesians! Great is Diana of the Ephesians!" and kept on. They were fervent in their worship of Diana. You would have never caught the Sardians doing anything like that. That was way too much. They would not want to be seen in a situation like that.
As far as religion went in Sardis, it was pretty laid back, very relaxed. Notice in this letter to the Sardians, there is nothing said about persecution. Nothing said about false prophets. Nothing said about those who are Jews and who are not. Nothing about anything that is going on in terms of any kind of either inward or outward problem with people being a little bit too zealous for their own religion. Certainly the Christians there were not very zealous about their religion, either. In fact, you see what this says? The religion of the Sardians seems to have gone by the rules of "don't provoke anything" because that would disrupt trade, that would disrupt our very peaceful and settled life, that would make things icky, if you will. They did not want any kind of disturbance. It was all, "Let's just be calm and we will just go about doing what we are doing." The Jews, the Christians, and the pagans that lived in that city seemed to have tolerated one another to the point of almost mixing with one another very freely to the point of syncretism.
There is a very interesting archaeological fact that popped up when I was going through my study on this, and that is that the Jewish synagogue in Sardis, and this is very clear when you read some of the stuff, they took some of the old things from a temple of Zeus that was no longer being used, and they brought them into the synagogue and used them there inside their synagogue. I do not know if you are aware of this, but one of the symbols of Zeus is a great eagle, and he is clutching lightning in his claws. Well, they took a pair of these and they carved them down into table legs, and they put their Torah table on top of these Zeus table legs and just used them in their synagogue. There are a few other things that they did where they took from the pagans and just repurposed them for their own synagogue. By the way, the synagogue itself was part of the city's gymnasium complex. I do not
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know if you are aware of this, but the word gymnasium literally means "the place where people are naked" because in the gymnasium they exercised, they did all their athletics, in the nude.
Now, if you know anything about Jewish history, you know that this type of Helenization is what the Maccabees went to war over just about 150 or 200 years before this. So the Jews of Sardis had fallen a long, long way from the rigor of the Maccabees back there in about 168 or something like that. BC That is how they were. The Jews that we see in this history in Sardis were maybe emblematic of how the whole city thought. That they were willing to live and let live. They were willing to borrow from here and borrow from there and just get along because that is good for business. That is good for wealth.
This gives us some idea then of the cultural and religious and social attitudes and conditions in Sardis. The people there in Sardis were interested in making money, in living well, in getting along, enjoying the good life, and not so much in being devoted to their gods, whatever their gods were. That was a part of life, yes, but it did not need to be stressed too much, according to them, because there were other things to do. It was just one thing among many.
But these attitudes put together are a deadly brew for true Christians, because what it does is it makes Christians make accommodations for their environment, in the circumstances that they happen to be in. It makes them unwilling to give any offense by what their God tells them to do. And there was very, very little zeal there in the church in Sardis. You could say that the Christian fire was on pilot light, and it was flickering in many of them. The Sardis church was a long way from being eager to serve one another. They were a long way from being eager to remain unspotted from the world. That just was not the way things were done there. They did not want to stand out.
If we are going to use some different words for Jesus' pronouncement "that you are dead," we could say they were . They were , they were inert comatose . They were showing no signs of life. Oh yeah, here is another one catatonic for people who like science fiction. You know, when they traveled in long distances in space, according to the scientific theories, they would need to be frozen, or the one way they put it was, in stasis. That is kind of how these
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Sardians were. They were in stasis and they needed to be revived if they were going to do anything profitable. In effect, they were treating the church like a social club in which there were no requirements for continued membership.
Let us go over this verse by verse and see if we can pull out some interesting tidbits that will help us to understand what Jesus Christ is trying to tell the churches here.
"And to the angel of the church in Sardis write, Revelation 3:1 'These things says He who has the seven Spirits of God and the seven stars: "I know your works, that you have a name that you are alive, but you are dead."
The salutation here that Jesus gives is similar to the one He gives to the church in Ephesus, except He adds this other phrase that He "has the seven Spirits of God." Now, this is one of those things that we cannot be absolutely sure about, but it looks like the seven Spirits of God is a reference to the full or the complete work of the Holy Spirit. Let us chase this out just a little bit. Flip back page or so to Revelation 1 where John says as he is opening up his epistle here:
John, to the seven churches which are in Asia: Revelation 1:4 Grace to you and peace from Him who is and who was and who is to come, and from the seven Spirits who are before His throne.
Putting it this way, it sounds like it is actually angels, and it very well might be. It may be that these angels, obviously acting under God's command, are therefore acting in the Spirit, as it were. Just kind of keep that in the back of your mind. Let us go to chapter 4, verse five, where it is mentioned again in the chapter where the throne of God is described.
And from the throne proceeded lightnings, Revelation 4:5 thunderings, and voices. Seven lamps of fire were burning before the throne, which are the seven Spirits of God.
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Here the Spirits are lamps. It is interesting that the churches are lampstands but here again, we have an agency, let us say, of God, that He makes work through His Spirit.
,
The one that shows us the most is back in the Old Testament in Zechariah 4. This is very well known in the church. We have used it quite a bit. This is an angel speaking to Zachariah.
So he answered and said to me: "This is the Zechariah 4:6-10 word of the Lord to Zerubbabel: 'Not by might nor by power, but by My Spirit,' says the Lord of hosts. 'Who are you, O great mountain? Before Zerubbabel you shall become a plain! And he shall bring forth the capstone with shouts of "Grace, grace to it!"'" Moreover, the word of the Lord came to me, saying, "The hands of Zerubbabel have laid the foundation of this temple; his hands shall also finish it. Then you will know that the Lord of hosts has sent Me to you. For who has despised the day of small things? For these seven rejoiced to see the plumb line in the hand of Zerubbabel. They are the eyes of the Lord, which scan to and fro throughout the whole earth."
From this we see that the seven Spirits, or the seven eyes, or the seven lamps, or however you want to look at it, are God's use of His Spirit to go out and find out what is happening. That is how He sees all, through this symbolic "seven Spirits." We cannot make a definitive pronouncement about what it is. But overall it seems to be there is an idea of His Spirit going out and seeing everything. This is very important to this salutation because it tells the Sardians something right away that they need to understand.
What does Jesus say that He has? He has the seven Spirits, and He has the seven stars. We know from chapter 1, that the seven stars in His right hand are the angels of the seven churches. So, in effect, by saying that He has the angels to the seven churches in His hand, that means in His hand, His right strong hand, remember, it is saying that He has control over the churches. If He controls the stars—the angels of the churches—then He controls the churches. And if He also has the seven Spirits of God and He has control over being able to see everything, what is He telling the Sardians? He is
saying, "Guys, I'm in complete control. I see all, and I can do whatever I want within the churches."
So He controls the seven Spirits and the seven stars. In other words, Jesus is saying that He has certain knowledge, meaning no one can gainsay it. It is certain knowledge of what is happening in the churches, and He wants them to understand that He has this certain knowledge about . He knows them everything about their church and each of the individuals in it, because His eyes, the seven Spirits, they see everything that is going on, inside and out.
If we want to boil it down to what He is telling them here in the salutation, is that His judgment is based on solid evidence, and He also has divine, unerring eyewitness testimony. It is His testimony through the Holy own Spirit. He is saying, "You can't argue what I'm going to tell you here in the next few verses," as it were. He is saying, "This is true and you need to understand that you need to do something about it." So He comes at them actually blasting with both barrels. He is the judge, and He has made this pronouncement, and it is true. You cannot wiggle out of this one.
His judgment, as He goes on here, is based on actual work, actual visual evidence, if you will, of what He had seen through the seven Spirits, is that they have a name, that is, a reputation among the churches, for being strong and doing all the right things. But in reality, He knows, by His own investigation, that their works are dead. They are dead works. "You may be fooling everybody else," He says, "but you're not fooling Me. You may put on a pretty good show of works, and everybody thinks you're a strong, peaceful, thriving church. But I know better." That is what He is telling them.
It may be that their wealth and their influence and their peaceful situation gave them an outward appearance of thriving spirituality. But Jesus tells them that they are just going through the motions. Their works, like I said before, are all for show. They are actually producing nothing, so they are dead.
Let us go back to James the second chapter. I do not know if I want to read all of this for lack of time, but of course, this is the section of James where he talks about faith without works is dead. He says,
What does it profit, my brethren, if someone says he James 2:14 has faith but it does not have works? Can faith save him? [So he goes through an example there.]. . . .
But do you want to know, O foolish man, that faith James 2:20 without works is dead? [Then he talks about Abraham and his works and saying].
Do you see that faith was working together with his James 2:22 works, and by works faith was made perfect? [He talks about Rahab and then finally].
for as the body without the spirit is dead, so faith James 2:26 without works is dead also.
The Sardians work, though, was a little bit different. The Sardians works are dead in the opposite way than what James describes. He describes faith without works. But in Sardis, the works were done without faith, without love, certainly without zeal. They were absent of the life or the Spirit of God. There was nothing in them. They were a sham. They were being done just for the sake of doing them. So they were doing their works for all the wrong reasons. Because He does say back there in Revelation 3, that He knows their works. They were doing some kind of works, but they were hollow. There was nothing driving them. No zeal in them. No faith, no love, as I said.
He says later on, He calls their works, "not perfect before God," which is a understatement. They are not perfect before God. Or maybe we could great put it in another way. Their works were either incomplete or immature. They were being done because they said, "The preacher says that these works should be done," or "Jesus said in such and such a place that we should do them." But there was nothing from in them. Nothing good. Nothing out them of God, you might say. Nothing being driven by His Spirit. Another way we could put it is this way: they were not going on to perfection. Their works were simple, things that they would know from the very beginning of their conversion that they should do. But there was no in them, no oomph spirituality. There was no growth in them.
So Christ then takes their pulse and finds it weak and thready, meaning it is scarcely perceptible there, just a thin line under your finger. You can hardly tell that the person is alive. And what He is telling them is that soon there was not going to be any pulse. They would be DOA. Dead on arrival. And like Ephesus, Jesus would remove their lampstand if they did not repent.
Let us go back to Luke the ninth chapter. This section that we are going to go through, which is verses 57-62, is all about things we must sacrifice to be disciples of Christ. And it is evident that the Sardians are not paying the price. They were not sacrificing anything. They were certainly not putting themselves into these works to any great effect.
Now it happened as they journeyed on the road, that Luke 9:57-62 someone said to Him, "Lord, I will follow You wherever You go." And Jesus said to him, "Foxes have holes and birds of the air have nests, but the Son of Man has nowhere to lay His head." Then He said to another, "Follow Me." But he said, "Lord, let me first go and bury my father." Jesus said to him, "Let the dead bury their own dead, but you go and preach the kingdom of God." Another also said, "Lord, I will follow You, but let me first go and bid them farewell who are at my house." But Jesus said to him, "No one, having put his hand to the plow, and looking back, is fit for the kingdom of God."
This would be an excellent thing for someone to have preached to the Sardians. They were a lot like these people. Sardians, as I said, were not paying any kind of price to be a Christian. They were just going along for the ride. In fact, by accommodating to the world and putting on an outward show of Christianity, they were doing everything they could to pay those not prices. Specifically, what we need to see here from Luke 9 is Jesus' definition of "dead." And it is a terrible thing. Here, He calls the uncalled, the unconverted, "the dead." "Let the dead bury their own dead," He says. We have in us by God's Spirit. We have eternal life in us by God's Spirit. life Without it, we are dead.
So what was He telling those people there in Sardis? He was telling them that they pretty much have left Him. And, like I said before, just the pilot light was on and that could be blown out in an instant. I mean, think about
this. Let us go to Hebrews the sixth chapter, and I just want you to notice the progression here of the argument that He makes. He says,
Therefore, leaving the discussion of the elementary Hebrews 6:1-8 principles of Christ, let us go on to perfection, not laying again the foundation of repentance from dead works and of faith toward God, of the doctrine of baptisms, of laying on of hands, of resurrection of the dead, and of eternal judgment. And this we will do if God permits. For it is impossible for those who were once enlightened, and have tasted the heavenly gift [meaning the Holy Spirit], and have become partakers of the Holy Spirit [the heavenly gift of grace, I should say. It is more like that.], and have tasted the good word of God and the powers of the age to come, if they fall away, to renew them again to repentance, since they crucify again for themselves the Son of God, and put Him to an open shame. For the earth which drinks in the rain that often comes upon it, and bears herbs useful for those by whom it is cultivated, receives blessings from God [That is how it should be, right? We should take in what we have been given and use it to produce fruit as blessings from God.]; but if it bears thorns and briers, it is rejected and near to being cursed, whose end is to be burned.
What is Jesus Christ doing in this letter to the Sardians? He is dangling them over the Lake of Fire! He says, "You're just about to the point, because you're producing briers and thorns instead of herbs that they are helpful, of totally falling away."
That is why I said this may be the actual worst letter among the seven. They were in a very, very precarious position. They were almost to the point of being without the life of God by His Spirit in them, almost to the point of complete unconversion. And then, He says in verse 4, there is only a few of you that are not like this. Almost the entire church had reached this point. The light of God and His truth were about to go out in Sardis. That is how far they had fallen.
Let us go back to the letter there in verse 2. He says,
"Be watchful and strengthen the things which Revelation 3:2 remain, that are ready to die, for I have not found your works perfect before God."
His judgment that they were dead is a bit of an overstatement, a little bit of hyperbole, but it was not too far off. They were ready to die. It was like "pull the plug," you know they would die. They were on life support. There was still a chance that they could recover, but it would not be easy, and that is why He goes on and says what He does here.
First, He says, they have to become watchful. That is alert, vigilant, aware, certainly of their own spiritual condition, but also that of most of the others around them. They were all in bad shape, and they needed to be aware of it. They needed to watch out for threats and dangers encroaching on them both from inside the church, because everybody in the church was pretty much carnal and worldly, as well as from outside. All those influences that the citizens of Sardis were giving them, making upon them. They need to learn to assess everything about their life and come up with godly solutions to solve some of their very deep spiritual problems.
Second, He says, they have to get on a strict regimen of spiritual strength training. Strengthen, He says, what remains—both personally and congregation-wide. They needed to reinforce and upgrade their relationship with Christ and love for each other first of all. That is the very foundation, the very basics of Christianity is having a relationship with Christ and showing love toward the brethren. Those were the first two commandments—the great commandments of the law. They need to get those right first. That is where their strength is going to come from, certainly from their relationship with Christ, and then from the fellowship and the encouragement of their brethren. After that, they could start moving on to other things. But by this point, they were dealing with the barest, the bare minimum of spiritually activity. So they would have to go back to the very basic things that we were talking about there in Hebrews 6 and rebuild from there.
Third, He mentions that their works were not perfect before God. And the idea that comes through from the Greek is that it suggests Daniel 5:27. That is the story of Belshazzar and the fall of Babylon. Remember the "mene mene tekel upharsin" and the judgment there was that Belshazzar was put on the scales and found wanting, and Babylon fell. He is saying here in the same way that He has put the Sardis church on scales and they, too, have been found wanting. God requires quality, godly works full of love and faith toward God. But their works were like blemished sacrifices that were brought before the altar that God rejected. I will not go there but please, if you have some time, go read Malachi 1:6-14 about the priests who were bringing all those blemished, corrupt things before God, saving the best for themselves but giving God the dregs, if you will.
So their works, their sacrifices lacked purity, they lacked holiness. Their works, as I mentioned before, were done to be done without any intent of doing any good or pleasing God. They were just being done because it seemed to be required. There was no fear of God in them at all.
[Jesus writes] "Remember therefore how you have Revelation 3:3 received and heard; hold fast and repent. Therefore if you will not watch, I will come upon you as a thief, and you will not know what hour I will come upon you."
Jesus here gives them three more urgent commands: remember, hold fast, and repent. And each one of these is very important to their progress, if they were going to have any progress at all.
Now, when we hear the word , we think "recall." We are going to remember go back to the records and see what happened, or we are going to go back in our minds to think about what happened. That is not necessarily what He wants. The word here actually has the sense of "bear in mind" or "consider." If we put that in, it says, "Consider, or bear in mind, therefore how you have received and heard."
It is very interesting what He is telling them to do here. He is not only telling them to remember how the gospel was preached and they received and heard the Word of God. They received forgiveness and grace. They received God's
mercy. They received gifts. He is telling them to look back and keep this in mind how much was done for them. How much work had been done by others to make sure that they were, after their calling, given the tools that they needed or the knowledge that they needed or the encouragement they needed, or what have you, to start making steps along the path toward the Kingdom of God. So He is telling them here that they are to meditate on, if you will, the methods and the means by which they received the gospel, on all the effort and sacrifice that it took, that other people did.
The whole clause gives the sense of this church being made up of either younger people or second generation Christians who only received the efforts of others but who had not participated in them. They were one step removed from all the work that it took to get the gospel to them. In other words, if I can put it in kind of a vernacular, He says, "Appreciate all the great works that were done on your behalf and bear them in mind." And of course, the implication, then, is seek to emulate those efforts and that zeal that were done out of obedience and a desire to please God.
Then He says, "Hold fast." "Hold fast" is the Greek word . It means, not terei as it says here, "hold fast"; I kind of scratch my head at why they used the two words, "hold fast." The word really means "keep" or "observe" or even "obey." Obey is a good one. The idea is that while they were claiming to be Christians, they were not really following its doctrines or walking its walk, so He has to tell them to do it. Obey. Remember, these Sardians were doing as little as possible, so Christ urges them to repent of their laxity, their lip service, their lack of Christian witness to the world, and then truly obey His commands and observe His way in their lives. Make a good witness. And they should do this no matter what they had to sacrifice or how much it costs them. They could no longer be Christians in name only. They had to be Christians in deed. They had to live it, in other words.
He goes on and says, "If they fail to be alert, if they fail to watch." Again, the sense is a little different. It means more like if they fail to wake up, He will come as a thief at a time that they are not expecting. This goes back, of course, to Matthew 24 in the Olivet prophecy where He tells them to watch. Watch for His coming, of course, but also watch themselves, watch their spiritual condition. He uses the idea of a thief in the night back there in Matthew 24:43. I Thessalonians 5:2, Paul uses it. And II Peter 3:10, Peter
uses it—this idea that He is coming at a time we do not expect and so we cannot wait around for it to happen, because we do not know when it is going to happen, and we may wait so long that it happens, and then where are we? We are on the outside looking in.
If they failed to watch their spiritual state, their end could catch them by surprise. This is a reference to Cyrus catching Croesus through the latter's lack of vigilance. He did not do anything. He went back to his fortress and he just sat there when he needed to actually be engaged in fighting the Persians off, but he was not. He just sat back and would enjoy his wealth in his little promontory fortress, and he ended up getting beaten and dying. He is warning them that their fate could be sealed at any moment. You do not know when you are going to die. You do not know when a car is going to come around the corner and smack you, and that is it. Your day of salvation is over.
So if they do not get on the ball, time will get away from them and they could very well find themselves weeping and gnashing their teeth in the Lake of Fire. That is how close things were to these Sardians. They were right on the knife's edge, and they could go either way, so they needed to be alert and awake and moving forward and trying to rebuild and restrengthen as best they can as soon as they could, because you just never know.
Their problems are not something they can delay in fixing. Got to be now— procrastination and delay are spiritual killers because if we have a tendency to do that we are going to keep on having a tendency to do that, and we will just put it off and put it off, thinking we are okay. And then the end comes, or our end comes.
Let us move on to verse 4. This is the happy part of the the letter.
"You have a few names even in Sardis who have Revelation 3:4 not defiled their garments; and they shall walk with Me in white, for they are worthy."
So some few had remained faithful. They were witnessing of Christ's way of life in their own walk. They were living righteously before God and before the world. They were not trying to hide in the world by being as much like it
as possible. That is, trying to be as much like the world so we do not have to suffer in any way, that is the way that leads to spiritual destruction. I John 2: 15-17 tells us to love not the world, the world is passing away. You do not want to be caught up in it because you want to be going God's way. That way leads to eternal life.
He tells the Sardians here that those few righteous among them had abstained from any sort of defilement from the pagan world around them. Remember, this is the same general religious milieu that was in Thyatira and in Pergamos. Remember the guilds that I talked about in a couple of the last sermons I gave? Sardis had those same guilds, where you could not get in them unless you participated in the rites, or you participated in their sexual practices, depending on how that guild functioned. This seems to have been what He is referring to here.
So what we have in the letters to the seven churches, those middle three— Pergamos, Thyatira, and Sardis—were all facing generally the same thing, with the same problems of sexual immorality and idolatry. Of course, everybody was in the Roman world, but He draws them out here in these three letters, mostly Pergamos and Thyatira. But I believe Sardis needs to be added to this list because He is saying that these righteous ones in Sardis never participated in those sorts of things. They had not allowed themselves to be stained by these practices. "So what if the guild says that I have to do this? I'm not doing it. I'm going to be a Christian. I'm going to stand up on my own two feet. I'm going to go my own way. And who cares what the world says?"
That is one of the reasons why Jesus Christ draws them out as "Hey, this is a good example!" Because they were the exact opposite of their neighbors or fellow members in the church there in Sardis. Those other people were trying to be just as much like the world as possible but the righteous were not. They were, if you will, proud to stay out of that stuff and be a good example of what God's way is. So they would stand apart from that and be different.
Because they have done these things, that they have remained unspotted from the world, their reward is to walk with Christ in white garments. They are worthy, you might say. The white garments stand for righteousness, holiness, purity, fidelity, worthiness, even victory. All of these elements
come in one place or another when we are talking about all the descriptors that mentioned "white" in the book of Revelation. Certainly they all apply to Jesus Christ in chapter 1, where He is in white, you know, His hair is white as wool, as white as snow, and His eyes like a flame of fire, all that. Jesus is like this, and He is saying that these people whom He has said that these are the ones that are good examples, those few are like Him.
He is going to reward them with what received. He is dressed in white, He they are going to dress in white. If He rules, they rule. If He goes here, they go there, wherever He is. So what this is, in a nutshell, is a promise of eternal life and everlasting fellowship with God, which we understand to be the reward of the saved, as it were. Especially of the 144,000 in Revelation 14, where it says they go wherever He goes. They are virgins because they had not defiled themselves. Very similar to what He says here in Revelation 3:4.
Let us read the last two verses as we wind up here.
"He who overcomes shall be clothed in white Revelation 3:5-6 garments [There it is again.], and I will not blot out his name from the Book of Life; but I will confess his name before My Father and before His angels. He who has an ear, let him hear what the Spirit says to the churches."
The reward to the overcomers is repeated here for emphasis. In God's true way of life, God's true religion, as it were, those white garments are . I earned know that is controversial. People talked bad against Herbert Armstrong for using the word . But it is all throughout the New Testament. Actually, qualify it is all throughout the Bible. God does not give us something as valuable as grace without Him wanting something in return. He wants loyalty. He wants likeness to Christ. He wants in doing what He does. That is all the practice works are.
All of our works are just doing what He did. Learning how to be like Him— whether it is to comfort the afflicted, visit someone in prison, giving clothes to the naked, or food to the hungry, or what have you. Those are things He did. That is what He wants to see. He wants to see likeness to Himself as a response to the grace that has been given and all the other gifts that we have been given. So He loads us up with the tools that we need to do the things
that He wants us to do. And then He says, "Go ye therefore and do them." That is what He requires in exchange for the tremendous gifts that we have been given and the tremendous opportunities that God lays out for us.
And they look free! But nothing so exquisite and expensive and wonderful is ever free. He requires works. The whole Protestant world reads Ephesians the second chapter and they stop. They stop at verse 9. I just want to read it just so we understand what it says there.
And you He made alive, who were dead in Ephesians 2:1-10 trespasses and sins, in which you once walked according to the course of this world, according to the prince of the power of the air, the spirit who now works in the sons of disobedience, among whom also we all once conducted ourselves in the lusts of our flesh, fulfilling the desires of the flesh and of the mind, and were by nature children of wrath, just as the others. But God, who is rich and mercy, because of His great love with which He loved us, even when we were dead [interesting word] in trespasses, made us alive together with Christ (by grace you have been saved), and raised us up together, and made us sit together in the heavenly places in Christ Jesus, that in the ages to come He might show the exceeding riches of His grace in His kindness towards us in Christ Jesus. For by grace you have been saved through faith, and that not of yourselves; it is the gift of God, not of works, lest anyone should boast. [The Protestant world stops right there without reading verse 10.] For we are His workmanship [that is, He works in us], created in Christ Jesus for good works, which God prepared beforehand that we should walk in them.
He even prepares the works for us to do! He does all this stuff, but He says, "You have got to do it." The Sardians seem to think that they were given all of this from verses 1-9 and they did not have to do anything else. Sounds a lot like out there, but Jesus says, "Your works are empty. I want to see works that mean something, that are going to help you to grow spiritually. That are going to help other people, that are going to make other people realize this is God's church." This is how Christ lives. You know, this is the way to go. But they were showing none of that. They were just resting on the oars, totally depending on the grace of God and not giving Him anything in return.
That is why He is telling them, "You guys are pretty much dead! You've shown no life since your baptism. I raised you out of the water and you're just flopping on the side like a fish, not doing anything. You need to get up and do something profitable, and quick."
The believer then must reciprocate in gratitude to God by being loyal, by overcoming sinful human nature, and growing in the image of Jesus Christ. Those are Christian works, along with whatever service and other things that we can do to show our love toward God and neighbor. That is what He wants us to see.
Notice then in Revelation 3:5 that to emphasize this, He says if you do these good things, then I will not blot your name out of the Book of Life. Which gives you the impression that if you fail to do those things, He blot your will name out of the Book of life. Bit of a double-edged sword there. So with the reward comes a very chilling warning.
I see my time is nearly up here. I just want you to also refer to Acts 4:10-12. Basically, that ends with there is "no other name but the name of Jesus by which to be saved." And here He says that He is going to confess our name before His Father and the angels. I just want to add this to what you are thinking here. When we repent and are baptized, we can be said to have claimed the name of Jesus Christ as our own. We are now a Christian; that name is the one by which were saved. Salvation only comes through Him and all that His name represents. Remember His names and titles. They all tell us what He is like. So here in verse 5, Jesus completes the process, if you will, by confessing our names before the Father. In essence, we say, "We want to be like You, Jesus. We will take Your name." And then in Revelation 3:5, He comes back and He says, "This one is like Me. He or she is in My image and so may bear My name forever." That is when He confesses our name before the Father. He kind of completes the process. We confess His name, He confesses our name, and it becomes a reality in the Kingdom of God, especially. That is when it really becomes a reality.
So the confession of the name of the person is a sign of acceptance, eternal acceptance, of being judged well-pleasing in God's sight, and worthy of entrance into the Family of God. Remember, that is what was said to the
people who are given the talents, and they increased their talents? It says, "Well done, good and faithful servant. Enter into the joy of your Lord." So that is what He is telling the Sardians here. That they need to hear Him confess their name before God because of their track record of being like Christ.
Let us conclude in I John 2. We are going to read a few scriptures here as quickly as possible. I want you to think of this as the kind of instruction John would have given the members of the Sardis church after the book of Revelation was written to them.
Now by this we know that we know Him, if we keep I John 2:3-6 His commandments. He who says, "I know Him," and does not keep His commandments, is a liar, and the truth is not in him. But whoever keeps His word, truly the love of God is perfected in him. By this we know that we are in Him. He who says he abides in Him ought himself also to walk just as He walked.
And now, little children, abide in Him, that when I John 2:28-29 He appears, we may have confidence and not be ashamed before Him at His coming. If you know that He is righteous, you know that everyone who practices righteousness is born of Him.
Behold what manner of love the Father has bestowed I John 3:1-3 on us, that we should be called children of God! Therefore the world does not know us, because it did not know Him. Beloved, now we are children of God; and it has not yet been revealed what we shall be, but we know that when He is revealed, we shall be like Him, for we shall see Him as He is. And everyone who has this hope in Him purifies himself, just as He is pure.
Like I said, this may very well be the kind of instruction that John would have given the members of the Sardis church.
If we are to learn anything from this letter, it must be that we cannot dare risk to do just the bare minimum. We cannot risk just getting by. God wants us to throw ourselves into living His way, giving it everything we have got.
"Whatever your hand finds to do, do it with your might," and especially the doing of God's way of life.
So, as we come up upon Passover, rededicate yourself to repentance and overcoming your sins and your sinful nature. Practice God's way of life at all . Make a witness of your faithfulness to God before everyone by always times doing what God says, no matter what. Show your love for God with all your heart, with all your soul, and with all your mind.
He who has an ear to hear, let him hear!
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Kyudai Oral Bioscience 2015
―9th International Symposium―
February 28th, 2015
Fukuoka Recent Hotel, Fukuoka , Japan
PROGRAM & ABSTRACTS
Kyushu University Faculty of Dental Science
〇会期： 〇会期： 〇会期： 〇会期：平成
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PROGRAM
February 28 (Sat) MAIZURU Room A (2nd Floor)
Opening remarks
09:00 - 09:05 Hiroshi Nakanishi (vice Dean)
09:05 - 09:10 Akifumi Akamine (Dean, Faculty of Dental Science, Kyushu University)
■Session 1: Keynote Lecture
Chairperson: Fusanori Nishimura (Department of Periodontology)
09:10 - 10:00 Andy Y-T. Teng
Discovery and doubt: a prologue of my quest to research and realism in life
Center for Osteoimmunology & Biotechnology Research (COBR), College of Dental Medicine, Kaohsiung Medical University and the Affiliated Hospital, Kaohsiung, Taiwan
10:00 - 10:10 Coffee Break
■Session 2: Student & PhD Student Session
Chairperson: Yoko Hashimoto (Department of Periodontology)
Fumiko Takayama (Department of Aging Science and Pharmacology)
10:10 - 10:15 S2-1 Mizuki Abe*
Immunocytochemical detection of glucose-related protein 78 in oral squamous cell carcinoma cell lines
Laboratory of Oral Pathology, Faculty of Dental Science, Kyushu University (*MA is a 4th grade undergraduate student of Kyushu University School of Dentistry)
10:17 - 10:22 S2-2 Katsuhiro Furusho*
The expression of Netrin-1 and its receptor DCC in oral squamous cell carcinoma
Laboratory of Oral Pathology, Faculty of Dental Science, Kyushu University (*KF is a resident of the Section of Dentistry in Kyushu University Hospital)
10:24 - 10:29 S2-3 Pai-Shien Liao
The clinical efficacy of triclosan-containing toothpaste on the anti-plaque and anti-gingivitis scores: a randomized single-blind clinical study
Center for Osteoimmunology & Biotechnology Research (COBR), College of Dental Medicine, Kaohsiung Medical University and the Affiliated Hospital, Kaohsiung, Taiwan
10:31 - 10:41 S2-4 Hideki Sugii
Effects of Activin A on the phenotypic properties of human periodontal ligament cells.
Department of Endodontology and Operative Dentistry, Faculty of Dental Science , Kyushu University
10:43 - 10:53 S2-5 Kyosuke Toyoda
Grp78 is essential for cell migration induced by amelogenin in a human periodontal ligament stem/progenitor cell line.
Department of Periodontology, Division of Oral Rehabilitation, Faculty of Dental Science , Kyushu University
10:55 - 11:05 S2-6 Yoko Tomita
Strain dependent response of osteocytes in peri-implant bone
Section of Implant and Rehabilitative Dentistry, Division of Oral Rehabilitation, Faculty of Dental Science , Kyushu University
11:07 - 11:17 S2-7 Miho Ohta
DNA microarray analysis of salivary glands involved in IgG4-related disease.
Section of Oral and Maxillofacial Oncology , Kyushu University
11:17 - 11:27 Coffee Break
11:27 - 11:37 S2-8 Reona Aijima
The role of thermosensitive TRP channel in oral wound healing
Department of Molecular Cell Biology and Oral Anatomy, Graduate school of Dental Science, Kyushu University
11:39 - 11:49 S2-9 Dan Li
Characterization of a new target Porphyromonas sp. in dental caries prevention
Section of Preventive and Public Health Dentistry, Division of Oral Health, Growth and Development, Faculty of Dental Science , Kyushu University
11:51 - 12:01 S2-10 DaGuang Wang
Hetero-oligomerization of C2 domains of phospholipase C-related but catalytically inactive protein and synaptotagmin-1
Laboratory of Molecular and Cellular Biochemistry, Faculty of Dental Science , Kyushu University
12:03 - 12:13 S2-11 Junjun Ni
Cathepsin B deficiency inhibits hypoxic ischemia–induced neuronal damage through promoting the resolution of neuroinflammation by M2-like polarization of microglia/macrophages
Department of Aging Science and Pharmacology , Kyushu University
12:15 - 12:25 S2-12 Yi Zhao
The selection of the enteral nutritional support route in neurological intensive patients
Department of General surgery, Department of Neurosurgery, Peking Union Medical College Hospital, Beijing, China
12:27 - 12:37 S2-13 Dong-Joon Lee
Gastrin releasing peptide (GRP) expression and its effect to morpho-differentiation of mouse incisor
Division in Anatomy and Developmental Biology, Department of Oral Biology, Oral Science Research Center, BK21 PLUS Project, Yonsei University College of Dentistry, Seoul, Korea
12:39 - 12:49 S2-14 Qinghuang Tang
The role of region-distinctive expression of Rac1 in regulating fibronectin arrangement during palatal shelf elevation
Department of Oral Biology, Yonsei University College of Dentistry, Seoul, Korea
12:51 - 12:56 Closing Remarks
ABSTRACTS
Session 1: Keynote Lecture
Discovery and doubt: a prologue of my quest to research and realism in life
Andy Y-T. Teng
Center for Osteoimmunology & Biotechnology Research (COBR), College of Dental Medicine, Kaohsiung Medical University and the Affiliated Hospital, Kaohsiung, Taiwan
Researchers are supposed and expected to create new knowledge and useful information in so-called discovery, as their mission on the jobs, where their outcome is uniquely situated in society and ultimately to the human history. Say: what are and have been the biggest gap(s) in knowledge of life (& our lives)? How about the fact, the factual, the real, the realism or the truth? What sort of discovery (& doubt in questions) that can, or ultimately would, be so fundamentally different or real that will lead to the fact …. truth, and thus will stun and change our futures in life?! Despite, we know better now!? Our living world (the Earth) did not exist at the time-period of The Big-Bang until about 7.9∼8 billion years ago; so, if we haven't yet identified the beast in the woods at least we can detect and measure its footprints [2014-Scientific: Dark matter and energy, which we know nothing about, amount to 95% of all the matter and energy in the observable multiverse that has existed].
So, it was started in 1986 after a DDS training and mandatory military services, where my journey was beefed-up by Knowing-Nothing for a simple Quest-to-Research in Chicago, along with oral biology/pathology, then periodontology, immunology, till osteoimmunology & bone biology, etc., as I did. The factual was that a quarter of a century passed, through which a few things have been quested in the mind-sets via time (why did what I did? what value(s) defined what I did?): a) what we care for (i.e., desire for, etc.) often qualify, define and constrain what we are capable of in life (i.e., doctor & patient, treatments & diseases, and the research, too, etc.); b) what values used (in life) to measure the footprints (like the beast in the woods) determine what (& who) we are; c) life is a means to end in itself, not to achieve the purpose in life; thereafter, d) lacking the inner values (of our mindsets, in/with our beliefs) often de-ameliorate us and our life itself. Lastly, e) through the ups-and-downs, the hurtles, and all others I have learned and the not-yet-learned…, this Quest-to-Research was chosen as itself has realized the inner values of myself and the life as I have continued to proceed to further Doubts (more) and Discoveries (less) ahead of me before the next. So, in this presentation, I will share these experiences from the beginning Quest-to-Research till the next realism to come. After all, the presenter thanks you all and appreciates for the prestige and this opportunity of sharing being offered!!
Brief biography:
Andy Y-T. Teng is currently a Professor and Director at the Center for Osteo-immunology & Biotechnology Research (COBR), College of Dental Medicine, Kaohsiung Medical University (KMU), Kaohsiung, Taiwan, and also at the Lab. of Microbial Immunity, Div. of Periodontology, Eastman Institute for Oral Health (EIOH), University of Rochester, Rochester, USA. He has held a DDS from KMU, Taiwan and a DMD from University of Rochester, New York, USA, along with MS of Experimental Pathology from Loyola University of Chicago, USA, and a PhD. of Immunology from University of Toronto, Canada, through which Teng acquired his full-time academic faculty appointments and career for over 24 years in North America.
His specialties lie on Periodontology, Pathology and General Dentistry for over 20 years, with much focused research interests on the immune-regulation of T-&-bone cells' interactions & cytokine biology, experimental models of infectious diseases and molecular cell biology, PCR-based diagnostics, and has been involved in the editorial services of several scientific journals (i.e., JDR, etc.) and for over 40 scientific & professional journals world-wide in the last twenty years.
Prof. Teng has received several international research awards such as the Career-Scientists Award of Ontario, Canada, International Research Prize of 2003 by the International Congress of Bone and Mineral Tissue Research, Austria, and 2006-IADR/GSK International -"Innovation Oral Care Research Award". Also, Teng has involved in pioneering the field of osteo-immunology and been working with colleagues on the molecular & cellular mechanisms of periodontal diseases, arthritis and osteoporosis as the future therapies for clinical applications.
Session 2:
Student & PhD Student Session
Immunocytochemical detection of glucose-related protein 78 in oral squamous cell carcinoma cell lines
Mizuki Abe*, Kengo Nagata, Akiko Jinno, Tamotsu Kiyoshima
Laboratory of Oral Pathology, Faculty of Dental Science, Kyushu University (*MA is a 4th grade undergraduate student of Kyushu University School of Dentistry)
S2-2
expression of Netrin-1 and its receptor DCC in oral squamous cell carcinoma
Katsuhiro Furusho*, Hiroko Wada, Yurie Mikami, Tamotsu Kiyoshima
Laboratory of Oral Pathology, Faculty of Dental Science, Kyushu University (*KF is a resident of the Section of Dentistry in Kyushu University Hospital)
The
The clinical efficacy of triclosan-containing toothpaste on the anti-plaque and anti-gingivitis scores: a randomized single-blind clinical study
Pai- Shien Liao* 1 & Andy Y-T. Teng 1
1. Center for Osteoimmunology & Biotechnology Research (COBR), College of Dental Medicine, Kaohsiung Medical University and the Affiliated Hospital, Kaohsiung, Taiwan
Background: Triclosan has been shown to mediate certain anti-microbial effects and modulation of the immune responses. To assess its clinical efficacy, we rationalized and designed a single-blinded randomization clinical study based on its effects. Methods: Sixty male and female subjects with gingivitis and a minimal of 17 teeth present, who have met the inclusion and exclusion criteria, are recruited and consented as well, based on IRB protocols with approval. Subjects are examined at baseline for the oral indexes including Loe & Silness (GI) and a plaque index (Turesky modified Quigley & Hein (PI). Subjects are informed of possible adverse reactions that they could experience, such as oral irritations. Then, all subjects are blinded and randomly subjected to receive a Tricosan-containing toothpaste or another tooth-paste containing separate control ingredients without Triclosan. All subjects are instructed with standardized protocol to brush their teeth twice daily for 6 weeks. At the end of 6 weeks, an exit-examination is carried out again for GI & PI, through which a two factor ANOVA will be used to determine if the differences between the above treatments are significant and the differences are considered significant if a 95% confidence level is achieved. Summary: The present study is ongoing without the results yet; however, it is anticipated that certain tooth-paste ingredients like triclosan, in its technology under test, is to manifest certain anti-microbial effects in human subjects with gingivitis for at least a short-term 6-week effect. Note: The study has been funded by Center for Osteoimmunology & Biotechnology Res (COBR), College of Dental Medicine, Kaohsiung Medical University, and a pilot fund from the Colgate-Palmolive Co., Global & Taiwan divisions (S102023).
Effects of Activin A on the phenotypic properties of human periodontal ligament cells
Hideki Sugii 1 , Hidefumi Maeda 2 , Atsushi Tomokiyo 2 , Naohisa Wada 2 , Satoshi Monnouchi 1 , Daigaku Hasegawa 1 , Sayuri Hamano 1 , Asuka Yuda 1 , Shinichiro Yoshida 1 , Suguru Serita 1 , Hiroyuki Mizumachi 1 ,Hiromi Mitarai 1 , Akifumi Akamine 1,2 .
1 Department of Endodontology and Operative Dentistry, Faculty of Dental Science, Kyushu University, and 2 Department of Endodontology, Kyushu University Hospital
Activin A (ACTA) that is a member of the TGF-β superfamily and a dimer of inhibinβa contributes to tissue healing. It was reported that ACTA exerts an inhibitory effect on osteoblastic differentiation and mineralization. However, the expression and function of ACTA in human periodontal ligament cells (HPDLCs) have not been reported. Thus, we aimed to analyze the biological effects of ACTA on HPDLCs.
HPDLCs were isolated from healthy third molars. HPDLCs were cultured with or without ACTA in the presence or absence of CaCl2 that was used for inducing osteoblastic differentiation. The cells were then subjected to Alizarin red S staining and von Kossa staining. Gene expressions were evaluated by quantitative RT-PCR, and protein expressions were investigated by immunofluorescence (IF) and immunochemical (IC) analyses. Chemotaxis, migration and proliferation of HPDLCs treated by ACTA were also examined using modified Boyden Chamber assay, scratch wound healing assay and WST-1 proliferation assay, respectively.
IC analysis with an anti-ACTA antibody revealed positive staining in HPDLCs and rat PDL tissue. When rat PDL tissue was experimentally damaged, IF results showed that positive reactions against both anti-ACTA and anti-IL-1β antibodies were up-regulated around the damaged sites where co-localized detection was seen. ACTA promoted chemotaxis, migration and proliferation of HPDLCs. Quantitative RT-PCR data showed that this protein induced the expression of genes related to fibroblastic differentiation, but inhibited the osteoblast-related gene expression in HPDLCs. ACTA furthermore inhibited mineralization of CaCl2-treated HPDLCs.
Our results suggested that ACTA was expressed in the entire PDL tissue at low levels while its expression was promoted during the early phase of damaged PDL tissue healing. In addition, ACTA could promote proliferation, migration, chemotaxis and fibroblastic differentiation of PDL cells whereas inhibited their osteoblastic differentiation. This protein might have the role to prevent ectopic PDL tissue ossification by blocking osteoblastic differentiation of PDL cells. Therefore, ACTA could be applied as a therapeutic factor that promotes healing and regenerating of PDL tissue damaged by disease, trauma or surgical reconstruction.
Grp78 is essential for cell migration induced by amelogenin in a human periodontal ligament stem/progenitor cell line.
Kyosuke Toyoda, Takao Fukuda, Terukaze Sanui, Kensuke Yamamichi, Ryo Atomura, Urara Tanaka, and Fusanori Nishimura.
Department of Periodontology, Division of Oral Rehabilitation, Faculty of Dental Science, Kyushu University.
Objective
The major component of enamel matrix proteins, amelogenin is a potential bioactive molecule for periodontal regeneration, although the downstream target molecules and/or signaling are still unknown. Recently, we performed proteomics analysis to elucidate amelogenin-interacting networks. We identified Grp78 as a new amelogenin binding protein, and the biological interaction of amelogenin with this molecule enhanced cell proliferation in osteoblastic cells (Fukuda et al, 2013). In this study, since specific migration and proliferation of periodontal ligament cells (PDL) play key role in successful periodontal regeneration, we evaluated the biological interaction between amelogenin and Grp78, and its effect on cellular responses in periodontal ligament (PDL) cells.
Method
An established multipotent clonal human PDL stem/progenitor cell line (PDLSCs), 1-17, was used. GST pull down assay and confocal co-localization were performed to validate the binding of recombinant amelogenin (rM180:10µg/mL) with endogenous Grp78. Grp78 was overexpressed or knock-downed in PDLSCs for further characterization of these molecular interactions to observe gene expression profiles (microarray, pathway, and heatmap analysis), cell motility (wound healing and boyden chamber assay), cell viability (WST-8, Ki-67 positive staining), Rho signal transductions (Rho family activation), and morphological changes (confocal microscopy).
Result
Internalization of rM180 via binding to the cell surface Grp78 was observed in PDLSCs. Microarray analysis demonstrated that rM180 activates TGF-β pathway, and Grp78 altered the expression of several cell migration related genes. Overexpression of Grp78 enhanced rM180-induced cell migration and adhesion without affecting cell proliferation, while silencing of Grp78 diminished these activities. Binding of rM180 with Grp78 promoted lamellipodia formation, and the simultaneous activation of Rac1 was observed.
Discussion
The results suggested that amelogenin binding with Grp78 is involved in the regulation of cell migration, moreover, the Rac1 activation and lamellipodia formation are critical steps for amelogenin-induced cell migration.
Strain dependent response of osteocytes in peri-implant bone
Yoko Tomita 1 , Yasuko Moriyama 1 , Yasunori Ayukawa 1 , Kosaku Kurata 2 , Takanobu Fukunaga 2 , Hiroshi Takamatsu 2 , Kiyoshi Koyano 1
1 Section of Implant and Rehabilitative Dentistry, Division of Oral Rehabilitation, Faculty of Dental Science, Kyushu University
2 Department of Mechanical Engineering, Faculty of Engineering, Kyushu University
Osteocytes are thought to be mechanosensors and responsible for orchestrating bone remodeling process. However, little is known about how osteocytes react to mechanical stress received from dental implant. The purpose of this study was to investigate the effects of strain-induced biochemical response of osteocytes in vitro. We established two types of loading apparatuses, in which MLO-Y4 osteocyte cell line was three-dimensionally cultured, subjected to the application of cyclic mechanical stress in physiological strain for 24 hours. One could simultaneously apply five kinds of (from 0.095% to 1.22%) stretching strains and the other could reciprocate titanium plate, which imitated dental implant screw shape, in the cell-embedded gel. Cyclic physiological strain applied by both devices induced the cell death of MLO-Y4. Real-time RT-PCR analyses showed that the mechanical strain increased RANKL/OPG ratio and suppressed sclerostin expression in a magnitude-dependent manner. Connexin43 expression increased in the middle strain magnitude. The conditioned medium obtained from low magnitude cyclic stretch culture increased ALP activity of bone marrow cell culture.
These studies suggest that osteocytes may respond to strain from implant and coordinate peri-implant bone remodeling.
DNA microarray analysis of salivary glands involved in IgG4-related disease.
Miho Ohta, Masafumi Moriyama, Akihiko Tanaka, Takashi Maehara, Sachiko Furukawa, Shintaro Kawano, Jun-Nosuke Hayashida, and Seiji Nakamura
Section of Oral and Maxillofacial Oncology, Kyushu University
Objectives. IgG4-related disease (IgG4-RD) is a systemic disease characterized by infiltration of IgG4-positive plasma cells with severe fibrosis in multiple target organs. Our previous reports demonstrated that helper T type 2 (Th2) cells are involved in IgG4 production of IgG4-RD. Moreover, Watanabe et al. reported that abnormal innate immune responses might enhance Th2 immune responses and the immunopathogenesis of IgG4-RD. In this study, we thus addressed to identify the disease-associated genes, especially innate immune molecules, using DNA microarray.
Methods. Gene expression was analyzed by DNA microarray in submandibular gland (SMG) from patients with IgG4-RD (n=3) and healthy controls (n=3). Differentially expressed genes (DEGs) between the two groups were identified, and gene-annotation enrichment analysis was performed by using Gene Ontology (GO) annotation. Validation of the results was performed by quantitative PCR and immunohistochemistry using salivary glands from IgG4-RD (n=7), Sjögren's syndrome (n=10), and healthy controls (n=10).
Results. Gene expression patterns in IgG4-RD and healthy controls were quite different with each other in hierarchical clustering as well as principal component analysis. In IgG4-RD, 450 up-regulated genes and 732 down-regulated genes were identified as DEGs (adjust p-value <0.01). GO term analysis indicated that the up-regulated genes of DEGs in IgG4-RD encoded proteins that function in T/B cell activation, and chemotaxis. PCR validated significantly higher expression of "macrophage receptor with collagenous structure (MARCO)" in IgG4-RD than that in controls (p<0.001). MARCO belongs to Class A scavenger receptor and expressed on "alternatively activated (M2) macrophages" which is activated by Th2 cytokines can induce wound healing and fibrosis. Immunohistochemical analysis confirmed that the number and the frequency of M2 macrophages in IgG4-RD were significantly higher than those in the other groups.
Conclusion. MARCO was identified as a disease-associated gene and might be critically important in elucidating the relationship between innate immunity and the pathogenesis of IgG4-RD.
The role of thermosensitive TRP channel in oral wound healing
Reona Aijima 1,2,3 , Bing Wang 1 , Tomoka Takao 1 , Hiroshi Mihara 4 , Makiko Kashio 4 , Yasuyoshi Ohsaki 1 , Jing-Qi Zhang 1 , Sadahiko Masuko 2 , Makoto Tominaga 4 , Mizuho A. Kido 1
1 Department of Molecular Cell Biology and Oral Anatomy,
Graduate school of Dental Science, Kyushu University
2
Department of Oral and Maxillofacial Surgery, Faculty of Medicine, Saga University
3
Division of Histology and Neuroanatomy, Department of Anatomy and Physiology,
Faculty of Medicine, Saga University
4 Division of Cell Signaling, Okazaki Institute for Integrative Bioscience (National Institute for Physiological Sciences), National Institutes of Natural Sciences
Oral cavity, the entrance to the alimentary tract, experiences drastic changes of temperature, chemical or mechanical stimuli, compared with other tissues. Because of this, oral mucosa is susceptible to injury, but it is known to provide faster wound healing than the skin and less scar formation. However, the molecular bases that regulate this wound healing are still unclear.
Recently, there has been accumulating evidence that thermosensitive transient receptor potential (TRP) channels contribute to not only environmental sensors but also physiological functions. We found TRP vanilloid 3 (TRPV3), a thermosensitive Ca 2+ -permeable channel activated by warm temperatures (above 33°C), was functionally expressed in oral epithelia. Using a molar tooth extraction model, TRPV3-deficient (TRPV3KO) mice showed delayed wound closures compared with those in wild-type (WT) mice. Furthermore, prominent up-regulation of TRPV3 mRNA was found in the wounded tissues at an early stage of wounding. TRPV3 agonist stimulation or temperature above 33°C to primary cultured oral epithelial cells enhanced the number of proliferating cells. In addition, the activation of TRPV3 increased phosphorylation of epidermal growth factor receptor (EGFR) in the cells from WT, which was not found in the cells from TRPV3KO.
These results suggest TRPV3 in oral epithelia promotes the proliferation of oral epithelial cells and contributes to rapid wound repair via EGFR phosphorylation. Our findings suggest that TRPV3 activation could be a potential therapeutic target for wound healing in skin and oral mucosa.
Aijima R, Wang B, Takao T, Mihara H, Kashio M, Ohsaki Y, Zhang JQ, Mizuno A, Suzuki M, Yamashita Y, Masuko S, Goto M, Tominaga M, Kido MA. FASEB J. 2015 29(1):182-92.
Characterization of a new target Porphyromonas sp. in dental caries prevention
Dan Li, Yukie Shibata, Toru Takeshita, Yoshihisa Yamashita
Section of Preventive and Public Health Dentistry, Division of Oral Health, Growth and Development, Faculty of Dental Science, Kyushu University, Fukuoka, Japan
Dental caries forms by cariogenic virulent bacteria through complex interactions among oral microbiota. Although the causative agents of dental caries have been extensively studied, little attention was given to complex and forming process of healthy plaque. Our previous study with pyrosequencing analysis indicated that the prevalence ratio of an oral taxonomic unit (OTU) assigned to genus Porphyromonas showed a higher tendency in plaque of caries-free subjects than in that of caries-experienced ones during a 7-day in vivo experiment. The OTU presented a colonization mode similar to a middle colonizer, Fusobacterium species and was significantly more predominant in saliva of caries-free subjects than in that of caries-experienced ones.
In the present study, in order to further confirm the results of the pyrosequencing analysis, quantitative real time PCR and clone library were performed. The results of quantitative real time PCR of saliva and day-7 plaque were consistent with that of the pyrosequencing analysis. Clone library analysis revealed that an oral clone CW034 resembler which belong to Porphyromonas sp. HOT-279 was identified as the predominant species in caries free subjects of both in saliva and day-7 plaque. We isolated a bacterial strain resembling an oral clone CW034 from human saliva and characterized its biological property. It was weakly saccharolytic and did not form pigmented colonies, being different from Porphyromonas gingivalis, a periodontal pathogen, in general. Based on characterized its property, we proposed to name it Porphyromonas pasteri KUFDS01. Fusobacterium species are considered important "bridge" organisms that coaggregate initial, early, and late colonizers, and contribute to an increase in microbial diversity in plaque development. We compared the ability of coaggregation of Fusobacterium nucleatum ATCC 10953 and P. pasteri KUFDS01, and P. pasteri KUFDS01 and F. nucleatum ATCC 10953 differed in coaggregation ability.
These results suggested P. pasteri KUFDS01 is a new target to elucidate the mechanism of plaque biofilm formation. To investigate 'healthy plaque' is a novel viewpoint and meaningful for examining the progress of dental caries.
Hetero-oligomerization of C2 domains of phospholipase C-related but catalytically inactive protein and synaptotagmin-1
DaGuang Wang 1 , Hiroshi Takeuchi 2 , Jing Gao 1 , Zhao Zhang 1,3 , Masato Hirata 1
1 Laboratory of Molecular and Cellular Biochemistry, Faculty of Dental Science, Kyushu University, 2 Division of Applied Pharmacology, Kyushu Dental University, 3 Stomatological Hospital of Hebei Medical University,
The C2 domain is a protein module often found in molecules that regulate exocytosis. C2 domains mediate interactions between the parental molecule and Ca 2+ , phospholipids, and proteins. Although various molecules have been shown to interact with several C2 domains, no interactions between the C2 domains from different molecules have yet been reported. In the present study, we identified direct interactions between the C2 domain of PRIP (phospholipase C-related but catalytically inactive protein) and the C2 domains of other molecules. Among the C2 domains examined, those of synaptotagmin-1 (Syt1-C2A and Syt1-C2B) and phospholipase C δ-1 bound to the C2 domain of PRIP. We investigated the interactions between the C2 domain of PRIP (PRIP-C2) with Syt1-C2A and Syt1-C2B, and the mode of binding of each was Ca 2+ -dependent and -independent, respectively. We further demonstrated that the Ca 2+ dependence of the interaction between PRIP-C2 and Syt1-C2A was attributed to Ca 2+ binding with Syt1-C2A, but not PRIP-C2, using a series of mutants prepared from both C2 domains. We previously reported that the interaction between PRIP-C2 and the membrane fusion machinery suggested a critical role for PRIP in exocytosis; therefore, the results of the present study further support the importance of PRIP-C2 in the inhibitory function of PRIP in regulating exocytosis.
S2-11
Cathepsin B deficiency inhibits hypoxic ischemia–induced neuronal damage through promoting the resolution of neuroinflammation by M2-like polarization of microglia/macrophages
Junjun Ni, Zhou Wu, Hiroshi Nakanishi
Department of Aging Science and Pharmacology, Kyushu University, Fukuoka, Japan
It is widely accepted that microglia/macrophages acquire distinct functional phenotypes: classically (M1) or alternatively activated (M2) microglia/macrophages. M1- and M2-like microglia/macrophages respectively dominate in the chronic and acute states of neuroinflammation. In spite of clinical importance, little is known about the mechanisms underlying phenotypic shift of microglia/macrophages. Here, we provide the first evidence that cathepsin B (CatB), a typical cysteine lysosomal protease, can work as a phenotype switch of microglia/macrophages along the M1-M2 phenotypic continuum. Neonatal wild-type mice subjected to hypoxic/ischemia (HI) injury showed an extensive brain injury. CatB was significantly increased exclusively in microglia/macrophages after HI injury. It was also noted that microglia/macrophages showed early and persistent M1-like polarization followed by transient M2-like polarization after HI injury. In neonatal CatB-/- mice, however, HI-induced brain injury was significantly reduced. Furthermore, CatB-deficient microglia/macrophages showed only the early and transient M2-like, but not M1-like, polarization. When conditioned medium from M1-polarized microglia (M1-CM) was prepared in the presence of CA-074Me, a specific inhibitor of CatB, the neuronal death of primary cultured hippocampal neurons induced by M1-CM was significantly declined. Furthermore, CA-074Me prevented activation of nuclear factor-κB (NF-κB) through inhibiting autophagic degradation of IκBα in microglia following oxygen glucose deprivation. These observations suggest that CatB is a potential phenotype switch for promoting M1-like polarization of microglia/macrophages through prolonged activation of NF-κB, thus inhibition of CatB activity, either through genetic deletion a pharmacological inhibitor, ameliorates HI-induced brain injury via promoting M2-like polarization of microglia/macrophages.
Keywords: microglia/macrophage, phenotype switch, hypoxic-ischemia
S2-12
The selection of the enteral nutritional support route in neurological intensive patients
Yi Zhao 1,2 , Jianchun Yu 1 , Renzhi Wang 3 , Zhiqiang Ma 4
1 Dept. of General surgery, Peking Union Medical College Hospital 2 Dept. of Neurosurgery, Peking Union Medical College Hospital 3 Dept. of Neurosurgery, No.1 Hospital of Jilin University 4 Dept. of Neurology, No.1 Hospital of Jilin University
Background:
Neurological patients suffered from swallow disorders in acute or chronic neurological diseases such as skull fracture, stroke, and motor neuron disease and so on, have more nutritional risks, complications and mortality. Early and adequate nutritional support is thought to improve neurological outcome and decrease morbidity. The selection of the enteral tube feeding route by oral or nasal gastric tube (NGT) or percutaneous endoscopic gastrostomy (PEG) for long-term feeding issues is controversy.
Objective:
1. To compare the influence of normal format meal and non-normal format meal to the nutritional condition, complication and prognosis of patients with a nasogastric tube suffering from neurological diseases.
2. Retrospective analysis of the influence of PEG treatment to gender ratio, distribution of etiology, turnover, reason of death, and complications of the patients.
3. Compare incidence rate of nutrition risk, nutrition index and complications between patients whose GCS was less than 8 and those whose GCS not less than 8.
Methods:
1. Admitted patients who have swallowing disorder and with nutritional risk were treated with NGT therapy, being divided by two groups (group A and Group B, each group contains 9 patients). Patients in group A were treated with normal format meal which was given 1125kcal/d, with 48g protein per day in the first 3d, and given 1500kcal/d, with 64g protein per day after 3d, while those in Group B were treated with non-normal format meal which was given less than 1125kcal/d, with no more than 32g protein per day in the first 3d, and given less than or more than 1500kcal/d, with more than or less than 64g protein per day after 3d. Nutrition index, immune index, and complications of three periods (before intubation, 1w after intubation and 2w after intubation) were observed.
2. Retrospective analysis of 72 cases of PEG treatment of neurological patients was performed, in which patients' gender ratio, distribution of etiology, turnover, reason of death, complications were analyzed.
3. Divide the 32 admitted patients into 2 groups, one is whose GCS was less than 8, and the other is whose GCS was not less than 8. Compare incidence rate of nutrition risk as soon as they came to hospital, and nutrition index and complications when they came to hospital and a week later between patients whose GCS was less than 8 and those whose GCS not less than 8.
Result:
1.As soon as they came to hospital, the serum Creatinine of Group A is 72.0(55.0-82.5), of Group B is 50.3(32.5-63.7), with p=0.027(p<0.05); 1w later, the CHOL of Group A is 3.05(2.88-3.90), of Group B is 3.98(3.83-4.48), which is significant with p=0.031(p<0.05). 2w later, the BUN of Group A is 6.89(5.32-7.34), of Group B is 4.33(3.11-5.51), with p=0.009(<0.05); the serum Creatinine of Group A is 56.0(42.5-66.0), of Group B is 37.5(30.4-51.0), p=0.047(<0.05). However, the incidence of other immune index and complications does not have statistical significance.
2. The average age of patients in the research is 73.1±15.5 yrs old, male to female 1.77:1. Those above 80 were in the largest number 29(40.3%) were mainly suffering from cerebral thromboembolism 35(48.6%) and Motor neuron disease 21(29.2%). The total number of patients are 72, with 63 of whom ( 87.5%) improved, 9 of whom died ( 12.5%) while most of death cases of 7 (77.8%) were due to pneumonia. 65 patients were found with complications which contains 34 aspirated pneumonia (47.2%) and 51 swallowing difficulty (70.8%).
3. Among the admitted 32 patients, there are 3 patients of GCS less than 8 who had the complications (33.3%), 6 patients without any complication(66.7%), none of patients whose GCS was not less than 8 points had any complications, p<0.05. At the time of admission, great significance was found among the patients from two groups, p=0.032 (<0.05). The calf girth of patients of GCS<8 is (36.0±1.1) cm , and is (34.8±1.3) cm of GCS≥8, with p=0.032(<0.05).
Conclusion: Treating patients suffering from neurological diseases with nutritional risk with normal-format meal can significantly ameliorate their index of BUN and serum Creatinine, however cannot lower the incidence of complications, there are no significant difference among other nutritional indicators. PEG has more meanings for old age patients, pneumonia is the chief cause for bad prognosis. Patients whose GCS is less than 8 have more probability in nutrition risk and complications than those whose GCS is not less than 8.
Gastrin releasing peptide (GRP) expression and its effect to morpho-differentiation of mouse incisor
Dong-Joon Lee, Han-Sung Jung
Division in Anatomy and Developmental Biology, Department of Oral Biology, Oral Science Research Center, BK21 PLUS Project, Yonsei University College of Dentistry, 50 Yonsei-Ro, Seodaemun-Gu, Seoul, 120-752, Korea.
The gastrin-releasing peptide (GRP), and its receptor (GRPR) are widely distributed in mammalian peripheral tissues and in the central nervous system. Effects of GRP and its receptor on the production and release of cytokines are described both in animal models and humans with inflammatory diseases. Moreover, GRP is a major growth factor in many types of human cancers. The GRPR is overexpressed in different malignancies and its activation stimulates tumor growth. And GRP oncogenic signaling pathway was turned out relatively detailed. Thus, GRPR antagonists have been developed as candidate anticancer agents and shown to display anti-proliferative activity in experimental cancer models. Recent studies of GRP and GRPR are concentrated on gastrointestinal tract, pulmonary region and central nervous system. However, the function of GRP and GRPR is still poorly revealed in the oro-facial region.
The GRPR is G-protein coupled receptor and 7-transmembrane glycosylated receptor that activates the phospholipase C signaling pathway. And the GRP regulates mobilization of calcium from intracelluar stores. We suggest that GRP can be one of the factors which affect regulation of calcification during tooth development based on these previous studies.
This study was supported by BK21 PLUS Project, College of Dentistry, Yonsei University
The role of region-distinctive expression of Rac1 in regulating fibronectin arrangement during palatal shelf elevation
Qinghuang Tang, Liwen Li, Chengri Jin, Jong-Min Lee, Han-Sung Jung
Department of Oral Biology, Yonsei University College of Dentistry, Seoul, Korea
Palatal shelf elevation is a crucial process in palate development, contributed by various factors. Disturbances in any factor during this process result in cleft palate. Prior to palatal shelf elevation, started from E12.5, higher Rac1 expression level in bend region and increased mesenchymal cell density in the bend and groove regions of mid-palatal shelf were observed. The high cell densities in the bend and groove regions correlated with a ring-like arrangement of fibronectin (FN), whereas low cell density in middle region correlated with a fibrillar FN arrangement. Rac1 overexpression altered the fibrillar FN arrangement in the middle region to the ring-like arrangement. This alteration was sufficient to induce the failure of palatal shelf elevation and, ultimately leading to cleft palate. Furthermore, inhibition of FN delayed palatal shelf elevation. Our results indicate that the regional expression of Rac1 played an impressive role in palatal shelf elevation, by regulating the arrangement of FN within the palatal shelf.
Key words: Rac1, Fibronectin, Palatal shelf, Elevation, Cleft palate
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Host
Susan Kendall, Head of Investor Relations
Speakers
Michael Corbat, Citi Chief Executive Officer John Gerspach, Citi Chief Financial Officer
____________________________________________________________________________________
PRESENTATION
OPERATOR: Hello and welcome to Citi's second quarter 2017 earnings review with the Chief Executive Officer, Mike Corbat, and Chief Financial Officer, John Gerspach. Today's call will be hosted by Susan Kendall, Head of Citi Investor Relations.
We ask that you please hold all questions until the completion of the formal remarks, at which time you will be given instructions for the question-and-answer session. Also, as a reminder, this conference is being recorded today. If you have any objections, please disconnect at this time. Ms. Kendall, you may begin.
SUSAN KENDALL: Thank you, Natalia. Good morning and thank you all for joining us. On our call today, our CEO, Mike Corbat, will speak first. Then John Gerspach, our CFO, will take you through the earnings presentation, which is available for download on our website, citigroup.com. Afterwards, we'll be happy to take questions.
Before we get started, I would like to remind you that today's presentation may contain forward-looking statements, which are based on management's current expectations and are subject to uncertainty and changes in circumstances. Actual results and capital and other financial condition may differ materially from these statements due to a variety of factors, including the precautionary statements referenced in our discussion today and those included in our SEC filings, including without limitation, the Risk Factors section of our 2016 Form 10-K.
With that said, let me turn it over to Mike.
MIKE CORBAT: Thank you, Susan. Good morning, everyone. Earlier today, we reported earnings of $3.9 billion for the second quarter or $1.28 per share. During the quarter, we saw continued momentum in our businesses, with loan and revenue growth across both sides of our house. In Global Consumer Banking, our U.S. retail bank showed significant growth outside of mortgage operations, and we saw 10% revenue growth in Branded Cards, driven by the Costco portfolio.
Internationally, we had continued revenue growth in both regions. Latin America, where we've been investing in Citi Banamex, has now had revenue growth and positive operating leverage for five straight quarters. And in Asia, we've seen growth and positive operating leverage for four straight quarters.
The Institutional Clients Group had a very strong quarter all around. While trading revenues were down 7% from the prior period, which had benefited from a surge of activity following the UK referendum, our banking results were excellent. Investment Banking had its best quarter in seven years. Treasury and Trade Solutions has shown consistent year-over-year growth for over three years now. And the Private Bank had its best quarter in its history.
We also generated $4.7 billion of regulatory capital during the quarter and returned over $2 billion of it to our shareholders, resulting in a payout ratio over the last 12 months of nearly 90%.
During the past year, we've reduced our outstanding common shares by 6%, helping to increase our tangible book value per share to $67.32, and that's up 6% from a year ago and 14% higher than two years
ago. Even still, our Common Equity Tier 1 capital ratio has grown to 13%, 150 basis points above the 11.5% we believe we need to prudently operate the firm.
That's why our recent CCAR results were so important. Our capital return of $18.9 billion, or nearly 130% of consensus estimates of net income, enables us to reduce the amount of capital we hold, which will help drive increased returns for our investors.
The momentum we established last year has continued throughout the first half of 2017 with our net income up 6% so far. And we continue to show steady progress towards our near-term financial targets. For the first half, our operating efficiency was 58%. Our return on assets was 87 basis points, and our Return on Tangible Common Equity ex-DTA was 9.7%. Paired with our successful CCAR results, we're on a course to increase both the return on and return of capital for the benefit of our shareholders.
We'll go into a lot more detail on how we're going to pursue both of these objectives when we host our Investor Day in less than two weeks and we look forward to seeing you there.
With that, John will go through our presentation, and then we'd be happy to answer your questions. John?
JOHN GERSPACH: Thanks, Mike, and good morning, everyone. Starting on slide 3, we show total Citigroup results. Net income of $3.9 billion in the second quarter declined 3% from last year. But EPS improved to $1.28 per share, driven by a 6% decline in our average diluted shares outstanding.
Revenue of $17.9 billion grew 2% from the prior year, reflecting 5% growth in our consumer and institutional businesses, offset by lower revenues in Corp/Other, as we continued to wind down legacy assets. Expenses were up slightly, as higher volume-related expenses, performance-based compensation, and ongoing investments were largely offset by efficiency savings and the wind-down of legacy assets. And cost of credit increased, mostly driven by lower reserve releases versus the prior year as well as higher volumes and NCL rates in consumer.
Looking at the first half of 2017, total revenues grew 3% year over year, including 7% growth in our consumer and institutional businesses. Total expenses remained flat and net income grew 6%, driving a 12% increase in earnings per share, including the impact of share buybacks.
Citigroup end-of-period loans grew 2% year over year to $645 billion, as 4% growth in our core businesses was partially offset by the continued wind-down of legacy assets in Corp/Other. On a sequential basis, we saw particular strength in loan growth this quarter, with an increase of $16 billion in our core businesses that was broad-based across regions and products. And finally, deposits grew 2% year over year to $959 billion.
Turning now to each business, slide 4 shows the results from North American Consumer Banking. Total revenues grew 5% year over year in the second quarter. Retail banking revenues of $1.3 billion declined 2% from last year, driven by lower mortgage revenues. Mortgage revenues declined by roughly $90 million year over year, reflecting lower origination activity and higher cost of funds as well as the impact of the previously announced sale of a portion of our mortgage servicing rights. Excluding mortgage, retail banking revenues were up 7%, driven by continued growth in average loans, deposits, and asset under management, as well as a benefit from higher interest rates. We're continuing to see positive results from the launch of our enhanced Citigold Wealth Management offering last year, driving growth in both households and balances with higher penetration of investment products.
Turning to Branded Cards, revenues of $2.1 billion grew 10%, reflecting the impact of the Costco acquisition as well as modest organic growth in our core portfolios, partially offset by the continued runoff of non-core portfolios. We continue to see strong client engagement in Branded Cards, with end-of-period balances up 10% year over year and 4% sequentially. Average card loans were up 1% sequentially, driven by higher transactor balances. Average full-rate balances were stable quarter over quarter, and we continue to expect
growth in these full-rate revolving loans with a resulting improvement in yields in the second half of the year as our investments mature. Finally, Retail Services revenues of $1.6 billion grew 4%, reflecting loan growth and a favorable prior-period comparison.
Total expenses for North America Consumer were $2.6 billion, up 6% from last year, reflecting the Costco portfolio acquisition, volume growth, and continued investments, partially offset by efficiency savings. We grew our operating margin by 4% year over year. And credit costs of $1.3 billion increased roughly $275 million from last year. Net credit losses increased to $1.2 billion, driven by the Costco portfolio, organic volume growth, and seasoning as well as the impact of collections activity in Retail Services, and we built roughly $100 million of loan loss reserves during the quarter.
Looking at our card portfolios in more detail, in Branded Cards, the NCL rate of 2.9% was down from the prior quarter, with continued improvement in delinquencies, in line with our full-year outlook for an NCL rate of around 280 basis points. And in Retail Services, the NCL rate increased to 4.8%, reflecting the impact of portfolio seasoning as well as continuing softness in the collections rates we are experiencing once an account reaches mid-stage delinquency.
We're not seeing any deterioration in the rate of current accounts becoming delinquent. And we continue to expect NCL rates to be seasonally lower in the second half of the year, consistent with the trend we saw in the month of June. However, given the lower collections rate, our full-year NCL rate in Retail Services will likely be around 460 basis points versus our prior outlook of 435 basis points.
On slide 5, we show results for International Consumer Banking in constant dollars. In total, revenues grew 5% and expenses were up 3% versus last year, driving an 8% increase in operating margin.
In Latin America, total consumer revenues grew 8% driven by a 12% increase in retail banking, reflecting continued growth in average loans and deposits as well as improved deposit spreads. Card revenues were down modestly year over year, but improved sequentially as we continued to see improvement in full rate revolving loan trends. Full rate card balances grew slightly year over year this quarter. And with continued momentum, we should see revenues grow year over year as we exit the year. And expenses grew 4% in Latin America, reflecting ongoing investment spending and business growth, partially offset by efficiency savings.
Turning to Asia, Consumer revenues grew 3% year over year driven by improvement in cards and wealth management, partially offset by lower retail lending revenues. Higher card revenues reflected 6% growth in average loans and 7% growth in purchase sales versus last year, as well as a modest gain from the sale of our merchant acquiring businesses in certain countries. And while retail lending revenues declined versus last year, we saw sequential growth in both revenues and average loans this quarter, driven by personal loans.
Expenses in Asia grew 3% as volume growth and ongoing investment spending were partially offset by efficiency savings. Total international credit costs grew by $70 million year over year, mostly reflecting reserve builds in the current quarter to support volume growth in Latin America as compared to a net release in the prior year.
Slide 6 shows our Global Consumer credit trends in more detail across both cards and retail banking. NCL rates improved in every region this quarter while delinquency rates remained broadly favorable as well.
Turning now to the Institutional Clients Group on slide 7. Revenues of $9.2 billion grew 6% from last year, reflecting solid progress across the franchise. Total banking revenues of $4.8 billion were up 13%. Treasury and Trade Solutions revenues of $2.1 billion grew 3%, or 4% in constant dollars, driven by continued volume growth and improved deposit spreads. Investment Banking revenues of $1.5 billion were up 22% from last year, reflecting strength in equity underwriting and M&A as well as continued momentum in debt underwriting.
Private Bank revenues of $788 million grew 17% year over year mostly driven by loan and deposit growth, improved spreads, and increased investment activity. And Corporate Lending revenues of $477 million were up 25% reflecting lower hedging costs as well as the absence of a prior-period adjustment to the residual value of a lease financing. While average loans were down modestly year over year, we saw good sequential growth with volumes up 3% supporting core business activity among our global subsidiary clients.
Total Markets and Securities Services revenues of $4.4 billion decreased 5% from last year. Fixed Income revenues of $3.2 billion declined 6%, primarily reflecting lower G10 currencies revenues given lower volatility in the current quarter and the comparison to higher Brexit-related activity a year ago. Our G10 rates business was broadly stable versus last year. And our local markets, rates and currencies business were stable as well as we remained engaged with our corporate clients across our global network.
Equities revenues were 11% lower versus last year, reflecting episodic activity in the prior period as well as low volatility. Investor client activity in Equities remained strong, however, with cash equities up year over year as well as continued growth in prime finance revenue and client balances.
And finally, in Securities Services, revenues were up 10%, driven by growth in client volumes across our global custody business. We view Securities Services as similar to TTS in many ways; serving as the core operating infrastructure for our investor clients around the world and providing the foundation for broader franchise relationships.
Total operating expenses of $5 billion were up 5% year over year, as higher incentive compensation, investments and volume-related expenses were partially offset by efficiency savings. On a trailing 12-month basis, excluding the impact of severance, our comp ratio remained at 26%. Looking at the first half of 2017, revenues grew 11% year over year, with broad-based momentum.
We continued to grow our network-driven businesses in TTS, Securities Services and rates and currencies as we helped our clients grow and transact around the world. We grew revenues and deepened relationships in our Private Bank. We continued to support our clients with loan and debt capital markets financing. And our franchise strength was evident in more episodic products as we gained significant share in equity underwriting and M&A.
We grew the business while maintaining our expense discipline, driving nearly 800 basis points of operating leverage. And credit quality remained strong, consistent with our target client strategy. Together, this drove an improvement in net income of nearly 30% over last year.
Slide 8 shows the results for Corporate/Other. Revenues of $653 million declined significantly from last year, driven by legacy asset run-off and divestiture activity as well as the absence of gains on debt buybacks in the prior year. And expenses were down 24% to $990 million, reflecting the wind-down of legacy assets.
The pre-tax loss in Corporate/Other was roughly $200 million this quarter, better than our prior outlook for a loss of $350 million, mostly due to a benefit from cost of credit related to our legacy mortgage portfolio.
Slide 9 shows our net interest revenue and margin trends, split by core accrual revenue, trading-related revenue and the contribution from our legacy assets in Corporate/Other. The split between core accrual and trading-related net interest revenue had been refined to attribute a slightly higher amount of funding costs to trading-related activities than under our prior disclosures. As you can see, total net interest revenue was roughly flat year over year in constant dollars, at $11.2 billion, as growth in core accrual revenue was offset by the wind-down of legacy assets as well as lower trading-related net interest revenue.
Core accrual net interest revenue of $10 billion was up 7% or over $600 million from last year, driven by the addition of the Costco portfolio, organic volume growth and the impact of rate increases, partially offset by an increase in our FDIC assessment and higher long-term debt.
On a sequential basis, core accrual revenue grew by over $200 million this quarter reflecting day count, the impact of the March rate increase and loan growth. However, we still saw a decline in the core accrual net interest margin, to 344 basis points, reflecting higher cash balances.
For the first half of 2017, core accrual revenue was up by $1 billion year over year, and we expect to see a little more than $1 billion of growth in the remainder of the year. So, in total, core accrual net interest revenue should grow by a little more than $2 billion in 2017 over 2016. However, as previously noted, we still expect this increase to be offset by a roughly $1 billion decline in the net interest revenue generated in the legacy wind-down portfolio in Corporate/Other.
And finally, we believe it is most relevant to look at trading-related net interest revenue in the context of overall trading results. While trading-related net interest revenue was down by roughly a third in the first half of 2017, our total Equity and Fixed Income Markets revenues grew by 4% year over year.
On slide 10, we show our key capital metrics. During the quarter, our CET1 capital ratio improved to 13% driven mostly by earnings, partially offset by $2.2 billion of common share repurchases and dividends during the quarter. Our supplementary leverage ratio was 7.2%, and our tangible book value per share grew by 6% to $67.32, in part driven by a 6% reduction in our shares outstanding.
So to conclude, we're seeing momentum across the firm that gives us confidence as we go into the second half of 2017 and beyond.
Starting with Consumer. In North America, our investments in retail banking are delivering results, with revenues excluding mortgage growing by 6% year over year in the first half. Retail Services revenues continue to outperform our original outlook for a run rate of $1.5 billion per quarter this year driven by higherthan-anticipated loan growth. And finally, in Branded Cards, we continue to see strong client engagement and balance growth.
In Asia, we generated year over year revenue growth and positive operating leverage for the fourth straight quarter driven by strength in cards and wealth management.
And in Mexico, we also generated revenue growth and positive operating leverage for the fifth straight quarter, reflecting momentum in retail banking.
On the Institutional side, as I described earlier, we saw strong performance across the franchise in the first half of 2017, driving double-digit revenue growth and nearly 800 basis points of operating leverage. And we're encouraged by the progress we're seeing in recurring accrual businesses like TTS, Securities Services, Corporate Lending and the Private Bank, as well as episodic products like equity underwriting and M&A.
As we look to the third quarter, in North America Consumer, we expect continued year over year revenue growth in retail banking excluding mortgage, as well as modest organic growth in cards as we grow fullrate balances. Mortgage should continue to be a headwind as we hit a particularly strong third quarter last year. And importantly, we expect earnings to grow modestly year over year in North America, with continued momentum into the fourth quarter.
In International Consumer, we expect continued revenue growth and positive operating leverage.
And turning to the Institutional side, we expect continued year over year revenue growth in our accrual businesses, including TTS, Securities Services and the Private Bank. Market revenues will likely reflect a normal modest seasonal decline from the second quarter. And Investment Banking revenues will likely return to a level closer to the first quarter, perhaps a little lower, assuming a seasonal slowdown in third quarter underwriting activity. Expenses should decline sequentially. Cost of credit is expected to increase quarter over quarter, driven by the normalization of credit costs in Corp/Other as well as continued
volume growth in Consumer. And we expect our tax rate to be in the range of around 32% for the second half of the year.
And with that, Mike and I are happy to take any questions.
QUESTION AND ANSWER
OPERATOR: And your first question comes from the line of John McDonald with Bernstein.
JOHN MCDONALD: Hey, John. Just a quick follow up on the net interest income outlook for the second half for slightly more than $1 billion of growth in net interest income in the second half. What does that assume in terms of the interest rate environment, Fed hikes, and also just roughly loan growth assumptions in there?
JOHN GERSPACH: Well, we've only got one more interest rate hike that we're assuming for this year, and it's in December, so that really isn't going to have much of an impact on that outlook at all, but it is inclusive of loan growth. We continue to see loan growth, but, quite frankly, it's nothing more than we had baked into the outlook that we gave you at the end of the first quarter.
JOHN MCDONALD: Okay. And then for you and Mike, I was just wondering. Do you guys still feel good about the RoTCE targets getting to 10% ex-DTA in 2018 and 10% on a fully loaded basis in 2019? And just maybe a little bit of talk about what you see as the drivers of those RoTCE goals? Do you need a pickup in trading activity or further rate hikes? What are some of the key drivers there?
MIKE CORBAT: We do. We feel I think very good about it. I referenced the metrics in terms of operating efficiencies, returns, et cetera, in the first half of the year, and the momentum that we carried out of the latter half of last year. I think John has set up our expectations for the second half and feel the combination of the levers we have, John, between some revenue growth, between continued expense discipline, a reasonable environment around cost of credit and obviously meaningful capital return gives us the pathway to hitting those.
JOHN GERSPACH: John, we'll go into a little bit more detail on that, obviously, at our Investor Day in 10 days or so. But, as Mike said, the drivers are going to remain the drivers that we've been talking about all along. It's improving that return of capital. And you saw the first indication of it when we got the CCAR results at the end of June. So we anticipate continuing to be able to return the right amount of capital. And we expect consumer to be a driver into the future.
When you take a look at the two businesses that we have, and we lay it out for you in one of the pages in the back of this deck, consumer for the trailing 12 months is generating an RoTCE of 12.8%. And we believe that it should be, over time, capable of generating returns in excess of 20%, just over 20%. So that's going to be one of the critical drivers, and we'll take you through those details on Investor Day.
JOHN MCDONALD: Okay, we will look forward to that. And then maybe one just quickie on the quarter here, John. It looks like for the first half of the year, the DTA utilization has been about $900 million for the first half.
JOHN GERSPACH: Yes.
JOHN MCDONALD: A little bit more in the first quarter than the second. What are you thinking about for the rest of the year? I think annually, you also talked about $2 billion to $3 billion as a target. How do you feel about that?
JOHN GERSPACH: We always talk about $2 billion as our usage coming out of earnings. And so for the first half of the year, we're at $900 million, so we're roughly on pace to utilize that $2 billion for the year.
JOHN MCDONALD: Okay. And you said some OCI swings, I guess, throughout the year affected it.
JOHN GERSPACH: Exactly. First quarter OCI giveth, second quarter OCI taketh away.
JOHN MCDONALD: Okay, thanks.
OPERATOR: Your next question is from the line of Jim Mitchell with Buckingham Research.
JIM MITCHELL: Hi. Good morning, guys. Maybe we could talk a little bit about the international. It seems like the outlook has improved economically overseas. Are you starting to see some impact from that in terms of growth? And with the backup in the yield curves overseas, do you see any help from the rate environment overseas yet, or does it have to be more the short end of the curve to help you on that front?
MIKE CORBAT: When you look at – and John and I each referenced the sequential growth and positive operating story continuing in Asia and Mexico. And I would say that those environments are reasonable environments. Are they growing where we'd like them to grow from a macro perspective? No, we've had downgrades in terms of Mexico growth rates. But again, 8% revenue growth coming out of Mexico in a country that's growing sub-2%. Again, I think illustrating what we've talked about, that we believe over the intermediate and longer term, we've got the ability to grow our international franchises at, or in many cases, at multiples the pace of domestic growth rates.
And the other piece that you look in there is that in Mexico, it's the combination of our retail business. In Asia, it is wealth management. And if you look at wealth management AUM year over year and different metrics continuing to attract AUM into the business so we feel good about the trajectory of those businesses and the ability to continue to get this type of growth. And as we've said, we expect that trend to continue in the near term in the second half of the year, again, with growth and positive operating leverage.
JOHN GERSPACH: And, Jim, you get a sense of some of the momentum that we're seeing. If you look at the chart that we included on slide 18 of the deck that we just went through in the appendix, and you can see that in so many countries now, we're getting growth quarter over quarter. It's that sequential loan growth that is really driving it.
And that's a combination of things. As Mike said, it's good engagement with the clients. You're seeing the result of a lot of the repositioning actions that we've been taking. And as we reposition portfolios, we've started to focus on different types of lending. A lot of it is in Asia specifically, better use of digital channels to engage with clients and actually be able to engage with them at the point of making – when they're entering into a store, they're about to make a purchase, and we can offer them alternatives. And so you're seeing that. Now year over year in international, we had 1.3% loan growth, and we had 1.5% loan growth sequentially in the second quarter. So that's one of the reasons why we feel pretty good about the momentum that we're getting there.
And it's not just in consumer. In similar fashion, we saw good momentum in Asia, in particular in our ICG business, in our corporate lending. And this wasn't lending that was episodic, not linked to a deal. This was lending where people were taking down loans to either address working capital or CapEx needs. So again, we feel pretty good about the momentum that we're seeing.
JIM MITCHELL: And any impact from – my other question on rates, from rates, yield curves steepening overseas, obviously, that's still very low rates. Do we need to see short rates move up for that to really be an impact?
JOHN GERSPACH: Again, we're not counting on that type of environment, so again in the projections that I've given you, we're not looking at interest rates suddenly wildly increasing across the board. So, our outlook is not rate-dependent. I mentioned when I answered John McDonald's question that we've got one more rate hike for the U.S. built in, and its December of this year. And quite frankly, we're assuming one more rate hike in 2018, one more rate hike in 2019, and one more rate hike in 2020. So, again, we're not looking as though this is all going be rate-influenced growth. We like the franchise that we've built.
JIM MITCHELL: Right, okay. Great, thanks.
OPERATOR: Your next question is from the line of Matt O'Connor with Deutsche Bank.
MATT O'CONNOR: Hi, guys.
JOHN GERSPACH: Hey, Matt.
MATT O'CONNOR: I was hoping you could provide a little more detail on the expense outlook for the back half of the year. I think you had said down versus – sorry, on the third quarter, I think you said it would be down versus 2Q. And you've also talked about full year efficiency ratio target in the past, I think, of 58%. So, just hoping to elaborate a little bit more on the back half year expense outlook, and then what you think on the efficiency side – efficiency ratio.
JOHN GERSPACH: We're still targeting that full-year efficiency ratio of 58%. And so, in a lot of cases, the expense performance in the tail half of the year is going to be driven by how revenues come up. That's why I'm always a little hesitant to give specific reference – guidance as to like expenses more than a quarter out, because if revenues go up, we'll have some increase in expenses. If revenues come down, we'll manage to that 58% efficiency ratio.
MATT O'CONNOR: And besides expenses tied to revenue, are there some costs that you know are going to drop off, whether its severance or legal repo embedded in the current run rate, or efficiency savings that you know are lined up?
JOHN GERSPACH: What we still have is we'll have the legacy assets continue to wind down, so there would be revenues that run off associated with the wind down of the legacy assets. We'll have expenses that come off with legacy assets, but that is the kind of things that we've baked in, and we've been reporting on all along.
Obviously, legacy assets now have been further reduced. Now we went into the year with legacy assets, the assets formerly known as Holdings, at $54 billion. And by the end of June, they were down to $44 billion. So, we've already had a significant runoff in those legacy assets. They'll continue to come down, but there's just less of them to run off.
Legal and repositioning, we went into the year I believe, we gave you some guidance that we thought just for the year legal and repositioning costs would be running something close to 200 basis points on Citigroup revenues. And we're running a little bit below that right now. And I would anticipate, probably for the full year, legal and repositioning costs are probably going come in somewhere around maybe 25 basis points less than we had originally guided.
MATT O'CONNOR: Okay, all right. Thank you.
OPERATOR: Your next question is from the line of Erika Najarian with Bank of America.
ERIKA NAJARIAN: Yes. Good morning.
JOHN GERSPACH: Hi, Erika.
ERIKA NAJARIAN: John, thank you so much for the outlook on net interest income for the back half of the year. I'm wondering if you could give us a little bit more of your insight. Two of your peers mentioned that they anticipate corporate or wholesale deposits to outflow as a result of Fed balance sheet reduction and I'm wondering what Citigroup's outlook is for how sensitive your deposit base could be from outflow on the back of Fed balance sheet reduction?
JOHN GERSPACH: Obviously this whole topic of Fed balance sheet reduction is uncharted territory. It's a place we've never been before, so it's really hard to say that you've got a model. And it's really hard to say that it's going have any sort of major impact over the course of the next six months. So, we're assuming that as rate increases occur and as the Fed does wind down its balance sheet, we will see betas increase slightly in our corporate side business. But we don't have anything major put into the outlook for the second half of this year.
ERIKA NAJARIAN: Got it. And my second question, and I expect that maybe some of this would be deferred to your Investor Day, but given how much capital that you generate, even if we assume that you can continue to increase your payouts from here, you clearly are still well over where you think a normal level of capital would be that's appropriate for your business. And also, with reg reform that could even free up even more capital. And I'm wondering, Mike, as we look over the next three years, what businesses do you think you would plow in some of this excess capital that you think would be great growth opportunities for Citigroup?
MIKE CORBAT: As you look, I think, Erika, they would largely stay consistent with what we've talked about and where you're seeing the growth. So one is, you shouldn't expect any outsized investments. I think what we've talked about is investments as BAU, investments largely being, or really exclusively being, selffunded. But, again, we continue to expect to see good growth rates in no particular order in terms of our TTS businesses, what we're doing in the private bank across our retail franchises around the globe. Again with an emphasis on things we're doing here in the U.S. and we're going talk about that quite a bit in terms of Investor Day, the cards investments we've made. So, we don't necessarily see a lot to do there, but we see trajectory from that in the future.
And then, again, what we do is we just look at where our clients want to go and be there to support them. And so, it's difficult to go too far out in terms of exactly what that environment's going to look like, because we could have some changes to tax or trade, and we'd be in a position to be able to help those clients realign their interests and to support them in that.
ERIKA NAJARIAN: Okay, thank you so much.
JOHN GERSPACH: Okay, Erika.
OPERATOR: Your next question is from the line of Brian Foran with Autonomous.
JOHN GERSPACH: Hi, Brian.
BRIAN FORAN: Hi, good morning. I had a couple questions on the retail partner card business, maybe just a start. One I get a lot is just how the general struggles of traditional offline retailers might be effecting or affect that business in the future. Maybe I'll start there, and then I have a couple more detailed follow-ups.
JOHN GERSPACH: Okay. So far we're not really seeing anything like that in the numbers, certainly in our business. If you take a look, as I mentioned, our loans are growing nicely in that business right now, and we're still seeing very good customer engagement with our retail partner cards. You know, if you take a look in the supplement, you'll see that purchase sales, up 22% sequentially, up 2% year over year. So, there's no indication yet that we've got any sort of impact in our retail services business from that.
Citi Second Quarter 2017 Earnings Review
Friday, July 14, 2017
BRIAN FORAN: Two maybe smaller follow-ups. I mean, one detailed question I get a lot is what happens if a retailer goes bankrupt? So, I'm sure every relationship is different, but maybe just – I'm sure you get the question – I mean, do you charge off-spike? Is there an offset from RSAs or lower marketing? Does it book on run-off, or can you move it over to a branded offer? So, just any thoughts you can provide there.
And then, two, on the comments around the charge-off guidance. Anything that stands out to you why midstage collections would be deteriorating for the retail partner book, but not for the Citi Branded book?
JOHN GERSPACH: Yes, we can go anywhere you want in any order. But if you stay with – what happens if there's a bankruptcy, one of the core competencies that we have in the business is actually helping our clients. When you look at that, our client in retail services is the retailer, and so, we're definitely focused on partnering with them and really becoming their partner and advising their approach to selling. We provide them with advanced analytics, digital, therefore, so if there is a restructuring that one of our retailers has to go through, we actually think that we can help them by leveraging our broad set of proprietary loyalty platforms, et cetera, et cetera, in order to help them through.
So I'm not going to say that we've looked for it as an opportunity, but we actually think that we could be of use there. Plus, depending upon the retailer, we also have on average about a third of our book are general purpose cards. So there are cards that are able to be used outside the store as well, which would serve to mitigate then any sort of impact on us. Do you want to move to collections?
BRIAN FORAN: Yeah, just why it would be showing up in retail partner, but it didn't seem to be showing up from your comments in Branded?
JOHN GERSPACH: Yes, and that's because it really is something that is focused in Retail Services as opposed to Branded. And it could be because of the nature of the receivables. With Branded, obviously, it's a slightly higher FICO base, but also, with Branded, you're dealing with – the average receivable is higher, so Retail Services tend to have lower average balances.
And what we're seeing, and one of the reasons I mentioned it being a collections issue, we're really not – normally, if you're facing a credit quality issue, you're going to see deterioration in your early bucket flows. In simple English, you're going to see current accounts moving to delinquency at a faster rate, but we're not seeing that. We've had fairly stable early bucket flows for the past two-and-a-half years in this business. And I think that's reflective of our continued strong overall borrowing profile in this business.
So, it doesn't appear to be that we're really seeing a deterioration in the credit quality of what we're booking. But what we are experiencing, compared to what we've had in prior years, is that there's a higher rate of accounts advancing to the later delinquency buckets once they get to being two or more payments behind, and that's really why we're focused on the collections process. And we're developing a number of new and enhanced ways to communicate with our customers using their preferred channel.
I was talking to Bill Johnson the other day, and we've doubled our text messaging rates over the last few months. So, we've begun to see some evidence of progress, but it's slower than what we had originally targeted, and, therefore, that results in our change in guidance.
BRIAN FORAN: Thank you. That was all very helpful.
JOHN GERSPACH: Okay.
OPERATOR: Your next question is from the line of Saul Martinez with UBS.
SAUL MARTINEZ: Hi. Good afternoon, a couple of questions. First of all, just more of a clarification on the guidance in North American consumer. You indicated that earnings should be up moderately, I believe,
year-on-year. Is that from, I guess, it was $780 million and $811 million 3Q, 4Q of last year's. So, we should expect some moderate increase versus that threshold. Is that the right way to think about it?
JOHN GERSPACH: I think I said modest instead of moderate, but yes.
SAUL MARTINEZ: Okay. Modest. Okay. Fair enough. Okay. So, if my math is right, that's still something around the neighborhood of, I don't know, 130 basis point points ROA, or so. So, I suppose you'll give a more expansive description of the ramp-up you expect in that segment at your Investor Day over the next couple of years.
Secondarily, on capital deployment, is it premature to start thinking about M&A as a strategy to deploy excess capital? It sounded like it from the answer to an earlier question, but you obviously have a ton of excess capital. Can you just share with us how you're thinking about potentially looking at non-organic types of opportunities in terms – whether it'd be from a product's financial return, segment strategy, you've obviously done Costco in the past, but how do you think about that as part of the tool kit, so to speak, for capital strategies?
MIKE CORBAT: Yes. So, one is we're open to M&A opportunities. Again, you referenced Costco, Best Buy, other things we've done along the way. We clearly have the financial capacity and our capital, our leverage ratios, our balance sheets, but importantly, anything that we do, Saul, is going to have to be within the target of our footprint, our clients, and the businesses we're in. What you shouldn't expect is that we're going to go out, and we're going to go venture into some place or some products that we historically haven't been. So, if something's in footprint, in strategy, the price makes sense, we're happy to go after it.
SAUL MARTINEZ: Okay. Got it. Final one, just more of a ticky-tacky question, page, I guess, nine. The $280 million of NII from legacy assets, is that primarily Brazil? And, I guess we're still expecting that transaction to close. Is that the right way to think about that?
JOHN GERSPACH: Well, it's a collection of a whole bunch of assets. Don't forget, we still have a sizable mortgage portfolio – U.S. mortgage portfolio in that as well.
SAUL MARTINEZ: Okay. But some portion of the $280 million, I guess, should be going away in the second half?
JOHN GERSPACH: Well, I think you should continue to expect that to wind down over time, but it's not all going to go away in the second half. But, yes, assuming that we closed Brazil, which we should close during the second half of the year, then a portion of that will go away.
SAUL MARTINEZ: Got it. Okay. Thank you very much.
JOHN GERSPACH: Not a problem, Saul.
OPERATOR: Your next question is from the line Steven Chubak with Nomura Instinet.
STEVEN CHUBAK: Hi. John, had a question on some of the capital targets that were outlined on the call. One of the things that we've been hearing from a lot of folks is just given the strong improvement in your CCAR results, you have some of the benefits outlined in the Treasury white paper that was published recently. It does feel to us like the 150 basis points of cushion that you're assuming within your 11.5% target is very conservative. And I recognize that it's going be a multiyear process for you to take your 13% today and bring it back down into 11.5% over time. But has your thinking changed or evolved at all with regards to your capital targets? I'm just wondering if there's any flexibility to manage that even lower over time.
JOHN GERSPACH: Well, over time, if regulatory rules change, sure, we'll have the ability to manage that over time. But right now, I'm still comfortable leaving it. We originally started to talk about a range of between
11% and 11.5%, and we're still targeting within that range. But Mike and I being the personalities that we are, if there's a range, we're going to go towards the more conservative end of that range. And so right now, our guidance would be that we expect to be able to operate prudently at 11.5%. And if there are some clarifications in regulatory rules over time, then we will definitely adjust that target.
STEVEN CHUBAK: Understood, and then maybe just one follow-up on leverage exposure. You've spoken in the past about how leverage is not your binding constraint. You see compelling opportunities to deploy some of that excess. We saw pretty decent uptick in leverage exposure this quarter and even some last quarter as well. I'm just wondering which product lines are you deploying that capacity. And just given the prospect for some SLR relief, are you seeing any changes in terms of competitive dynamics in some of the more leverage-intensive businesses?
JOHN GERSPACH: Let me start at the back end. No, we're not seeing any change in competitive practices as a result of people thinking that there are going be changes in the SLR because, again, there's been a paper put out that's made some proposals, but nothing's been implemented yet. And so we're not going to act on proposals.
What's been driving the growth? Certainly, for this quarter, that growth is really – don't forget, leveraged exposures is off your average balance sheet. Our average balance sheet, really as a result of a lot of the growth that we had in loans, grew during the quarter. So the single largest driver of that change is the growth in the average balance sheet sequentially. Our average balance sheet grew by about $40 billion quarter on quarter. And if you take a look at the leveraged exposure, it grew about $40 billion – $46 billion. So, it's the average balance sheet.
When you think that about, okay, so well then, what's growing your average balance sheet? The average balance sheet, that $40 billion, it's about equally split between an FX impact. Don't forget, the dollar did weaken in the quarter. We grew cash, and then we had growth in loans and some growth in trading assets.
STEVEN CHUBAK: Got it, and just one more quick one for me. Just on liquidity, which has been certainly a popular topic ahead of the Fed balance sheet unwind. Looking at your LCR, it's at a very healthy 123%. And despite significant cushion, you've talked about resolution planning as a binding constraint on liquidity deployment. I'm just wondering whether you believe – or what you think is at least an appropriate LCR target for the firm, and how we should think about maybe some excess capacity for deployment as the Fed begins to unwind the balance sheet, maybe providing some opportunities to deploy some of that excess cash in higher yielding MBS.
JOHN GERSPACH: As you say, we're currently running in that 123-ish range. It will probably tick up a little bit this quarter, I think closer to 125% when all is said and done. And resolution has been the driving factor in that.
So if you look at our balance sheet, during the course of the last year, we've had a significant growth in our cash balances. Our cash balances have grown by about $36 billion year over year. Since the beginning of this year, it's grown $26 billion, and most of that growth is as we began to finalize the plans that we had in order to come to compliance with what we needed to do for resolution purposes.
That is pretty much behind us now. We've filed our plan. We like where we are. We'll see whether or not the Fed and the FDIC hold our plan in the same high esteem that we do. But now that we've built the cash and we've built the liquidity, now we can go about what we normally do and begin to optimize it. So I don't see cash becoming something that we continue to build from here on out. Hopefully, we will be able to take some of that cash down and then put it to other use.
STEVEN CHUBAK: Okay. But if I'm understanding you correctly that your comments, John, suggest that you need to manage to around 120% liquidity in order to meet the standards for the resolution plan that you hold yourselves to and hopefully the Fed and the FDIC will approve.
Citi Second Quarter 2017 Earnings Review
Friday, July 14, 2017
JOHN GERSPACH: I don't want to give out guidance yet because we haven't come to the conclusion yet of the optimization process. So don't take what I said as guidance other than we would expect that 123% to ultimately be lower, but I'm not ready to give you a number yet.
STEVEN CHUBAK: Understood, very helpful, John. Thank you.
JOHN GERSPACH: Okay.
OPERATOR: Your next question is from the line of Ken Usdin with Jefferies.
KEN USDIN: Hi. Thanks. Good morning. Good afternoon, just a question or two on the loans and the loan yields. You guys showed your pretty good loan growth, but yet you did mention that loan yields were down a little bit, and you had some mix as far as the NIM is concerned. But I'm just wondering can you help us distill whether the decline in loan yields was related to the ongoing Corporate/Other runoff, and/or is there just a different mix in terms of the – it looks like it's card that's growing the most, so I'm just wondering what's happening underneath the surface, especially with a couple of rate hikes in between the last couple quarters.
JOHN GERSPACH: So there are several underlying stories that go in there, and you're touching on a couple of them. Certainly, when you take a look at overall NIM, or overall yield, then that definitely gets impacted by the runoff of legacy assets because those are for the most part higher yielding assets. So that's one.
And don't forget, our NIM statistics are all quoting average balances, and so therefore, the $16 billion of loan growth that I talked about as being there for end-of-period loan to end-of-period loan, a lot of that came on during the quarter, so we don't have the full quarter benefit of that. It's in the end-of-period numbers, but we roughly got $9 billion to $10 billion of growth in our average balance sheet. And it's the average loans that is actually then going drive your NIM.
In some of the cases, when you look at cards, we quoted that the increase of $1 billion in average loans was really driven by transactor accounts, so we don't get any loan yield off of that. But we like the business that we've been putting on. We certainly would rather have loan growth than not loan growth. Importantly, the loan growth that we're putting on, like I said, it is widespread. It is spread nicely across regions. It's spread nicely across products. And it's all in support of client-related activities. And therefore, when you look at the earnings not only that we get on the loan itself, but the earnings that that will provide us by further deepening the relationship that we have with each of our clients, whether that be a consumer client or a corporate client.
KEN USDIN: Right. Okay, understood, and then just one follow-up on the card business. It's also a piecemeal one, but simply, your net credit margin in both Retail and in Branded Cards, as you've talked, has continued to go down, and you're talking about that inflection. So are we close to the bottom in the net credit margin for both of those businesses, and how do you expect that to traject?
JOHN GERSPACH: Obviously a little bit of that from Retail Services is going to depend on just how quickly then our collection efforts are able to stem the tide of that NCL. But I would anticipate certainly in Branded Cards that either we are either at or very close to the bottom of that NCM decline.
KEN USDIN: Okay, got it. Thanks a lot.
JOHN GERSPACH: Okay.
OPERATOR: Your next question is from the line of Gerard Cassidy with RBC.
Citi Second Quarter 2017 Earnings Review
Friday, July 14, 2017
GERARD CASSIDY: Hi, John.
JOHN GERSPACH: Hey. How are you doing?
GERARD CASSIDY: Good. Moving over to the Institutional Clients Group. Your Investment Banking numbers were very strong, the growth in ECM. Can you share with us, was it more market driven, or have you hired some folks in the last 12 months or 18 months, and now they're bringing revenues in?
MIKE CORBAT: Gerard, I think it's a combination of those things. We've brought in some good people, very good people. Again, we know in ECM, in M&A, it's your sectors, it's the calendar, it's the backlog. And I would say that obviously a pretty slow start to the first half of last year; obviously, a much better start to the first half of this year. And I think the activities in some sectors that we've got I think good positioning in came through in the numbers. And again, not just in equity but as well as in debt and as well as in M&A.
JOHN GERSPACH: Yeah. I mean, this is exactly what we've been working on for the last several years. It's that old story. We've worked the last three years to become an overnight success. And that's – when you look at it, we've been talking to you about adding talent, enhancing our industry coverage. It actually goes back to one of the changes that Mike made when Mike came in as CEO, where with he and Jamie, they decided to reduce the number of corporate clients that we had in our coverage. So, we've taken our client coverage down from 32,000 clients down to 14,000 clients. So, it's more focused coverage which allows you to have better understanding of your clients. When your clients see that you've got better understanding, you're in a better position then to serve them.
And I think you're seeing the combination of client segmentation, adding the appropriate talent and three years of hard work. And again, it's things that we've been building up to. I think even more impressive perhaps than the results that you see in the second quarter is when you combine it with the first quarter and you take a look at the first half results. Because now, for the first half, year over year, our advisory revenues are up 20%, our ECM revenues are up 82%, and our DCM revenues are up 21%. So, when we look at it, we think we've gained 100 basis points of market share in the last six months when you compare 2017, compared to where we were in 2016.
Now, as I said on the media call earlier, I don't want you to count on the fact that we're going to gain 100 basis points of market share every six months. But we do like the momentum that we've got building in our Investment Banking capabilities. And we've got great confidence in the team that we've got on the field. And obviously, so do our clients.
GERARD CASSIDY: And to follow up on comments you made in your prepared remarks, John, we recognize seasonality affects third quarter results. Keeping that in mind, how was the pipelines when you look at them maybe versus third quarter last year, which would reflect an apples-to-apples comparison for seasonality?
JOHN GERSPACH: I would say that we are in a stronger position as far as our engagement with clients. You don't have to look much further than the fact that, in announced M&A, I believe now that we are number two in the league tables.
GERARD CASSIDY: Very good. Coming back to the trading part, you mentioned that the FICC revenues were down due to G10 rates or G10 governments. Can you give us some color?
JOHN GERSPACH: Whoa, whoa, whoa....Back up the bus.
GERARD CASSIDY: Okay.
JOHN GERSPACH: Back up the bus.
Citi Second Quarter 2017 Earnings Review
Friday, July 14, 2017
GERARD CASSIDY: Got an error there?
JOHN GERSPACH: If that's what I said, then I completely misspoke because FICC revenues are down really because of G10 FX. It's really all FX related. Our G10 rates is basically stable year over year, which is great performance in the market environment that we've had. So, when we look at the decline in FICC revenues, again, year over year, in the second quarter, it's really, the lion's share of it, is being driven by G10 FX just reflecting the low volatility that I think everyone have spoken about in the market. When you take a look at our G10 rates business, fairly stable. Our local markets rate business, fairly stable. Our local markets currency business, fairly stable. Spread products, fairly stable.
GERARD CASSIDY: Yeah, that was my error. But that's the color I needed, I was hoping you were going to give us. Very good.
JOHN GERSPACH: Well, you certainly got me there quickly. Great technique.
GERARD CASSIDY: I wanted to make sure you were listening. On a bigger question, the Treasury came out with, obviously, their report on some changes they think would make sense to the banking system from a regulatory standpoint. If you guys had your druthers and had to pick one or two that would benefit you the most, what would it be, and what in those recommendations that Treasury had, whether it's SLR or any of the other types of issues they brought up?
MIKE CORBAT: I think one that – we've talked pretty publicly about, we've talked to Treasury about it and it's included in there. One is, for us and I think for a number of the other banks, it's likely that CCAR's going to stay the binding constraint. And around anything that's a binding constraint, you just need more transparency. So, we'd like more granularity in terms of some of the numbers and have the ability to explore some of the approaches that the Fed has. And because Secretary Mnunchin's report came back, that's one of the recommendations that they have.
I would say, things in there, ranging from how do we think about, how do we bring together, LCR and SLR and get some of the inconsistencies out. We have no issue from a headline perspective with Volcker, but the fact that we do five – that there's five agencies empowered and they all believe that they have the voice at the table around it, obviously, creates conflict disagreement. And from our side, certainly creates a lot of work.
The good news, I think, in most of the paper is that the things that are in there don't require changes of law to implement. So, hopefully, as we get people in the seats, some of the heads of the agencies start to come together, we can actually start to effect some of this change which hopefully we can start to make some meaningful progress on, hopefully in the fourth quarter this year.
JOHN GERSPACH: I think, as Mike said, some of the more common sense type of proposals. You've referenced the SLR. Eliminating the need to hold capital against cash and things like that, that would definitely be something that would, I think, be the right way to think about that.
MIKE CORBAT: Viewing the dividend as something you can't turn off.
JOHN GERSPACH: Exactly.
MIKE CORBAT: And again, the good news is all these things are mentioned.
JOHN GERSPACH: Not assuming that your balance sheet is going to grow in times of stress, these are all very commonsensical changes that would be beneficial, and I don't think it would impact safety and soundness at all.
GERARD CASSIDY: Great. Thank you. And I look forward to seeing you, guys, in a couple of weeks.
Citi Second Quarter 2017 Earnings Review
Friday, July 14, 2017
JOHN GERSPACH: Great. Thanks.
OPERATOR: Your next question is from the line of Brian Kleinhanzl with KBW.
BRIAN KLEINHANZL: Hey, thanks.
JOHN GERSPACH: Hi.
BRIAN KLEINHANZL: So just two quick questions. On Korea, I noticed that the loans were down quarter on quarter even though you mentioned the strength in Asia, and also there's an agreement to close a lot of the branches there. Can you just give us some updated thoughts on the market? Because I thought we had gotten past the point where there were regulatory headwinds and we were looking for growth again. Is that not the right way to think about that market?
JOHN GERSPACH: Well, in Korea, as we've said, we've announced the fact that we're repositioning that business. We're taking the light physical footprint in a much more agile approach to things as we move forward, consistent with the way we're approaching other markets. So, that is having a little bit of disruption there, but we think it's the right thing to do going forward. It will be closing 90-something branches over the course of time, and concentrating the branches in more of the wealth centers. So, it is having an impact there, and we're also transitioning out of being heavily reliant on the mortgage product in Korea into much more of a personal installment loan product. So, you're just seeing that in the results, but you'll notice that the portfolio itself is still holding up fairly well.
BRIAN KLEINHANZL: Okay. And then, you also mentioned that you were pleased with the success of Citigold in North America. I mean, is this just using Citigold to get back into the wealth management business?
JOHN GERSPACH: Citigold is really targeted at being a wealth management business. It's the way that we really run the retail operation in Asia. So what we have really done is imported a lot of the techniques that we've been using in Asia for the last five or six years, and reintroduce them into the U.S. We didn't have the capability of really doing that much before last year as we were still trying to get all of our North America Consumer systems on a common platform, so we could have one broad view of our client. It's hard to manage somebody from a client relationship when you've got one system that has their retail deposits, another one that has their credit cards, another one that has their mortgage, another one that has their investment assets, we've now been able to bring all that together. It's given us a much better view of the client. That's being able now to give us a much better ability to actually segment the clients. And so when you think about the fact that we really just launched Citigold in November – or relaunched it in November of last year, the progress that we've made in the last seven months is pretty encouraging.
BRIAN KLEINHANZL: Thank you, but I think the question is, are you just rebuilding a business that you sold à la Smith Barney several years ago?
JOHN GERSPACH: No.
MIKE CORBAT: No.
JOHN GERSPACH: No. No. Not at all. Smith Barney was not a Citigold type of – Smith Barney could have been a piece of a Citigold offering, but Smith Barney just didn't fit with us. What makes this thing work is that there's great cooperation between the investment management people and the bankers. And we really need that in order to grow a Citigold type of business because you want to encourage deposits, and you want to encourage lending, and you want to encourage growth in assets under management. You want to be able to pull all of those levers, whatever makes sense for the client.
MIKE CORBAT: And I think the other piece, Brian, that's important is the operating account where the stickiness and what it means to have the relationship steeped in an operating account, in the depository account where very, very, very often you would actually see in a Smith Barney relationship, you would actually see the operating account actually at another institution. Where here it kind of comes from the operating account. And again, you can look at the numbers we publish in terms of the deposit balances – the average deposit balances in our Citigold account. I mean, so there are opportunities there in that diversification away from the pure deposit relationship to investments and to broader lending and investing type products. So, I think there's some reasonable difference to it.
BRIAN KLEINHANZL: Good, thanks.
MIKE CORBAT: Okay.
OPERATOR: Your next question is from the line of Adam Hurwich with Ulysses.
JOHN GERSPACH: Hey, Adam. How are you doing?
ADAM HURWICH: Hi. Thanks. Quick question, John. Does it make sense – I'm following up on your comments on cards. Does it make sense to look at transaction volumes as a ratio of balances? And if it does, how should we look at that going forward?
JOHN GERSPACH: You know what, Adam, this is why I always love talking to you. I hadn't thought of it that way before so before I answer it let me think about that and I'll get back to you.
ADAM HURWICH: Thanks.
OPERATOR: Your next question is from the line of Al Alevizakos with HSBC.
AL ALEVIZAKOS: Hi, thank you for taking my questions. I've got two questions for you. First question is on the Treasury and Trade Solutions. I realize that there's no real benefit so far from the interest rates improvement. Therefore, I would like to know whether there is any downward pressure from something else that we actually don't see since it's only one liner. And secondly, since we're in Europe, we would like to know whether there is any comment regarding the trading performance regarding the separate regions. So, whether you've seen any kind of obvious trends, any different trends, in the U.S. versus Europe or versus Asia. Thanks very much.
JOHN GERSPACH: Okay. Let me start with the second one. Definitely a strong trading results coming out of EMEA. Again, we look at the entirety of the region. So, I can't be specific to Western Europe, but definitely stronger trading results in EMEA. And again, that – certainly stronger there than we would have seen. We had decent results in Latin America, decent results in Asia, but good strength coming out of EMEA.
As far as the first question, when it looks at TTS, we definitely did get a benefit. TTS remains, as I've said, a foundational business for our institutional strategy. And so, that still is good. The revenue growth did slow a little bit this quarter to 4% as opposed to where we are running before, but, you know, we had seen growth rates of 6% and more. So, there was some pressure that we saw on deposit pricing, but nothing out of the ordinary. Again, as you get into the later stages of rate hikes, you're going to see increases in your betas and that's embedded in all of our models, so, nothing there. Importantly, what we continue to see in TTS is we're continuing to gain share in SWIFT volumes, in chip volumes, so – and importantly, in commercial card volumes. So, we think that that business is one that should continue to grow for us, although it's probably going to be more in that 4% to 5% growth range.
AL ALEVIZAKOS: Great, thank you very much.
JOHN GERSPACH: Okay.
OPERATOR: There are no further questions. I will turn the call back over to Ms. Susan Kendall.
SUSAN KENDALL: Thanks to all of you for joining us today. If you have any follow-up questions, please reach out to me and my team. Thank you very much.
OPERATOR: This concludes today's conference call. You may now disconnect.
Certain statements in this document are "forward-looking statements" within the meaning of the rules and regulations of the U.S. Securities and Exchange Commission. These statements are based on management's current expectations and are subject to uncertainty and changes in circumstances. Actual results and capital and other financial condition may differ materially from those included in these statements due to a variety of factors, including the precautionary statements included in this document and those contained in Citigroup's filings with the U.S. Securities and Exchange Commission, including without limitation the "Risk Factors" section of Citigroup's 2016 Annual Report on Form 10-K.
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City Council Regular Meeting
Regular Meeting
Tuesday, September 20, 2022
6:00 PM
City Council Chambers and Zoom
ELECTED OFFICIALS
Mayor Steve Napolitano Mayor Pro Tem Richard Montgomery Councilmember Joe Franklin Councilmember Suzanne Hadley Councilmember Hildy Stern City Treasurer Tim Lilligren
EXECUTIVE TEAM
City Manager Bruce Moe City Attorney Quinn Barrow
City Clerk Liza Tamura Community Development Director Carrie Tai Finance Director Steve Charelian Fire Chief Michael Lang Human Resources Director Lisa Jenkins
Information Technology Director Terry Hackelman Parks and Recreation Director Mark Leyman Police Chief Rachel Johnson Public Works Director Erick Lee
MISSION STATEMENT:
Our mission is to provide excellent municipal services, preserve our small beach town character, and enhance the quality of life for our residents, businesses and visitors.
MANHATTAN BEACH'S CITY COUNCIL WELCOMES YOU!
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PLEASE NOTE THAT THE CITY COUNCIL MAY ACT ON ANY ITEM LISTED ON THE AGENDA.
A. CALL MEETING TO ORDER
B. PLEDGE TO THE FLAG
C. ROLL CALL
D. CEREMONIAL CALENDAR
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(a) notify the public of any changes to the agenda;
(b) remove items from the consent calendar for individual consideration; or
(c) rearrange the order of the agenda.
MOTION TO APPROVE AGENDA AND WAIVE FULL READING
F. CITY COUNCIL AND COMMUNITY ORGANIZATION ANNOUNCEMENTS OF UPCOMING EVENTS (1 MINUTE PER PERSON)
City Councilmembers and community organization representatives may inform the public about upcoming events.
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Speakers may provide public comments on any matter that is within the subject matter jurisdiction of the City Council, including items on the agenda. The Mayor may determine whether an item is within the subject matter jurisdiction of the City Council. While all comments are welcome, the Brown Act does not allow City Council to take action on any item not on the agenda.
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2) Email to firstname.lastname@example.org or
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H. CONSENT CALENDAR (APPROVE)
Items on the Consent Calendar are routine and customary items and are enacted by a single motion with the exception of items previously removed by a member of the City Council during "Approval of the Agenda" for individual consideration. Any items removed shall be individually considered immediately after taking action on the Consent Calendar.
1.
City Council Minutes:
This Item Contains Minutes of the Following City Council Meeting(s):
a) City Council Regular Meeting Minutes of September 6, 2022 b) City Council Special Meeting Minutes of September 12, 2022
(City Clerk Tamura).
APPROVE
Attachments: City Council Regular Meeting Minutes of September 6, 2022
City Council Special Meeting Minutes of September 12, 2022
2. Financial Reports:
a) Schedule of Demands August 25, 2022 and September 1, 2022
b) Investment Portfolio for the Month Ending July 31, 2022
c) Preliminary Month End Report for July 31, 2022
(Finance Director Charelian).
ACCEPT REPORTS AND DEMANDS
Schedule of Demands for August 25, 2022 and September 1, 2022
Investment Portfolio for the Month Ending July 31, 2022
Month End Report for July 31, 2022
Attachments:
3. Proclamations Declaring the Following:
a) September 20, 2022, as National IT Professionals Day
b) September 21, 2022, as International Day of Peace
PROCLAIM
Attachments: Proclamation - National IT Professionals Day 2022
Proclamation - International Day of Peace
4. Consideration of a Resolution Approving Amendment No. 1 to the Agreement with WestMed Ambulance, Inc., dba McCormick Ambulance, for Emergency Ambulance Transport Services (Fire Chief Lang).
ADOPT RESOLUTION NO. 22-0128
Resolution No. 22-0128
Amendment No. 1 - Westmed dba McCormick Ambulance
Agreement - WestMed Ambulance, Inc., dba McCormick Ambulance
(2020)
Agreement - WestMed Ambulance, Inc., dba McCormick Ambulance
(2020)
Attachments:
22-0382
22-0364
22-0196
5. Consideration of a Resolution to Install Stop Signs on Pacific Avenue at 18th Street as Recommended by the Parking and Public Improvements Commission (Community Development Director Tai).
ADOPT RESOLUTION NO. 22-0133
Resolution No. 22-0133
PPIC Staff Report (July 28, 2022)
PPIC Draft Minutes (July 28, 2022)
Related Correspondence Received Prior to July 28, 2022
Attachments:
6. 22-0293 Consideration of a Purchase of Programmable Logic Controllers for
Various City Water Facilities from Control Automation Design, Inc. in the Amount of $81,694.30 (Public Works Director Lee).
A) WAIVE FORMAL BIDDING
B) APPROVE
7. 22-0358 Consideration of Accepting as Complete Work Performed by Asplundh Construction, LLC, Regarding the Underground Utility Assessment District 4 Project (Public Works Director Lee).
A) ACCEPT
B) AUTHORIZE
Quote Dated September 13, 2022
Attachments:
I. ITEMS REMOVED FROM THE CONSENT CALENDAR
Each speaker may speak for up to 2 minutes on each item pulled from the agenda.
J. PUBLIC HEARINGS
At the discretion of the Mayor, each speaker may speak for up to 3 minutes on each public hearing item.
8. Conduct Public Hearing Regarding the Impasse Between the City of Manhattan Beach and the Manhattan Beach Firefighters' Association (Human Resources Director Jenkins).
(Estimated Time: 1 Hr.)
DISCUSS AND PROVIDE DIRECTION
City of Manhattan Beach Last, Best, and Final Offer (April 10, 2022)
Estimated Costs and Savings of Last, Best, and Final Offer
Declaration of Impasse (April 27, 2022)
Manhattan Beach Fire Association’s Last, Best, and Final Proposal
(July 12, 2022)
Manhattan Beach Fire Association’s Last, Best, and Final Proposal
(July 12, 2022)
Factfinding Report (September 9, 2022)
Government Code Sections 3505.4 Through 3505.7 Inclusive
Resolution No. 4506
Resolution No. 22-0136
Attachments:
K. GENERAL BUSINESS
Each speaker may speak for up to 2 minutes on each general business item.
9. Discussion of Restaurant Dining Occupancy Limits and Continuation of Temporary Encroachment Permits for Street Dining and Business Uses and Outdoor Facilities Permits for Outdoor Uses on Private Property Issued Under COVID-19 Emergency Orders (Community Development Director Tai).
(Estimated Time: 30 Mins.)
DISCUSS AND PROVIDE DIRECTION
Attachments: Outdoor Street Dining/Business Use Encroachment Area Chronology
22-0401
10. Consideration of Resolutions Approving Four Three-Year Professional Service Agreements with Melad and Associates Inc., VCA Code, JAS Pacific and Transtech Engineers Inc. for Building and Fire Services (Amount Expended Determined by Services Provided) (Community Development Director Tai).
(Estimated Time: 10 Mins.)
ADOPT RESOLUTION NOS. 22-0129, 22-0130, 22-0131, AND 22-0132
Resolution No. 22-0129
Agreement - Melad and Associates, Inc.
Resolution No. 22-0130
Agreement - The Code Group, Inc., DBA VCA Code
Resolution No. 22-0131
Agreement - Jason Addison Smith Consulting Services, Inc., DBA JAS
Pacific7
Resolution No. 22-0132
Agreement - Transtech Engineers, Inc.
Request for Proposal Vendor Bid Comparison
Attachments:
11. Consideration of a Resolution in Support of Measure V on the November 8, 2022 General Municipal Election Ballot Readopting the City's Commercial Cannabis Prohibition, and Against Cannabis Industry Measure MB on the Election Ballot (City Manager Moe).
(Estimated Time: 10 Min.)
DISCUSS AND CONSIDER TAKING ACTION
Resolution No. 22-0135
Attachments:
L. CITY COUNCIL REQUESTS AND REPORTS INCLUDING AB 1234 REPORTS
In addition to providing reports of meetings and conferences attended by Councilmembers in connection with their official duties at City expense as required by AB 1234, Councilmembers requested at a previous City Council meeting that the following item(s) be placed on the agenda for discussion.
M. FUTURE AGENDA ITEMS
Councilmembers may request that items be placed on a future agenda with the concurrence of one other Councilmember.
N. CITY MANAGER REPORT
O. CITY ATTORNEY REPORT
P. INFORMATIONAL ITEMS
This section is for items that do not require City Council action.
22-0292
12. Agenda Forecast (City Clerk Tamura).
INFORMATION ITEM ONLY
13. Commission Minutes:
This Item Contains Minutes of the Following Finance Subcommittee Meeting and City Commission Meetings:
a) Parking and Public Improvements Commission Meeting Minutes of April 28, 2022 (Community Development Director Tai)
b) Cultural Arts Commission Meeting Minutes of May 16, 2022 (Parks and Recreation Director Leyman)
c) Parks and Recreation Commission Meeting Minutes of May 23, 2022 (Parks and Recreation Director Leyman)
d) Planning Commission Meeting Minutes of June 8, 2022 (Community Development Director Tai)
e) Library Commission Meeting Minutes of June 13, 2022 (Parks and Recreation Director Leyman)
f) Cultural Arts Commission Meeting Minutes of June 20, 2022 (Parks and Recreation Director Leyman)
g) Parks and Recreation Commission Meeting Minutes of June 27, 2022 (Parks and Recreation Director Leyman)
h) Library Commission Meeting Minutes of July 11, 2022 (Parks and Recreation Director Leyman)
i) Planning Commission Meeting Minutes of July 13, 2022 (Cancelled) (Community Development Director Tai)
j) Cultural Arts Commission Meeting Minutes of July 18, 2022 (Parks and Recreation Director Leyman)
k) Parks and Recreation Commission Meeting Minutes of July 25, 2022 (Parks and Recreation Director Leyman)
l) Planning Commission Meeting Minutes of July 27, 2022 (Cancelled) (Community Development Director Tai)
m) Parking and Public Improvements Commission Meeting Minutes of July 28, 2022 (Community Development Director Tai)
n) Finance Subcommittee Meeting Minutes of August 23, 2022 (Finance Director Charelian).
INFORMATION ITEM ONLY
Parking and Public Improvements Commission Meeting Minutes of April 28, 2022 Parking and Public Improvements Commission Meeting Minutes of April 28, 2022
Cultural Arts Commission Meeting Minutes of May 16, 2022
Parks and Recreation Commission Meeting Minutes of May 23, 2022
Planning Commission Meeting Minutes of June 8, 2022
Library Commission Meeting Minutes of June 13, 2022
Cultural Arts Commission Meeting Minutes of June 20, 2022
Parks and Recreation Commission Meeting Minutes of June 27, 2022
Library Commission Meeting Minutes of July 11, 2022
Planning Commission Meeting Minutes of July 13, 2022 (Cancelled)
Cultural Arts Commission Meeting Minutes of July 18, 2022
Parks and Recreation Commission Meeting Minutes of July 25, 2022
Planning Commission Meeting Minutes of July 27, 2022 (Cancelled)
Parking and Public Improvements Commission Meeting Minutes of July 28, 2022 Parking and Public Improvements Commission Meeting Minutes of July 28, 2022
Finance Subcommittee Meeting Minutes of August 23, 2022
Attachments:
Q. CLOSED SESSION
R. ADJOURNMENT
S. FUTURE MEETINGS
CITY COUNCIL MEETINGS
September 23, 2022 - Friday -- 3:00 PM - City Council Zoom Meeting (6th Housing Element)
October 4, 2022 - Tuesday -- 6:00 PM - City Council Meeting
October 18, 2022 - Tuesday -- 6:00 PM - City Council Meeting
November 1, 2022 - Tuesday -- 6:00 PM - City Council Meeting
November 15, 2022 - Tuesday -- 6:00 PM - City Council Meeting
December 6, 2022 - Tuesday -- 6:00 PM - City Council Meeting
December 20, 2022 - Tuesday -- 6:00 PM - City Council Meeting
BOARDS, COMMISSIONS AND COMMITTEE MEETINGS
September 26, 2022 - Monday - 6:00 PM - Parks and Recreation Commission Meeting
September 28, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
October 10, 2022 - Monday - 5:00 PM - Library Commission Meeting (Cancelled)
October 12, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
October 17, 2022 - Monday - 5:00 PM - Cultural Arts Commission Meeting
October 24, 2022 - Monday - 6:00 PM - Parks and Recreation Commission Meeting
October 26, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
October 27, 2021 - Thursday - 4:00 PM - Parking and Public Improvements Commission Meeting
November 9, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
November 14, 2022 - Monday - 5:00 PM - Library Commission Meeting
November 21, 2022 - Monday - 5:00 PM - Cultural Arts Commission Meeting
November 23, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
November 24, 2021 - Thursday - 4:00 PM - Parking and Public Improvements Commission Meeting (Rescheduled to December 1, 2022)
November 28, 2022 - Monday - 6:00 PM - Parks and Recreation Commission Meeting
December 1, 2022 - Thursday - 4:00 PM - Parking and Public Improvements Commission Meeting (Rescheduled from the November 24, 2022 and December 22, 2022)
December 12, 2022 - Monday - 5:00 PM - Library Commission Meeting
December 14, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
December 19, 2022 - Monday - 5:00 PM - Cultural Arts Commission Meeting
December 22, 2021 - Thursday - 4:00 PM - Parking and Public Improvements Commission Meeting (Rescheduled to December 1, 2022)
December 26, 2022 - Monday - 6:00 PM - Parks and Recreation Commission Meeting
December 28, 2022 - Wednesday - 3:00 PM - Planning Commission Meeting
T. CITY OFFICES CLOSED
CITY HOLIDAYS:
October 10, 2022 – Monday – Columbus Day
November 11, 2022 – Friday – Veterans Day
November 24-25, 2022 - Thursday & Friday - Thanksgiving Holiday
December 26, 2022 - Monday - Christmas Day Observed (Sunday, December 25, 2022)
January 2, 2023 – Monday – New Years Day Observed (Sunday, January 1, 2023)
January 16, 2023 – Monday – Martin Luther King Day
February 20, 2023 - Monday - Presidents Day
May 29, 2023 – Monday – Memorial Day
July 4, 2023 - Tuesday - Independence Day
September 4, 2023 - Monday - Labor Day
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Supporting a Knowledge Base With Evidence Retrieved From Randomized Controlled Clinical Trials: A Case Study
Marly G. F. COSTA
Electronic Technology and Information Center, Federal University of Amazonas, Manaus, Amazonas, CEP 69077-000, Brazil
Gisele R. VIEIRA
Post-Graduate Program in Tropical Pathology, Federal University of Amazonas, Manaus, Amazonas, CEP 69077-000, Brazil and
Cicero F. F. COSTA FILHO
Electronic Technology and Information Center, Federal University of Amazonas, Manaus, Amazonas, CEP 69077-000, Brazil
ABSTRACT
This work describes a methodology based on Evidence-Based Medicine for finding literature–based evidence for a clinical decision support system. As an illustration, we applied this method to parenteral nutrition therapy (PNT). PNT requires expertise and experience and is prone to errors. The Pico's strategy was used to built structured clinical questions, which considered 11 PN clinical indications plus a PN nutrient (amino acid, glucose, lipid, electrolyte, trace elements and vitamins), and an outcome. 211 PICO strategies were structured, and 447 searches at PubMed were performed. The results were classified in levels of evidence and recommendation grades according to criteria of the Oxford Centre for Evidence Based Medicine.
evidence-based practice involve electronic distribution of vast unwieldy quantities of general and statistical data. For instance, the National Guideline Clearinghouse [3] has more than 2,100 guidelines, which supports searches by Disease/Clinical Status, Treatment/Procedure, or by Institutions responsible for the guidelines. Furthermore, it does not support adaptations to the guidelines made by the user concerning a specific individual or population.
Keywords: Evidence Based Medicine, Systematic Search, Power of Evidence, Parenteral Nutrition, PICO Strategies.
1. INTRODUCTION
According to Eddy, "Scientific evidence in clinical literature is not presented in a way that allows it to be directly applied in the health care setting. Evidence must be synthesized before being applied, and this synthesis, which is the basis for understanding reality and making decisions, is decisive for the future" [1]. Randomized Controlled Clinical Trials – RCTs – are the best source of evidence for scientific medical practice. Millions of dollars are spent annually on such clinical trials. There remains, however, a discrepancy between routine practices and "best practices" because the results of extensive and important trials are published as scientific papers that are difficult to understand and be used by both physicians and researchers in clinical settings. As a result, there is an inefficient transfer of evidence from the research context to the clinical practice along with the mobilization of valuable resources [2].
Clinical Decision Support Systems (CDSS) are another example of a computer-based approach and are considered a tool with a high potential for reducing error [4] and enhancing quality and efficiency of health care [5]. In theory, it would be expected that associating CDSS with EBM increases quality health care since it is intended to provide discrete contextualized evidence in the manner clinical practitioners prefer. The effectiveness of such a system will be proportional to the power of evidence of the knowledge base supporting it.
However, the challenge of developing and adopting CDSS simplified by EBM is considerable. The initial difficulty is that clinical research results are published only in text format and computers are effectively illiterate. Other challenges exist, such as providing the most current and highest quality of evidence. This presupposes the development of a dynamic knowledge base and the institutionalization of well established protocols to analyze the effectiveness of the RCTs.
This work presents the implementation of EBM methods for a systematized search of evidence supporting the knowledge base of a CDSS, as well as proposing dynamics for updating this evidence. To illustrate this approach, this work is focused in the prescription of Parenteral Nutrition (PN) for adult patients. In the setting of Parenteral Nutrition Therapy (PNT), the large quantity of nutrients to be prescribed is a complicating factor for health professionals, resulting in a time-consuming activity requiring specialized knowledge.
Since Evidence-Based Medicine (EBM) has been promoted as a means of improving clinical prognostics, many computerbased approaches have been proposed to manage clinical literature. However, most approaches designed to simplify
2. MATERIALS AND METHODS
Considering that PN prescription is provided according to each patient's individual needs and the associated clinical
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conditions, this study focused on eleven clinical settings corresponding to eleven prescriptions of PN: 1. Acquired Immunodeficiency Syndrome – AIDS; 2. Cancer; 3. Diabetes; 4. Inflammatory Bowel Disease; 5. Hepatic Disease; 6. Gastrointestinal Fistula; 7. Renal Insufficiency; 8. Pancreatitis; 9. Short Bowel Syndrome; 10. Critical illnesses, and 11. Burns.
The process of gathering information on the prescription of PN for adult patients with specific individual needs and a determined associated clinical condition will depend much on the way in which each step of this methodological process is structured. The methodology adopted for this work is described below. PubMed was used as the literature database.
Selection of the study type
The subjects of analysis were randomized controlled clinical trials (RCTs) since they are one of the most reliable sources of scientific and clinical evidence [6].
Preparation of questions structured to clinical settings
In the electronic database we found many answers to the questions posed. Some of the information retrieved, however, was not consistent and did not support a clinical decision [7]. In cases where we did not structure questions that could be applied clinically and that included the set of information required to answer them (e.g., "What is the amount of amino acid in grams per kilogram of body weight to be given per day through parenteral nutrition to critically ill patients in order to reduce mortality?") and if we did not design an appropriate strategy for performing searches in the electronic database, the search results would display either excessive information (typically unrelated to the subject of the question posed) or omit critical information. Consequently, we used a strategy known as PICO (Patient or Population, Intervention of Indicator, Comparison or Control, and Outcome) to built wellstructured clinical questions.
Questions posed using the PICO strategy were made for each PN prescription combined with each nutrient (amino acid, glucose, lipid, electrolyte, trace elements and vitamins), and an outcome. Field "P" refers to the patient and his/her clinical condition (e.g. critically ill adult patient), "I" refers to the type of intervention (parenteral nutrition) and the type of a nutrient (e.g. amino acids); field "C" was not considered since the objective was not to make a comparison with other nutritional therapies; and field "O" refers to the expected outcome (e.g., reduction of mortality). The selection of outcomes initially took into account patient-oriented outcomes followed by diseaseoriented outcomes.
Converting questions into search strategies
This step consisted of identifying descriptors related to each of the terms that are components of the PICO strategy, combining PICO strategy components through Boolean operators, and defining the inclusion and exclusion criteria. The descriptors are controlled vocabularies used for indexing scientific papers in a database. The descriptor for PubMed is MeSH. The selection of the descriptor used in the searches was based on an individual review of each component of the structured questions. To illustrate our method, some specificities of the identification of the descriptors are mentioned below. The term "amino acid" was initially localized in the MeSH tree as "Amino Acids". By analyzing the MeSH tree, it was noted that the descriptor "Amino Acids, Peptides, and Proteins", which is located in a higher position in the tree, would be more appropriate since the search would retrieve references describing the protein source as "Amino Acids", "Peptides" , and, "Proteins". The term "diabetes" is not presented alone as a MeSH descriptor. For this reason, we used the descriptor "diabetes mellitus" [MeSH Terms] combined with the descriptor "diabetes insipidus" [MeSH Terms].
Search strategies were structured for each associated clinical condition versus kinds of nutrients versus outcome.
Search Process
For each clinical question posed, there were two searches. The first used the MeSH terms previously identified. The second used a term mapped from the PubMed database. This procedure had the following purposes: to validate the search methodology and prevent potential exclusions of important references. The search strategies were refined by filters to include, only randomized controlled clinical trials with adult human subjects.
Using the tools available in PubMed's Entrez, all validated search strategies were recorded in PubMed. Consequently when new studies are identified, Entrez sends a notification by e-mail and we can make the updating of evidence.
Pre-selection of studies
This pre-selection was based on the review of the abstract of each of the citations retrieved in the search.
Review of articles and assessment of the methodological quality of studies
The pre-selected articles were read and reviewed, and for each, we made a summary including important information on the methodology, results, conclusions and information regarding the clinical setting, such as nutrient concentrations, administration regimen, indication and restrictions of the formulation presented.
The Jadad's score was used as the "gold standard" to assess the methodological quality of studies.[9] This validated score lies in the range 0-5. Studies are scored according to the presence of three key methodological features of randomization, blinding and accountability of all patients, including withdrawals. For example, the score is two if appropriate methods of randomization are described, one if the study is merely described as "randomized", and zero when no details are provided to evaluate randomization. Two points can be given for blinding in the study: a score of two is allocated if patients and investigators are made blind by appropriate methods, one if the study is described merely as double blind and zero if details about blinding are not provided. The third item to be scored is the reporting of withdrawals. The study receives a score of one if all patients are accounted for in the analysis and reasons for withdrawals are provided. A score of zero is given when information regarding withdrawals is incomplete. Studies should be scored as high quality if they received a Jadad's score of four or five (of a possible five points)
Classification of studies according to level of evidence and grade of recommendation
The classification was based on criteria of the Oxford Centre for Evidence-Based Medicine (CEBM), available at http://www.cebm.net/index.aspx?o=1025. According to these criteria, studies with Jadad's score ≥ 3 were classified as Grade
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of recommendation: A, Level of Evidence: 1b; on the other hand, studies with Jadad's score < 3 were classified as Grade of recommendation: B, Level of Evidence: 2b.
The results of the searches were recorded in a database of bibliographical references using the software tool Reference Manager™. For each citation recorded in the database, the following information was entered: review of the article; methodological quality of study; level of evidence; recommendation grade and evidence obtained about PN prescription.
3. RESULTS
For this work, 211 clinical questions were structured using PICO strategies, which took into account one clinical indication of the PN, one nutrient, and one outcome (refer to Table 1). In order to search for answers to the clinical questions posed, 447 searches were done in the databank. These searches resulted in retrieving 4,037 studies. See line 1 of Table 2 for a distribution of these studies by clinical indication. The use of filters reduced the number of studies to 387 (9.6%). After the abstracts were reviewed, all citations were considered of interest (line 3 of Table 2). After reading and analyzing the articles, it was noted that only 14.2% (55 articles) answered their respective clinical questions, which represents only 1.36% of the 4,037 references retrieved (line 4 of Table 2). Lines five and six of Table 2 refer to the evaluation of the quality of the studies and their classification according to the level of evidence and grade of recommendation. To illustrate the results obtained for each of the eleven clinical indications, Table 3 summarizes the evidence for the clinical indication "inflammatory bowel disease ".
Table 1 – Example of a clinical question structured with a PICO strategy
| Clinical question: | What amount of amino acids should be given via PN to critically ill adult patients to reduce mortality? |
|---|---|
| Patient or Population: Intervention or Indicator: Control or comparison : Outcome | Critically ill adult patient Amino acids, total parenteral nutrition None Reduction of mortality |
Table 2 – Results of Searches by Clinical Indication
LE – Level of evidence; RG – Recommendation Grade ; AIDS- Acquired Immunodeficiency Syndrome; DIA-diabetes; ID – Inflammatory Bowel Disease; HD – Hepatic Disease ; GF – Gastrointestinal Fistula; RI- Renal insufficiency; CI – Critically Ill; SBS – Short Bowel Syndrome; PC – pancreatitis; BN - Burn; CA - cancer.
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Table 3: Evidence obtained for the indication "inflammatory bowel disease"
LE – Level of Evidence
RG – Recommendation Grade
4. DISCUSSION
In a vast body of work (21,979 references) related to PN in PubMed, with the specific combination of procedures for making clinical questions and the use of filters, it was possible to obtain 387 references directly related to the clinical questions made and to exclude the ones that did not focus on the elements present in the question. The use of more than one search strategy for each clinical question aimed to evaluate the methodology of the work. In this respect, we can state that all works related to a given clinical question indexed in PubMed were retrieved by the structured search strategy.
The clinical indication of cancer was the only one for which at least one study concerning each nutrient searched was obtained. In the case of the nutrients, the amino acid, which represents the protein source of the parental nutrition, resulted in at least one study per clinical indication except from short bowel syndrome, AIDS and gastrointestinal fistula. More than the general recommendations in the Guidelines, this work identified therapeutic indications for a given patient in particular.
Regarding the quality of the evidence found, only 43.24% of the studies evaluated had a Jadad's score ≥ 3. Only 10.81% had the maximum score 5, which refers to studies with excellent methodological quality. Of 65.86% of the studies with a score below three, 29.73% had a score of 0 (zero).
5. CONCLUSIONS
This work was designed to validate a methodological strategy for identifying clinical evidence for parenteral nutrition.
Besides that, it also confirms that efficient trials, which are the basis for EBM, represent only a small fraction of all literature searched.
The translation of this evidence into rules of production to the CDSS is the next step in future research.
6. ACKNOWLEDGMENTS
This work was sponsored by CNPq via process no. 553179/2005-5 and by SUFRAMA agreements no. 68/2001 and 69/2001.
7. REFERENCES
[1] Eddy DM, Hallesblad V, Shachter R. (1992) MetaAnalysis by the Confidence Profile Method. Boston: Academic Press, Inc.
[2] Sim I, Owens DK, Lavori PW, Rennels GD. (2000) "Electronic trial banks: a complementary method for reporting randomized trials". Med Decis Making, v. 20, p 440– 450.
[3] The National Guideline Clearinghouse. Available at http://www.guideline.gov/compare/compare.aspx Access on May 25, 2008.
[4] Bates DW, Cohen M, Leape LL, et al. (2001), "Reducing the frequency of errors in medicine using information technology". J Am Med Inform Assoc.; v.8, p. 299–308.
[5] Teich JM, Wrinn MM.(2000) "Clínical decision support systems come of age". MD Comput., v.17, n. 1, p.43–46.
[6] Friedman L M, Furberg C D, and DeMets D L. (1998) Fundamentals of Clinical Trials, New York: SpringerVerlag.
[7] Bernardo, W.; Nobre, M (2006). Prática Clínica Baseada em Evidências, Rio de Janeiro: Elsevier.
[8] Forrest, J.L., Miller, S. A. (202) "Evidence-based decision making in action: Part 1--Finding the best clínical evidence". The Journal of Contemporary Dental Practice. v. 3, n. 3, p. 10-26.
[9] Jadad, A.R.; Moore, R.A.; Carroll, D.; Jenkinson, C.; Reynolds, D.J.; Gavaghan, D.J.; Mcquay, H.J. (1996), "Assessing the quality of reports of randomized clinical trials: is blinding necessary?" Control Clin Trials, v.17, n. 1, p. 1-12.
[10]Nordin-Johansson A, Asplund K. (2000) "Randomized controlled trials and consensus as a basis for interventions in internal medicine". J Intern Med. v. 247, n. 1, p. 94– 104.
[11] Suarez-Varela M.M, Llopis-Gonzalez A, Bell J, TallonGuerola M, Perez-Benajas A, Carrion-Carrion C. (1999), "Evidence-based general practice" Eur J Epidemiol, v.15, n. 9, p. 815–819.
[12] Ellis J, Mulligan I, Rowe J, Sackett DL (1995). "Inpatient general medicine is evidence based A-Team, Nuffield Department of Clinical Medicine". Lancet.; v. 346(8972), p. 407–410.
[13] Sim, I., Gorman P. , Greenes, R. A., Haynes R. B., Kaplan, B., Lehmann, H., Tang, P. C. (2001), "Clinical Decision Support Systems for the Practice of Evidencebased Medicine", Journal of the American Medical Informatics Association, v. 8, n. 6, p. 527-534.
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Zurich Open Repository and
Archive
University of Zurich Main Library Strickhofstrasse 39 CH-8057 Zurich www.zora.uzh.ch
Year: 2010
A new way of living: Maximilian Bircher-Benner (1867-1939)
Wolff, Eberhard
Posted at the Zurich Open Repository and Archive, University of Zurich ZORA URL: https://doi.org/10.5167/uzh-40410 Journal Article Published Version
Originally published at: Wolff, Eberhard (2010). A new way of living: Maximilian Bircher-Benner (1867-1939). Karger Gazette, (71):11-12.
MA XIMILIAN BIRCHER-BENNER ( 1 8 6 7 –1 9 3 9 ) B MA XIMILIAN BIRCHER-BENNER ( 1 8 6 7 –1 9 3 9 )
At the dawn of the 20th century, Maximilian Bircher-Benner opened a sanatorium in Zürich At the M opened he dawn of the 20th century, Maximilian Bircher-Benner d a sanatorium in Zürich
to heal the sick through healthy eating. His ideas would infl uence nutrition for decades and give rise to an icon of Switzerland – muesli. to would in o heal the sick through healthy eating. His ideas nfl uence nutrition for decades and give rise to an icon of Switzerland – muesli.
E . W O L F F
Maximilian Bircher-Benner counts among the best-known and most infl uential Swiss physicians of the 20th century. But how did he infl uence medicine? Discovering a disease? Inventing a new and eff ective theraMaximilian Bircher the best-known and m physicians of the 20th he infl uence medicine? ease? Inventing a new a r-Benner counts among most infl uential Swiss h century. But how did e? Discovering a disand eff ective thera-
Aft er the fi rst years of his medical practice, Bircher-Benner converted to naturopathy and temperance and focused more and more on the importance of nutrition for a healthy life. However, he was defi nitely not a pioneer in Aft er the fi rst years of his medical practice, Bircher-Benner converted to naturopathy and temperance and focused more and more on the importance of nutrition for a healthy life. However, he was defi nitely not a pioneer in py? No, his infl uence was quite diff erent. His most visible impact was beyond medicine: it was on menu cards, shop shelves and breakfast buff ets all over the world, where his Birchermüesli, müesli, müsli, muesli, museli (or however it is diff erently spelled h fl was ost nd u d
Patients were trained to conduct a strict regime, constantly practicing self-control ' Patients were trai to cond around the globe) changed dietary habits of millions and millions. Next to cheese and mountains, muesli (which means 'little mush') counts among the best-known things attributed to Switzerland.
Today, a 'muesli' is commonly understood to be a mixture of basic ingredients like cereals, milk or yoghurt and some fruit – dried or fresh. It is typical modern food. It is convenient, for a quick breakfast or snack, made from ready-made cereal mixtures bought in the supermarket. It is also a very modern dish since it can be made for individual interests and tastes: for sportspeople, for children, for organic food devotees or gourmets. Muesli remains popular today largely because it tastes like a healthy option.
Bircher-Benner was neither a chef nor a marketing consultant for a food manufacturer. In the beginning, muesli was quite diff erent – its recipe, its image, its purpose, its consumers, and even its name. Bircher-Benner named his creation Apfeldiätspeise (apple dietary dish). Its most crucial ingredients were Bircher-Benner's dietary ideas.
At the end of the 19th century he studied medicine at the University of Zürich.
of protein (which practically meant: meat) as being crucial for healthy nutrition. Bircher-Benner radicalized vegetarian ideas to the propagation of uncooked food: the more both healthy and ill people would eat raw food the more their state of health would be stabilized. He was not the fi rst to do this but he became the most famous of what in German is called a Rohkostapostel (an apostle of raw food) – with all the ironic undertones of this term. '
this respect. It was a time when naturopathic ideas were gaining popularity, in parallel with and as a reaction to developments in such fi elds as bacteriology, surgery and laboratory research. Vegetarianism was the antithesis of the prevailing Justus von Liebig theory this respect. It w time wh h
Fresh Thinking
Raw food is not everybody's favourite. Bircher-Benner's aim was to create a raw dish that both contained the most important foods and was attractive to eat – even for the toothless. So muesli's most important ingredient was absolutely fresh grated apple. In the 1940s, when muesli had developed to be a Swiss national dish, one of Bircher-Benner's sons, Ralph, complained about restaurants still serving in the evening muesli that had been made in the morning.
Th e grated apple had to be mixed with some oat fl akes and sweetened condensed milk, a very popular Swiss diary product of that time and still available today.
A NEW WAY OF LIVING
Finally, lemon juice and chopped nuts were added. Th e original muesli would not have won a food beauty contest, but even to a sceptical muesli-eater the taste would have been respectable. inally, lemon juice and chopped nuts were dded. Th e original muesli would not have on a food beauty contest, but even to ceptical muesli-eater the taste een respectable Fi ad w sc be
Today, a typical dietician would argue for the health value of the original muesli on the grounds of its vitamins, low calories and cholesterol and high fi ber content. Not so Bircher-Benner. Among his arguments one was prominent: in his eyes, raw food contained a high level of energy taken from solar light. Th is energy was lost by cooking or having been digested by animals. Th is is why, for Bircher-Benner, meat was of especially minor value: in his eyes it had lost fo Toda its energy twice – once when the animal digested the plant and once when the animal's meat was being cooked.
When Bircher-Benner presented his ideas to his non-sectarian Zürich colleagues, he more or less lost his reputation as a serious academic. It was not until the late 1920s and 1930s that he achieved broad popularity and became an authority in nutrition and healthy living in unconventional medicine circles of the time.
called Ordnungstherapie (order therapy), one had to get up at 6 am and take a stroll before breakfast. One should stay out in fresh air working or strolling as much as possible during the day and avoid indulgences like coff ee, alcohol or tobacco. At 9 pm one should go to bed and turn down the light at 9.30 – at the latest.
A regime like that had to be exercised and internalized. For this purpose BircherBenner founded a sanatorium in which the patients were under supervision more or less the whole day. In 1904 he moved his facility to a new building on the famous Zürichberg, on a paradise-like piece of land with a marvellous view over Lake Zürich to the Swiss Alps. Soon patients fl ooded his Sanatorium Lebendige Kraft (Vital Force Sanatorium), hoping to get rid of their neurasthenia, obesity, constipation or depression.
Th e Lebendige Kraft became one of the most renowned places for healthy living in early 20th century Europe, and a growing ing
11
number of celebrities and wealthy people stayed there. Guests included art celebrities like Yehudi Menuhin and politicians like Sir Staff ord Cripps, Habib Bourgiba and Golda Meir. Th omas Mann, German literate and later Nobel Prize laureate, took his cure at the sanatorium in 1909 and in a letter he named it a 'Hygienisches Zuchthaus' (which could be translated as 'health jail'). However, patients subjected themselves to the therapy regime completely voluntarily.
1 tbsp. of rolled oats, left to soak in 3 tbsp. of cold water for 12 hours
Original muesli recipe O i i l li
1 tbsp. of sweetened condensed milk
1 tbsp. of lemon juice
Bircher-Benner's sanatorium did not stand alone, it was a part of an early multimedia popular health movement. Th is consisted of an idea, a simple message (raw food) that could be identifi ed
1 large or 2 small apples, freshly grated with the skin
1 tbsp. of ground hazelnuts or almonds
with a popular person (Bircher-Benner) and a symbolic practice (eating muesli). It had a concrete center (the sanatorium) and was publicized through various media: a popular monthly journal (Der Wendepunkt), brochures that sold over 100,000 copies, self-help books and exhibits. Health
For Bircher-Benner, muesli was not a convenient breakfast dish or campaigns in later decades – Jane Fonda's workout, for example – were in principle based on a similar concept.
An apple a day: Workers at BircherBenner's sanatorium prepare original-recipe muesli, which was mainly mushed apple.
something swallowed for a hurried lunch between appointments. It was part of a strictly fi xed health regime and a structured daily schedule. Muesli was meant to be served as a starter for every menu. Breakfast, lunch and dinner were part of a tight timetable of healthy living. According to Bircher-Benner's regime, which was
Years before the rise of the Lebendige Kraft in Zürich, in the United States a sanatorium with a similar reputation could be found. Th e American Seventh-Day Adventist physician John Harvey Kellogg (1852– 1943) had much in common with Bircher-Benner – except the idea of raw food, as can be seen by the cornfl akes developed by him and his brother. Kellogg's sanatorium in Battle Creek,
Michigan, was also meant to internalize what its founder saw as a healthy life: vegetarian diet, asceticism, exercise – and enemas to clean the bowels. T.C. Boyle immortalized Kellogg's ascetic sanatorium in his novel Th e Road to Wellville.
Article continues on next page
What the Lebendige Kraft and Kellogg's sanatorium have in common is that they both were places where patients were trained to conduct a strict regime, constantly practicing self-control and focusing on the health of their body and mind. Th is phenomenon is still seen in today's wellness practices, where it is commonly described as 'healthism'. As today, BircherBenner's numerous patients were practicing healthism without any compulsion from outside but nevertheless infl uenced by the presence of a higher authority, personifi ed in Dr. Senior, as Bircher-Benner was called inside the Lebendige Kraft . Th e French sociologist and philosopher Michel Foucault described this phenomenon as 'governmentality', and saw it as a crucial factor in making modern societies work.
Medicine in the Media Age
To conclude: in which way did the Swiss physician Maximilian Bircher-Benner have an infl uence on medicine? It was not his somehow weird theory of nutritional energy from solar light, which had never been broadly accepted. Even if he promoted an ideal dietary plan that has some similarities to the ones of today, there is no direct line between the two, since he promoted raw food for partly diff erent reasons. His nutritional eponym in the German-speaking world – Birchermüesli – is less and less known, while muesli's recipe and image have substantially moved away from the original form. However, BircherBenner, like John Harvey Kellogg and others, had a remarkable infl uence on medicine in a broader sense. His ideas of Ordnungstherapie, with its strict health regime, his internationally renowned sanatorium to practice this regime and a multifaced set of mass media to promote it established an early and well-known platform of modern popular health practices, for better or for worse. Remember this the next time you bite into an apple instead of a steak.
Th is article is based on research funded by the Swiss National Science Foundation.
Further Reading
Melzer J, Melchart D, Saller R: „Entwicklung der Ordnungstherapie durch Bircher-Benner in der Naturheilkunde im 20. Jahrhundert". Forschende Komplementärmedizin und Klassische Naturheilkunde 2004;11:293–303.
Meyer-Renschhausen E, Wirz A: Dietetics, health reform and social order. Vegetarianism as a moral physiology: the example of Maximilian Bircher-Benner (1867–1939). Medical History 1999;43:323–341.
Wirz A: Die Moral auf dem Teller dargestellt an Leben und Werk von Max Bircher-Benner und John Harvey Kellog. Zürich, Chronos, 1993.
Wolff E (ed): Lebendige Kraft . Max Bircher-Benner und sein Sanatorium im historischen Kontext. Baden, hier + jetzt, 2010.
Wolff E: Moderne Diätetik als präventive Selbsttechnologie: Zum Verhältnis von heteronomer und autonomer Selbstdisziplinierung zwischen Lebensreformbewegung und heutigem Gesundheitsboom; in Lengwiler E, Madarasz J (eds): Das präventive Selbst. Eine Kulturgeschichte moderner Gesundheitspolitik. Bielefeld, Transcript, 2010, pp 169– 201.
Eberhard Wolff
University of Zürich
Dr Wolff is a medical historian and cultural anthropologist at the universities of Zürich and Basel.
Up to the 1870s operative surgery hardly existed and was, in most places, a dirty and brutal business. Infections were rife and septic bleeding common. But in Bern a Swiss surgeon was developing a careful, precise technique that would revolutionize operations forever.
U. TRŐHLER
In 1909, the eminent Swiss surgeon Th eodor Kocher delivered his lecture as that year's Nobel laureate in Medicine or Physiology. In his oration, he discussed the rapid progress made in previous years, saying: 'In the great majority of so-called internal diseases a surgical treatment crowned with the most splendid curative successes has been made possible. Within less than half a century, it has become pos- niques. Surgery was developing from a craft into a science and would, in the following decades, become one of the most active and successful fi elds of medicine (lacking such tools as hormones, antibiotics and vita-
mins, internal medical treatments of the time were restricted to diet, bed rest and herbal remedies).
Early Years
Th eodor Kocher, the second of six children of an engineer father and a deeply religious mother, was born in Bern on August 25, 1841. He studied medicine in Bern and Zürich, where he was also taught by the surgeon Th eodor Billroth. Aft er his university studies, Kocher broadened his horizons by visiting leading surgical clinics throughout Europe. He visited Berlin and London, and – being fl uent in German, French and English – was able to meet with such important fi gures as Rudolph Virchow, the pathologist, and Th omas Spencer Wells. Th e latter he had witnessed performing Switzerland's fi rst ovarectomy (oophorectomy) in Zürich. Kocher ended his tour in Paris where he was not impressed by the dirty surgery he saw.
Upon his return to his hometown, he became resident in the department of surgery at the University of Bern. In 1872, at just 31 years of age, he was appointed Chair sible to expose all organs of the body – brain and heart not excluded – without danger, and to carry out the necessary surgical interventions on them.'
Indeed, when Kocher had made his career choice in the middle of the 19th century, surgery was undergoing a radical and exciting
Kocher aimed not just to remove diseased parts, but to preserve and restore function '
of Surgery. Deeply rooted in his native Bern, in later life he would turn down opportunities of chairmanships in major cities of German-speaking Europe, including Prague, Vienna and Berlin.
'
Kocher's meticulous nature and zeal for perfectionism were perfectly suited to the challenge of improving surgery. For one, period of change. In 1846 and 1847 inhalation anesthesia with ether and chloroform, respectively, had started their triumphal march around the world. A decade later, Rudolf Virchow proposed the doctrine of the cellular origin of diseases, providing the theoretical basis for interventions in all bodily cavities, and in 1867 Joseph Lister fi rst published on his antiseptic tech-
despite the basic advances mentioned, hospital infections and septic bleeding were still commonplace. Unlike most surgeons of the time, who saw speed as a sign of operative fi nesse, Kocher developed a slow, methodical technique where precision was key. He saw painstaking hemostasis as of critical importance. Kocher rejected the then common technique of mass ligation
The
of the arteries and developed 'Kocher clamps' for use as hemostats. From the mid-1880s, based on animal experiments by the Bern physiologist Hugo Kronecker, Kocher combated 'shock' during surgery by administering warm 'physiological' saline intravenously. Th ese are just two points of Kocher's system of 'safe' surgery, described in fi ve increasingly voluminous German editions of a textbook on surgical operations (1892–1907), which was eventually translated into six languages.
Kocher's surgery, like that of most of his contemporaries, was initially based on pathological anatomy and aimed to simply remove diseased tissue. However, in his later period, he began to foster 'physiological' surgery, aiming not just to remove the diseased parts but, when doing so, attempting to preserve or to restore bodily functions.
In these buoying decades Kocher was able to contribute signifi cantly to domains which have long since become specialties (see table). In addition to his work in general surgery, he also made advances in asepsis, anesthesia, endocrinology, neurology and neurosurgery. He invented instruments, a high-pressure sterilization device, a mask for inhalation anesthesia, and, above all, many specifi c operative procedures that are still called by today's surgeons by his name.
Kocher's innovations and masterly technique turned his clinic in Bern into a world-renowned center of excellence. In themselves his advances in surgical methods would have been enough to earn him name recognition from every student of surgery the world over, but Kocher will forever primarily be linked with his insights into a critical gland that, during his time, was so enigmatic that physiologists generally thought it had no function at all – the thyroid.
The Thyroid
From the 1830s onwards, surgeons and physiologists in many countries removed the thyroid gland from various species of animal to see what happened. Th e results were ambiguous: since neither antisepsis nor the existence of the parathyroid glands were known, it was not possible to know
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IN THE MATTER
AND
of the Resource Management Act 1991 (the Act)
IN THE MATTER
of the proposed Waikato District Plan (Stage 1) – Hearing 21A – Significant Natural Areas
COLLATED AMENDMENTS TO NOTIFIED SIGNIFICANT NATURAL AREA PROVISIONS FROM IN HEARING 21A REPORT AND DIRECTOR-GENERAL OF CONSERVATION'S EVIDENCE
(COLLATED BY JOHN ANDREW RIDDELL)
16 November 2020
Counsel for Director-General of Conservation
Troy Urlich
Private Bag 3072
Hamilton 3240
1. This is a collation of all the amendments and additions to the objectives, policies, rules definitions and appendices to the proposed Plan that have been identified in the evidence of Mr Riddell for the Director-General of Conservation on topic 21A, Significant Natural Areas.
2. The colour coding used in the document is:
red for amendments recommended in the Hearing 21A Report hat are accepted green for amendments and additions that are provided in the evidence of Mr Riddell
blue for the amendments and alterations to specific Rural Zone rules, and to some definitions, that follow from the Hearing 18 Report and from the evidence of Mr Riddell on Topic 18
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underlined amendments and additions and deletions are either the result of further consideration by Mr Riddell following the lodging of his evidence in chief (including responding to the Hearing 21A Rebuttal Report) or show amendments to the provisions recommended in the Hearing 21A Rebuttal Report
3.1 Indigenous Vegetat on and Habitats
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3.1.1 Objective – Biodiversity and ecosystems
(a) Indigenous biodiversity values and attributes and the functioning and life-supporting capacity of indigenous ecosystems are maintained or enhanced to work towards achieving a no net loss of biodiversity
3.1.2 Policies
(a) Enable activities that maintain or enhance indigenous biodiversity including:
(i) Planting using indigenous species suitable to the habitat and eco-sourcing these where practical;
(ii) the removal or management of pest plant and animal species;
(iii) biosecurity works.
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A
Colour coding - red Council consultants recommendations
green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone
recommendations from Council rebuttal or
AR supplementary evidence underlined -
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(b) Consider the following when aAvoiding, remedying or mitigateing adverse effects on indigenous biodiversity, including by considering:
(i) the required range of natural food sources;
(ii) habitats of threatened and at risk species;
(iii) ecological processes and corridors, including for mobile species;
(iv) ecological sequences;
(v) migratory pathways;
(vi) pest plants and pest animals;
(via) preventing the spread of plant pathogens and diseases, including kauri dieback disease;
(vii) the Waikato river and its catchment;
(viii) natural character and landscape values of the area;
(ix) natural waterway habitats and hydrology;
(x) ecological corridors, natural processes and buffer areas;
(xi) legal and physical protection of existing habitat;
(xii) the effects of earthworks on Agathis australis (Kauri)
(c) Provide for the removal of manuka or kanuka on a sustainable basis.
3.1.2 A Policy - Management hierarchy
(a) Recognise and protect indigenous biodiversity outside Significant Natural Areas using the following hierarchy by
(i) avoiding the significant adverse effects of vegetation clearance and the disturbance of habitats in the first instance;
(ii) remedying any effects that cannot be avoided; then
(iii) mitigating any effects that cannot be remedied; and
(iv) after remediation or mitigation has been undertaken, offset any significant residual adverse effects in accordance with Policy 3.1.2B
3.1.2B Policy - Biodiversity Offsetting
(a) Allow for a biodiversity offset to be offered by a resource consent applicant where an activity will result in significant residual adverse
effects to indigenous vegetation or habitat outside a Significant Natural Area, where
(i) the biodiversity offset is consistent with the framework detailed in Appendix 6 Biodiversity Offsetting;
(ii) alternative habitat supporting similar ecological aspects is enabled or enhanced.
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(b) If offsetting any signif cant residual adverse effects in accordance with Policy 3.2.4. is demonstrated to not be feasible then economic environmental compensation may be considered.
3.1.2BA Policy – Long-Tailed Bat Protect on
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(a) Avoid, as far as pract cable, adverse ef ects on the habitat of long-tailed bats by:
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(i) recognising that ba t habitat includes areas used by long-tailed bats for roost ng, breeding, foraging, socialising and commut ng;
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(ii) ident fying and retaining known and potent al solitary and communal roost trees;
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(iii) protect ng the natural darkness of bat habitat;
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(iv) recognising that long-tailed bats use both exot c and indigenous vegetat on;
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(v) retaining linear features (such as shelter-belts) and vegetat on edges used by bats for navigat on and for foraging;
(vi) avoiding habitat fragmentat on;
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(v i i) recognising the importance of insects to bats for foraging;
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(viii) providing adequate buf ers around bat habitat to provide protect on from light intrusion, noise and disturbance;
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( ix ) ensuring commut ng routes and linkages are protected and retained;
(x) avoiding vehicle-bat collisions;
(x i ) controlling introduced predators , including domest c cats; and
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(xii) the t ming of works to minimise potent al adverse ef ects on long-tailed bats.
3.1.2BB Policy – Kauri Dieback
(a) Avoid the risk of the spread of kauri dieback disease from earthworks, including gardening, and from vegetat on clearance and pruning by:
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(i) assuming all soil within the kauri root zone is potent ally contaminated with kauri dieback pathogen;
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(ii) adopt ng a strict clean in-clean out approach for all equipment, machinery and clothing when entering or exit ng the kauri root zone;
(iii) where earthworks are undertaken within the kauri root zone A the minimum pract cal area is disturbed, and
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B disturbed soil stays within the kauri root zone or safely disposed of to an approved disposal facility;
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(iv) where vegetat on removal or pruning of non-kauri species occurs within the kauri hygiene zone , all sawdust and cut vegetat on and other organic material that touches the ground is either lef within the kauri root zone or collected and safely disposed of to an approved disposal facility;
(v) encourage the assessment of kauri dieback management risk eliminat on or mit gat on for all propert es with kauri
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(vi) require domest c gardening, and fence post removal within the kauri hygiene zone to be by using hand held and easy-to clean tools only;
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(vii) require the development and use of a kauri dieback risk management plan where earthworks and/or vegetat on clearance is proposed within a kauri root zone, including
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A on land parcels where gardens are not urban domest c gardens
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B where more than one kauri root zone would be required to protect kauri and permit other act vity to remain unaf ected on a property;
C which involve large scale earthworks;
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D where material cannot be lef safely within the kauri root zone but can be accommodated by extension of that zone.
underlined -
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E w here earthworks and/or vegetat on clearance are by a network ut lity provider in the vicinity of kauri at several locat ons within the district;
F where kauri hygiene zones transgress property boundaries
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G where the equipment used for gardening, cult vat on and fence post replacement in a kauri hygiene zone requires the use of motorised (non-hand-held) equipment or hand-held equipment that is dif cult to clean.
3.1.2C Non-Regulatory Policy
The Council will work with landowners to promote the use of nonregulatory methods, including assistance with the establishment of protective covenants, service delivery, education, and other incentives in protecting and enhancing ecological sites.
3.1.2D Signif cant Natural Area Assessment Funding Policy
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Significant Natural Area Assessment Funding Policy
(1) Council in joint responsibility with Waikato Regional Cou n c il w ill meet the costs of an ecological assessment that shows the area meets one or more of the criteria in Appendix 2: Criteria for Determining the Signif cance of Indigenous Biodiversity
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Guidance Note
Guidance on Kauri Die Back can be found in the Protecting Kauri: A Rural Landowner's Guide produced by Waikato Regional Council and endorsed by Ministry for Primary Industries
3.2 Signif cant Natural Areas
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3.2.1 Objective – Significant Natural Areas
(a) Indigenous biodiversity in Significant Natural Areas is protected and or enhanced.
3.2.2 Policy – Identify and Recognise
(a) Identify areas of significant indigenous vegetation and significant habitats of indigenous fauna as being any area that meets one or more of the criteria in Appendix 2 of this Plan. in accordance with
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A
Colour coding - red Council consultants recommendations
green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone
recommendations from Council rebuttal or
AR supplementary evidence
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the Waikato Regional Policy Statement and ident fy as Signif cant Natural Areas
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(aa) Recognise that areas of significant indigenous vegetation and significant habitats of indigenous fauna within the Waikato District include both sites identified in the Plan maps as Significant Natural Areas, and sites that are not recorded on the Plan maps.
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(ab) Recognise that signif cant habitat for indigenous species c an inc lu d e areas of exot c vegetat on
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(b) Ensure the values and attributes of any area of significant indigenous vegetation and/or significant habitats of indigenous fauna are not reduced and preferably enhanced. Recognise and protect Significant Natural Areas by ensuring the characterist cs that contribute to their signif cance are not adversely af ected.
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3.2.3 Policy – Funct onal requirement
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(a) Recognise that act vit es may have a funct onal requir em ent t o traverse or locate within a Signif cant Natural Area where no reasonably pract cable alternat ve exists.
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3.2.3 Policy - Management hierarchy
(a) Recognise and protect the values of indigenous biodiversity within Significant Natural Areas by:
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(i) avoiding the signif cant adverse effects of vegetation clearance and the disturbance of habitats unless specif c act vit es need to be enabled in the first instance as far as pract cable ; then
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(ii) remedying and/or mit gat ng any effects that cannot be avoided; then
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(iii) mit gat ng any ef ects that cannot be remedied; and
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(iv) after remediation or mitigation has been undertaken, offset any signif cant more than minor residual adverse effects in accordance with Policy 3.2.4.
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(v) If of set ng any signif cant residual adverse ef ects in accordance with Policy 3.2.4. is not feasible then economic compensat on may be considered.
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3.2.4 Policy – Biodiversity Offsetting
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(a) Allow for a biodiversity offset ing to be of ered by a resource consent applicant where an activity will result in signif cant residual adverse effects on a Significant Natural Area , or on indigenous biodiversity outside such Signif cant Natural Areas .
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(b) Within a Significant Natural Area, a biodiversity offset will only be considered appropriate where adverse effects have been avoided to the extent practicable, and then remedied or mitigated in accordance with the hierarchy established in Policy 3.2.3; and
(i) the biodiversity offset is consistent with the framework detailed in Appendix 6 Biodiversity Offsetting; and
(ii) the biodiversity offset can achieve no net loss, and preferably a net gain, of indigenous biodiversity:
A. preferably in the affected area of Significant Natural Area; or
B. where that is not practicable, in the ecological district in which the affected area of Significant Natural Area is located.
(iii) recognising that there are limits to the appropriate use of biodiversity offsetting, including because of the irreplaceability or vulnerability of the biodiversity affected.
3.2.5 Policy - Biodiversity in the coastal environment
(a) Avoid the adverse effects of subdivision use and development within Significant Natural Areas of the coastal environment on:
(i) indigenous species taxa that are listed as threatened or at risk in the New Zealand Threat Classification System lists
(ii) habitats of indigenous species where the species are listed as threatened or at risk, are at the limit of their natural range, or are naturally rare
(iii) areas containing nationally-significant examples of indigenous community types
(iv) indigenous ecosystems and vegetation types that are threatened in the coastal environment, or are naturally rare, and
(v) areas set aside for full or partial protection of indigenous biological diversity under legislation.
3.2.6 Policy - Providing for vegetation clearance
Subject to ensuring that the values and attributes of any Significant Natural Area are not reduced
(a) Provide for the limited clearance of indigenous vegetation in Significant Natural Areas when:
(i) maintaining tracks, fences and farm drains
(ii) avoiding loss of life injury or damage to property
(iii) collecting material to maintain traditional Maaori cultural practices
(iv) collect ng f rewood for domest c use
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(iv) operating, maintaining or minor upgrading existing infrastructure
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(b) Provide for the clearance of indigenous vegetation in Significant Natural Areas for the construct on of building plat orms, services, access, vehicle parking and on-site manoeuvring and for the development of Maaori Freehold Land by:
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(i) using any existing cleared areas on a site that are suitable to accommodate new development in the first instance;
(ii) using any practicable alternative locations that would reduce the need for vegetation removal;
(iii) retaining indigenous vegetation which contributes to the ecological significance of a site, taking into account any loss that may be unavoidable to create a building platform, services, access, vehicle parking and manoeuvring on a site;
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(iv) Firewood. (iv) operat ng, maintaining or upgrading exist ng
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infrastructure
3.2.7 Policy - Managing Significant Natural Areas
(a) Promote the management of Significant Natural Areas in a way that protects their long-term ecological functioning and indigenous biodiversity values, through such means as:
(i) permanently excluding stock through voluntary covenants and conservation subdivisions
(ii) undertaking plant and animal pest control
(iia) preventing the spread of plant pathogens and diseases, including kauri dieback disease;
(iii) retaining and enhancing indigenous vegetation cover
(iiia) Protecting and enhancing habitat for threatened and at risk species
(iv) maintaining and restoring natural wetland hydrology
(v) avoiding physical and legal fragmentation
(vi) legal protection of Significant Natural Areas through conservation covenants or similar mechanisms
(vii) providing for the role of Mana Whenua as kaitiaki and for the practical exercise of kaitiakitanga in restoring, protecting and enhancing areas.
3.2.8 Policy – Incentivise subdivision
(a) Incentivise subdivision in the Rural Zone when there is that provides for the legal and physical protection of Significant Natural Areas, provided the areas are of a suitable size and quality to achieve a functioning ecosystem.
RULES
NOTE:
The recommended amendments and additions to the earthworks and vegetational clearance rules from the Director-General's submission and evidence on the proposed Plan, are given for 22 Rural Zone.
This is to provide an example of amendments and additions sought to these rules.
These rule amendments and additions should be applied to the equivalent to all other zones.
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A
Colour coding - red Council consultants recommendations
green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone
recommendations from Council rebuttal or
AR supplementary evidence underlined -
The recommended amendments and additions to the Rural Zone rules from the Hearing 18 Report and from the Director-General's evidence to Hearing 18 are included in these rules for completeness. These are shown in blue.
NOT included in the amendments and additions are any changes required because of the National Environmental Standards for Freshwater.
More amendments and additions to rules are set out after the section on the Rural Zone earthworks and vegetation clearance rules.
Rural Zone Earthworks and Vegetat on Clearance Rules
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126.96.36.199 Earthworks – General
P1 (a) Except as otherwise specified in Rule 188.8.131.52, Rule 184.108.40.206 or Rule 22.2.3: Earthworks for:
(i) Ancillary rural earthworks;
(ii) A farm quarry where the volume of aggregate extracted does not exceed 1000m 3 per in any single consecutive 12 month period;
(iii) Construct on and/or maintenance of tracks, fences or drains;
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(iv) Earthworks required to form a building platform that will be subject to a building consent for a resident al act vity, including accessory buildings where undertaken in accordance with NZS 4431:1989 Code of Practice for Earth Fill for residential Development .
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(v) Where they are not within a kauri root zone
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(b) Earthworks ancillary to a conservation activity must meet subject to the following conditions:
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(i) Sediment result ng from the earthworks is retained on site through implementat on and maintenance of erosion and sediment controls.
(ii) The earthworks are not within 10 metres of a natural wetland.
P2 With the exception of earthworks for the activities listed in Rule 220.127.116.11 P1
(a) Earthworks within a site must meet all of the following conditions:
(i) Do not exceed a volume of more than 1000m3 and an area of more than 2000m2 over in any single consecutive 12 month period;
(ii) The total combined depth of any excavation (excluding drilling) or filling does not exceed 3m above or below ground level;
(iia) Take place on land with a maximum slope of 1:2 (1 vertical to 2 horizontal);
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A
Colour coding - red Council consultants recommendations
green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone
recommendations from Council rebuttal or
AR supplementary evidence underlined -
(iii) Earthworks are setback a minimum of 1.5m from all boundaries;
(iv) Areas exposed by earthworks are stabilised on completion and revegetated to achieve 80% ground cover within 6 months of the commencement of the earthworks;
(v) Sediment resulting from the earthworks is retained on the site through implementation and maintenance of erosion and sediment controls;
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(vi) Do not divert or change the nature of natural water f ows, water bodies or established drainage paths.
(vii) Where they are not within a kauri root zone
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P3 (a) Earthworks for the purpose of creat ng a building plat for m f or r es identi al purposes within a site, using imported f ll material must m eet t h e f ollow ing condit on:
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(i) Be carried out in accordance with NZS 4431:1989 Code of Pract ce for Earth Fill for Resident al Development.
(ii) Where they are not within a kauri root zone
P4 With the exception of earthworks for the activities listed in Rule 18.104.22.168 P1
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(a) Earthworks for purposes other than creat ng a building plat orm for resident al purposes within a site, using imported fill material or cleanfill must meet all of the following conditions:
(i) Do not exceed a total volume of 200 500m 3 in any single consecutive 12 month period;
(ii) Do not exceed a depth of 1m above natural ground level;
(iii) The slope of the resulting filled area in stable ground must does not exceed a maximum slope of 1:2 (1 vertical to 2 horizontal);
(iv) Fill material is setback a minimum of 1.5m from all boundaries;
(v) Areas exposed by filling are revegetated to achieve 80% ground cover within 6 months of the commencement of the filling earthworks;
(vi) Sediment resulting from the filling is retained on the site through implementation and maintenance of erosion and sediment controls;
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(vii) does not divert or change the nature of natural water f ows, water bodies or established drainage paths.
(viii) Where they are not within a kauri root zone
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P5 (a) Earthworks for conservat on act vit es, exist ng water ret culat on or the maintenance of existing tracks, fences or drains within a Significant Natural Area where the act vity is not within a kauri root zone must meet all of t h e following condit ons:
(i) The earthworks must not exceed a volume of 50m 3 in a single consecut ve 12 month period; and
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(ii) The earthworks must not exceed an area of 250m 2 in a single consecut ve 12 month period;
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(iia) Filling using imported f ll must not exceed a volume of 20 m 3 and a depth of 1.5m;
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(iii) The total depth of any excavat on or f lling does not exceed 1.5m above or below ground level with a maximum slope of 1:2 (1 vert cal to 2 horizontal);
(iv) Earthworks are setback 1.5m from all boundaries;
(v) Areas exposed by earthworks are re-vegetated to achieve 80% ground cover within 6 months of the commencement of the earthworks;
(vi) Sediment result ng from the earthworks is retained on the site;
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(vii) Do not divert or change the nature of natural water f ows, water bodies or established drainage paths.
P6 (a) On Maaori Freehold Land or Maaori Customary land within a Significant Natural Area, earthworks for a Marae Complex or Papakaainga housing where:
(i) there is no alternative development area on the site outside of the significant natural area; and
(ii) The earthworks do not exceed a volume of 500m3 in a single consecutive 12 month period; and
(iii) The earthworks do not exceed an area of 1500m2 in a single consecutive 12 month period; and
(iv) Sediment resulting from the earthworks is retained on the site through implementation and maintenance of erosion and sediment controls;
(v) Do not divert or change the nature of natural water flows, water bodies or established drainage paths
(vii) Where they are not within a kauri root zone
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RD1 (a) Earthworks that are not within a kauri root zone and that do not comply with Rule 22.214.171.124 P1, P2, P3, P4 or P5
(b) Council's discretion shall be limited to the following matters:
(i) amenity values and landscape effects;
(ii) volume, extent and depth of earthworks;
(iii) nature of fill material;
(iv) contamination of fill material or clean fill;
(v) location of the earthworks to waterways, significant indigenous vegetation and habitat;
(vi) compaction of the fill material;
(vii) volume and depth of fill material;
(viii) protection of the Hauraki Gulf Catchment Area;
(ix) geotechnical stability;
(x) flood risk, including natural water flows and established drainage paths;
(xi) land instability, erosion and sedimentation;
(xii) effects on the safe, effective and efficient operation, maintenance and upgrade of infrastructure, including access;
(xii) The effects on any kauri tree.
RD1A Earthworks within a kauri root zone for which there is a Kauri Dieback Risk Management Plan
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(a) The purpose of a Kauri Dieback Disease Risk Management Plan is to set out the procedures that will be followed to avoid the risk of the spread of kauri dieback disease by ensuring that the soil and organic mat er from earthworks within the kauri root zone is conf ned in a larger kauri dieback disease containment zone.
(b) A Kauri Dieback Disease Risk Management Plan must contain:
1 . The object ves of the management plan;
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2 . A map or maps showing:
i. The area that the management plan applies to;
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ii. The locat on of each kauri tree within that area and its associated kauri root zone;
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iii. Locat ons where access to the kauri root zone will be prevented (e.g. by fencing of , covering the soil with protect ve surface);
iv. The boundary of the kauri dieback disease containment zone beyond which soil and organic material from a kauri root zone will not be transported;
v. Equipment and vehicle cleaning points (which are to be located within the kauri dieback disease containment zone); and
vi. Any water bodies, fences, roads, tracks or structures within the kauri dieback disease containment zone.
3 . The method by which the boundaries of any kauri root zone and kauri dieback disease containment zone will be clearly marked out;
4. The procedures to be followed to ensure that any vehicles, equipment and personnel are cleaned of all soil and organic material prior to entry into or exit from the kauri dieback disease containment zone;
5. The procedures to be followed to ensure that any soil, sludge or organic material not retained within the kauri root zone is either stored within the kauri dieback disease containment zone or transported in a sealed vehicle to an approved Kauri Dieback Programme landf ll;
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6. The water management procedures to be used so that:
i. Washdown occurs at least 30 m from a water course; and
ii Water drains away from any neighbouring kauri trees; and
iii. If the requirement at i. and ii. above cannot be met, washdown water is contained within an impervious bund; and
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iv. If on-site washdown is impract cable, washdown is undertaken at an ident f ed facility where water does not drain into the stormwater system; and
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v. Washdown of vehicles, machinery, tools and footwear used in a kauri root zone occurs within the area.
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(c) A report must be submit ed annually to the Council using templates, forms and/or check-lists provided by the Council, recording all earthworks undertaken in the kauri dieback disease containment zone (including the date, type of equipment and vehicle used, the cleaning procedure followed and the disposal locat on of all disturbed soil and organic material).
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(d) The Council will review the annual report and may require amendments to the management plan to ensure the cont nued ef ect veness of the management plan.
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(e) The consent holder's annual report shall include any proposed amendment to the management plan. (An amendment to the management plan does not take ef ect unt l the Council conf rms in writ ng the amendment meets the requirements in (a) and (b) above).
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(f) Up to date records of all earthworks undertaken in the kauri dieback disease containment zone, since the earthworks reported in the most recent annual report submit ed to the Council, must be made available to the Council as soon as pract cable af er a request for them is received.
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(g) Council's discret on is restricted to the following mat ers:
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(i) The extent to which the Kauri Dieback Risk Management Plan is likely to be ef ect ve in avoiding the spread of kauri dieback disease
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(ii) amenity values and landscape ef ects;
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(iii) volume, extent and depth of earthworks;
(iv) nature of f ll material;
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(v) contaminat on of f ll material or clean f ll;
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(vi) locat on of the earthworks to waterways, signif cant indigenous vegetat on and habitat;
(vii) compact on of the f ll material;
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(viii) volume and depth of fill material;
(ix) protect on of the Hauraki Gulf Catchment Area;
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(x) geotechnical stability;
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(xi) f ood risk, including natural water f ows and established drainage paths;
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(xii) land instability, erosion and sedimentat on.
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(xiii) The ef ects on the values and at ributes of any Signif cant Natural Area
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(xiv) Land instability, erosion and sedimentat on.
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(xv) The funct onal and operat onal need for the earthworks
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RD2 Earthworks in a Significant Natural Area that are not within a kauri root zone and are for purposes other than the maintenance of existing tracks, fences or drains
Council's discretion is restricted to the following matters:
(i) The effects on the values and attributes of the Significant Natural Area
(ii) Land instability, erosion and sedimentation.
(iii) The functional and operational need for the earthworks
(iv) Volume, extent and depth of earthworks
RD3 Earthworks on Maaori Freehold Land or Maaori Customary land that are not within a kauri root zone and that does not comply with Rule 126.96.36.199 P6
Council's discretion is restricted to the following matters:
(i) The effects on the Significant Natural Area
(ii) Land instability, erosion and sedimentation.
(iii) Volume, extent and depth of earthworks
D1 Earthworks that do not comply with RD1, RD1A, RD2 or RD3
188.8.131.52 Earthworks - Significant Natural Areas
P1 a) Earthworks for the maintenance of exist ng tracks, fences or drains within an ident f ed Signif cant Natural Area must meet all of
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the following condit ons:
i
underlined -
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(i) The earthworks must not exceed a volume of 50m3 in a single consecut ve 12 month period; and
(ii) The earthworks must not exceed an area of 250m2 in a single consecut ve 12 month period;
(iii) The total depth of any excavat on or f lling does not exceed 1.5m above or below ground level with a maximum slope of 1:2 (1 vert cal to 2 horizontal);
(iv) Earthworks are setback 1.5m from all boundaries;
(v) Areas exposed by earthworks are re-vegetated to achieve 80% ground cover within 6 months of the commencement of the earthworks;
(vi) Sediment result ng from the earthworks is retained on the site through implementat on and maintenance of erosion and sediment controls;
(vii) Do not divert or change the nature of natural water f ows, water bodies or established drainage paths
P2 Filling using imported f ll must not exceed a volume of 20m3 and a depth of 1.5m.
RD1 (a) Earthworks that do not comply with Rule 184.108.40.206 P1 or P2.
(b) Council’s discret
on is restricted to the following mat
ers:
(i) The locat on of earthworks, taking into account waterways, signif cant indigenous vegetat on or habitat;
(ii) The ef
ects on the Signif
icant Natural Area
22.2.7 Indigenous vegetation clearance inside a Significant Natural Area
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P1 (a) Indigenous vegetation clearance in a Significant Natural Area ident f ed on the planning maps or in Schedule 30.5 (Urban Allotment Sign if c ant N atu r al Areas) for the following purposes:
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(i) Removing vegetation that endangers human life;
(ia) Removing vegetation that endangers or existing buildings or structures where the clearing is a maximum of 10 m from existing buildings and structures (other than fences);
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A
Colour coding - red Council consultants recommendations
green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone
recommendations from Council rebuttal or
AR supplementary evidence
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(ii) Conservat on fencing to exclude stock or pests;
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(iii) Maintaining existing farm drains where the clearing is a maximum of 5 m on one side of the drain and 1 m on the other side;;
(iv) Maintaining existing tracks and fences where the maximum width of clearing is 3.5 metres for an existing fence and 5 metres for an existing track; or
(v) Gathering plants in accordance with Maaori customs and values.
(vi) Conservation activities
(vii) The total cumulative area cleared under (ia), (iii), and (iv) in any one consecutive 12 month period shall not exceed 500 m 2 ;
(viii) No clearance under this rule shall occur within a kauri root zone
(ix) Within any Bat Protection Area any clearance is limited to vegetation with less than 15 cm trunk diameter at breast height.
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P2 Removal of up to 5m3 manuka and/or kanuka outs id e of t h e Coas t al Environment or a wetland per single consecut ve 12 month per iod per p r oper ty for domest c f rewood purposes and arts or craf s provide d t h e r em ov al w ill n ot directly result in the death, destruct on or irreparable damage of any oth er tree, bush or plant.
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P3 (a) Indigenous vegetat on clearance outside of the Coas t al Env ir on m ent f or building, access, parking and manoeuvring areas in a Sig n if c ant N atu r al A r ea ident f ed on the planning maps or in Schedule 30 .5 ( Ur b an Allotm ent Signif cant Natural Areas) must comply with all of the follow in g c ond iti on s :
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(i) There is no pract cable alternat ve development area on the site outside the Signif cant Natural Area; and
(ii) The total indigenous vegetat on clearance does not exceed 250m .
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(iii) The vegetat on clearance is at least 10m from a natural waterbody
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P4 (a) On Maaori Freehold Land or Maaori Customary Land outside the coastal environment , indigenous vegetation clearance in a Significant Natural Area for the purposes of development ident f ed on the planning maps or in Schedule 30.5 (Urban Allotment Signif cant Natural Areas) where:
(i) There is no alternative development area on the site outside the Significant Natural Area;
(ii) The following total areas are not exceeded:
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A. 1500m2 for a Marae complex, including areas associated with access, parking and manoeuvring;
B. 500m2 per dwelling, including areas associated with access, parking and manoeuvring; and
C. 500m2 for a papakaainga building including areas associated with access, parking and manoeuvring.
(iii) No clearance under this rule shall occur within a kauri root zone
(iv) Within any Bat Protection Area any clearance is limited to vegetation less than 15 cm in trunk diameter at breast height.
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P5 (a) On Maaori Freehold Land or Maaori Customary Land i n d igen ou s v eget ati on clearance in a Signif cant Natural Area ident f ed on the p lann in g m aps or in Schedule 30.5 (Urban Allotment Signif cant Natural Are as ) f or the f ollow in g purposes:
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(i) Removing vegetat on that endangers human life or exist ng buildings or structures;
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(ii) Conservat on fencing to exclude stock or pests;
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(iii) Maintaining exist ng farm drains;
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(iv) Maintaining exist ng tracks and fences; or
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(v) Gathering plants in accordance with Maaori customs and values.
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P6 Removal of up to 5m3 of manuka and/or kanuka outs id e of th e Coas t al Environment per single consecut ve 12 month period per pr op er ty f or d om es t ic f rewood purposes and arts or craf s provided the remov al w ill n ot d ir ec tly result in the death, destruct on or irreparable damage of any other t r ee, b u s h or plant
P7 Within any Bat Protection Area, the removal of manuka and/or kanuka to maintaining productive pasture complying with the following:
(i) up to 2000m2 per single consecutive 12 month period; and
(ii) plants are less than 4m in height; and
(iia) plants are less than 15 years old; and
(iiaa) plants are less than 15 cm trunk diameter at breast height; and
(iii) outside of the Coastal Environment; and
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A
Colour coding - red Council consultants recommendations
green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone
recommendations from Council rebuttal or
AR supplementary evidence underlined -
(iii) outside a wetland; and
(iv) not within a kauri root zone; and
(iv) more than 10m from a waterbody.
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P8 The trimming or pruning of indigenous vegetat on in a Sig n if c ant N atu r al Ar ea which will not directly result in the death, destruct on, o r ir r ep ar ab le d amage of the vegetat on.
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P9 Vegetation clearance of non-indigenous species in a Significant Natural Area, provided that within any Bat Protection Area the vegetation is less than 15 cm trunk diameter at breast height.
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D1 Indigenous vegetation clearance in a Significant Natural Area ident f ed on the planning maps or in Schedule 5 (Urban Allotment Signi fic ant N atu r al Ar eas ) that does not comply with one or more conditions in Rule 22.2.7 P1, P2, P3 , P4, P5 or P 6 7.
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D2 Indigenous vegetation clearance in a Significant Natural Area
D3 Indigenous vegetation clearance inside a Significant Natural Area and inside the coastal environment
D4 Vegetation clearance of non-indigenous species that does not comply with Rule 22.2.7 P9.
22.2.8 Indigenous vegetation clearance - outside a Significant Natural Area
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P1 (a) Indigenous vegetation clearance outside a Significant Natural Area and not within a kauri root zone ident f ed on the planning maps or in Schedule 30.5 (Urban Allotment Signif cant Natural Areas) must be for the following purposes:
(i) Removing vegetation that endangers human life or existing buildings or structures;
(ii) Maintaining productive pasture through the removal of up to 1000m2 per single consecutive 12 month period of manuka and/or kanuka that is more than 10m from a waterbody, and less than 4m in height, and less than 15 years old;
(iii) Maintaining existing tracks and fences;
(iv) Maintaining existing farm drains;
(v) Conservation fencing to exclude stock or pests;
(vi) Gathering of plants in accordance with Maaori custom and values; or
(vii) A building platform and associated access, parking and manoeuvring up to a total of 500m2 clearance of indigenous vegetation and there is no practicable alternative development area on the site outside of the area of indigenous vegetation clearance.
(viii) In the Aggregate Extraction Areas, a maximum of 2000m2 in a single consecutive 12 month period per record of title
(ix) Conservat on act vit es
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P 2 (a) On Maaori Freehold Land or Maaori Customary Land, in d igen ou s v eget at ion clearance outside a Signif cant Natural Area ident f ed on t h e p lann in g maps or in Schedule 30.5 (Urban Allotment Signif cant Natural Areas ) m u s t be f or th e following purposes:
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(i) Removing vegetat on that endangers human life or exist ng buildings or structures;
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(ii) Maintaining product ve pasture through the removal of up to 1000m2 per single consecut ve 12 month period of manuka and/or kanuka that is more than 10m from a waterbody, and less than 4m in height;
(iii) Maintaining exist ng tracks and fences;
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(iv) Maintaining exist ng farm drains;
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(v) Conservat on fencing to exclude stock or pests; or
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(vi) Gathering of plants in accordance with Maaori custom and values.
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P3 (a) On Maaori Freehold Land or Maaori Customary Land, the clearance of indigenous vegetation clearance outside a Significant Natural Area ident f ed on the planning maps or in Schedule 30.5 Urban Allotment Sign if c ant N atu r al Areas must not exceed:
(i) 1500m2 for a Marae complex including associated access, parking and manoeuvring;
(ii) 500m2 per dwelling including associated access, parking and manoeuvring; and
(iii) 500m2 for a papakaainga building including associated access, parking and manoeuvring.
(iv) And there is no practicable alternative development area on the site outside of the area of indigenous vegetation clearance.
(v) And is not within a kauri root zone
P4 Indigenous vegetation clearance associated with gardening outside a Significant Natural Area that is not within a kauri root zone
P5 Vegetation clearance of non-indigenous species, including clearance associated with gardening, outside a Significant Natural Area and that is not within a kauri root zone
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RD1 (a) Indigenous Vegetation clearance outside a Significant Natural Area ident f ed on the planning maps or in Schedule 30 .5 ( Ur b an Allotm ent Signif cant Natural Areas) that does not comply with one or more conditions of Rule 22.2.8 P1, P2 or P3 , P4 or P5 .
(b) Council's discretion is restricted to the following matters:
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(i) the extent to which the clearance will result in the fragmentation and isolation of indigenous ecosystems and habitats, including the loss of corridors or connect ons that link indigenous ecosystems and habitat and the loss of buf ering of indigenous ecosystems ;
(ii) the extent to which the clearance will result in loss, damage or disruption to ecological processes, functions and ecological integrity, including ecosystem services;
(iia) the extent to which clearance will be undertaken in a way that avoid the risk of the spread of kauri dieback disease
(iii) the extent to which cumulative effects of the vegetation clearance have been considered and addressed;
(iv) the extent to which the clearance affects Tangata Whenua relationships with indigenous biodiversity on the site;
(v) the extent to which the indigenous biodiversity contributes to natural character and landscape values, including in areas of outstanding natural character, outstanding natural features, outstanding natural landscapes and significant amenity landscapes.
(vi) The extent to which adverse effects have been avoided, remedied, mitigated or if this is unable to be achieved, the extent of offsetting on significant residual adverse effects
RD2 Indigenous vegetation clearance outside a Significant Natural Area for any reason not specified in P1- P5
(b) Council's discretion is restricted to the following matters:
(i) the extent to which the clearance will result in the fragmentation and isolation of indigenous ecosystems and habitats;
Collated amendments to objectives, policies, rules, definitions, appendices, Hearing 21A Colour coding - red Council consultants recommendations green Director-General's recommendations blue – changes from Hearing 18 – Rural Zone underlined - recommendations from Council rebuttal or AR supplementary evidence
(ii) the extent to which the clearance will result in loss, damage or disruption to ecological processes, functions and ecological integrity, including ecosystem services;
(iii) the cumulative effects of the vegetation clearance;
(iv) the extent to which the clearance affects Tangata Whenua relationships with indigenous biodiversity on the site;
(v) the extent to which the indigenous biodiversity contributes to natural character and landscape values, including in areas of outstanding natural character, outstanding natural features, outstanding natural landscapes and significant amenity landscapes.
(vi) The extent to which adverse effects have been avoided, remedied, mitigated or if this is unable to be achieved, the extent of offsetting on significant residual adverse effects
Other Amendments to Rules, All Zones
A. The following mater of control or discretion be added to controlled or restricted discretionary land use and subdivision rules in the proposed Plan:
Effects on the values and attributes of any Significant Natural Area.
B. The insertion of a further performance standard in the permitted activity land use rules and controlled activity subdivision rules in all zones that occur within any Bat Protection Area:
i
The activity is not within a long-tailed bat Signif cant Natural Area Bat Protect on Area
C. The insertion of a further restricted discretionary activity rule applying to land use activities and subdivision in all zones that occur within any Bat Protection Area where the performance standard in B is not met, with a matter of control being:
Any actual and potential effects on long-tailed bats and their habitat
Note that this rule would apply in addition to any other rules applying to the activity, not in replacement of any other rules.
D. The insertion of the further matter of control or discretion applying to controlled and restricted discretionary land use and subdivision rules applying to sites located outside any Bat Protection Area:
Any actual and potential adverse effects on long-tailed bats and their habitat
E. The insertion of the following permitted activity rule in all zones where plantation forestry occurs:
Vegetation clearance within plantation forests
Vegetation clearance within plantation forests is a permitted activity if
(a) the Resource Management (National Environmental Standards for Plantation Forestry) Regulations 2017 are complied with;
(b) no vegetation clearance can occur within a kauri hygiene root zone; and
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(c) it is not with a long-tailed bat Signif cant Natural Bat Protect on Area.
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F. The insertion of the following restricted discretionary activity rule in all zones where plantation forestry occurs:
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(a) Vegetat on clearance within plantat on forestry that d oes n ot comply with the permit ed act vity rule is a restricted discret onary act vity.
(b) Discret on is restricted to:
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(i) the adequacy of measures to avoid the risk of kauri dieback disease;
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(ii) a ny actual and potent al adverse ef ects on long-tailed bats and their habitat
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G. The insertion of a further standards and rules, as necessary, in relation to earthworks and vegetation clearance activities within, and within 10 metres of, a natural wetland as provided for the in the National Environmental Standards for Freshwater. Note that the National Environmental Standards for Freshwater apply to the clearance of exotic as well as indigenous vegetation.
DEFINITIONS
Bat Protect on Area
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A Significant Natural Area that is identified and mapped as habitat for long-tailed bats. For the avoidance of doubt, a Bat Protection Area can overlay Significant Natural Areas meeting other 'significance' criteria listed in Appendix 2.
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Biodiversity Offset t ng
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Biodiversity offsets are measurable conservation outcomes resulting from actions designed to compensate for significant residual adverse biodiversity impacts arising from project development after appropriate prevention and mitigation measures have been taken. The goal of biodiversity offsets is to achieve no net loss and preferable a net gain of biodiversity on the ground.
Biodiversity offset – A measurable conservation outcome resulting from actions designed to compensate for residual, adverse biodiversity effects arising from activities after appropriate avoidance, remediation, and mitigation measures have been applied. The goal of a biodiversity offset is to achieve a no-net-loss, and preferably a net-gain, of indigenous biodiversity values. To qualify as a biodiversity offset, the action taken to secure the biodiversity gains must adhere to a set of principles that include limits to offsetting, no net loss, equivalence, additionality, and permanence.
Conservation Activities
Means activities associated with indigenous habitat, wetlands and wildlife management protection, and restoration and rehabilitation that fundamentally benefit indigenous biodiversity or raise public awareness of indigenous biodiversity values. This includes stock exclusion, research and monitoring, the establishment, maintenance or upgrading of public walking or cycle tracks, interpretive and directional signs, accessory buildings including those for tourism, interpretation or education purposes and the provision of access for plant or animal pest management.
Earthworks (if National Planning Standard definition is adopted)
earthworks means the alteration or disturbance of land, including by moving, removing, placing, blading, cutting, contouring, filling or excavation of earth (or any matter constituting the land including soil, clay, sand and rock); but except within the kauri root zone, excludes gardening, cultivation, and disturbance of land for the installation of fence posts.
Environmental Compensation
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Environmental compensation comprises actions offered as a means to address residual adverse effects on the environment arising from
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project development that are not intended to result in no net loss or a net gain of biodiversity on the ground.
Environmental Compensation – positive actions (excluding biodiversity offsets) to compensate for residual adverse biodiversity effects arising from activities after all appropriate avoidance, remediation, mitigation and biodiversity offset measures have been applied.
Kauri root zone
the area within three times the maximum radius of the drip line of the New Zealand kauri tree
Indigenous vegetation
Means vegetation that occurs naturally in New Zealand or arrived in New Zealand without human assistance. For the purposes of this plan, domestic or ornamental / landscaping landscape planting or planted shelter belts comprising indigenous species are not included unless within a long-tailed bat Significant Natural Area Bat Protection Area
Significant Natural Area
Means an area of significant indigenous biodiversity that is identified as a Significant Natural Area on the planning maps or that meets one or more of the criteria in Appendix 2 Criteria for Determining Significance of Indigenous Biodiversity.
The Hamilton Basin Ecological Area
The Hamilton Basin Ecological Management Area is a spatial overlay which forms part of the management of ecological areas within the Waikato Region. The purpose of the inclusion of this overlay within the proposed district plan is that it provides a spatial representation of where the rules for Conservation lot subdivision applies.
Appendices
Appendix 2 – Criteria for Determining Significance of Indigenous Biodiversity
The Appendix does not apply to plantation forestry
Appendix 6 – Biodiversity Offsetting
The Ministry for the Environment has produced Guidance on Good Practice Biodiversity Offsetting that provides guidance when offsetting is an option.
2. Biodiversity Offsetting Framework
1. Restoration, enhancement and protection actions offered by an applicant will only be considered a biodiversity offset where they are used to offset the anticipated reasonably-measurable residual effects of activities that are likely to remain after appropriate avoidance, remediation and mitigation measures actions have been applie d occurred in accordance with Policy 3.2.3.
2. A proposed biodiversity offset will contain an qualitative quantitative assessment of losses and gains commensurate with the scale of effects of the activity, and should demonstrate the manner in which no net loss can be achieved
__________________
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(Piano Solo Songbook). 100 pop and classical standards that every piano player should master, including: Air on the G String * Bridge over Troubled Water * Canon in D * Clair de Lune * Fields of Gold * Fur Elise * I Dreamed a Dream * I Will Always Love You * Imagine * Lullaby of Birdland * Memory * Misty * Moon River * On My Own * Over the Rainbow * The Shadow of Your Smile * Smile * Stardust * Summertime * Sunrise, Sunset * Time After Time * Unexpected Song * The Way You Look Tonight * We've Only Just Begun * What a Wonderful World * Yesterday * You Raise Me Up * Your Song * and more!
Easy Boogie Woogie Hal Leonard Corporation
(Keyboard Instruction). Focusing on styles such as classic ragtime, early blues & boogie woogie, New Orleans jazz, stride and swing, this new book with online audio in the Hal Leonard Keyboard Style Series teaches left- and right-hand techniques including chords, bass runs, patterns and more. Key players of these styles Scott Joplin, Jimmy Yancey, Pete Johnson, Jelly Roll Morton, James P. Johnson, Fats Waller, Teddy Wilson and Art Tatum are prominently referenced. Includes 14 full songs to play and over 80 demo tracks! The audio is accessed online using the unique code inside each book and can be streamed or downloaded. The audio files include PLAYBACK+, a multifunctional audio player that allows you to slow down audio without changing pitch, set loop points, change keys, and pan left or right.
100 Left Hand Patterns Every Piano Player Should Know Hal Leonard Publishing Corporation Explains how to learn to play the piano by mastering chords, and covers scales, tonality, triads, and improvisation.
The Little Blues & Boogie Piano Book Hal Leonard Corporation
This exciting series of instrumental instruction books includes complete music plus easy-to-follow instructions, tips and advice. The accompanying CDs allow you to listen and play along to the matching audio tracks. These user-friendly book/CD packs provide riffs, licks, chords and tricks you can learn now, and easily incorporate into your own playing style! Create the boogie sounds of such great pianists as Jools Holland and Jelly Roll Morton. Develop authentic left-hand rhythmic patterns and sparkling riffs. Discover the secrets of syncopation, arpeggios, grace notes, and other essential boogie techniques.
Boogie Woogie Bugle Boy Keyboard Ensemble Library Disk Pkg Warner Bros Publications (Faber Piano Adventures ). Written for ages 5 and 6, My First Piano Adventure captures the child's playful spirit. Fun-filled songs, rhythm games and technique activities develop beginning keyboard skills. Three distinguishing features of the Lesson Book A make it unique and effective for the young 5-6 year old beginner. 1. A strong focus on technique embedded in the book through playful
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technique games, chants, and carefully-composed pieces that gently lead the child into pianistic motions. 2. An outstanding CD for the young student to listen, sing, tap, and play along with at the piano. The orchestrated songs on the CD feature children singing the lyrics, which has great appeal to the 5-6 year old beginner. The CD becomes a ready-made practice partner that guides the student and parent for all the pieces and activities in the books. 3. The fanciful art features five multi-cultural children who are also learning to play. These friends at the piano introduce basic rhythms, white key names, and a variety of white and black-key songs that span classical, folk, and blues. Young students will listen, sing, create, and play more musically with Nancy and Randall Faber s My First Piano Adventure, Lesson Book A. The Lesson Book introduces directional prereading, elementary music theory and technique with engaging songs, games, and creative discovery at the keyboard. Young students will enjoy the multi-cultural "friends at the piano" who introduce white-key names, basic rhythms, and a variety of songs which span classical, folk, and blues. Ear-training and eye-training are also part of the curriculum. The Fabers' instructional theory "ACE" - Analysis, Creativity, and Expression, guides the pedagogy of My First Piano Adventure. Analysis leads to understanding, creativity leads to self-discovery, and expression develops personal artistry. The CD for this book offers a unique listening experience with outstanding orchestrations and vocals. The recordings demonstrate a key principle of the course: when children listen, sing, tap, and move to their piano music, they play more musically. View Helpful Introductory Videos Here
Level 3a - Sightreading BookProfessional Music Institute
(Artist Transcriptions). 16 transcriptions that all blues fans should know, including: Big Chief * Bloody Murder * Boogie Woogie Stomp * Chicago Breakdown * Confessin' the Blues * Driftin' Blues * Every Day I Have the Blues * 44 Blues * Got My Mo Jo Working * Honky Tonk Train (Honky Tonk Train Blues) * I Just Want to Make Love to You * Mess Around * (The Original) Boogie Woogie * Swanee River Boogie * Two Fisted Mama * Worried Life Blues.
Boogie Woogie for Beginners (Music Instruction) Tredition Gmbh
These sparkling jazzy solos will be a hit with students and their audiences, in a small group of friends around the piano or a special recital! Students will be eager to practice the jazz harmonies and syncopated rhythms.
How To Play Popular Piano In 10 Easy Lessons Hal Leonard Publishing Corporation (Piano Solo Songbook). A collection of the original sheet music for 39 classic standards, featuring the arrangements of 'Fats' Waller, Art Tatum, Duke Ellington, James P. Johnson, Albert Ammons, Pete Johnson, Count Basie, Clarence Williams, Jay McShann, Billy Kyle, Zez Confrey. Songs include: "A" Flat to "C" * Ain't Misbehavin' * Between the Devil and the Deep Blue Sea * Bugle Call Rag * Central Avenue Drag * Dinah * For Me and My Gal * I Can't Give You Anything but Love * Mood Indigo * Organ Grinder Blues * Sophisticated Lady * Stardust * When You're Smiling (The Whole World Smiles with You) * and more.
Download Boogie Woogie Piano Leonard Keyboard Series 438 Pages
Boogie Woogie for Beginners Hal Leonard Corporation
(Keyboard Instruction). Ever wanted to play the blues, but weren't sure where to start? Blues Piano will teach you the basic skills you need. From comping to soloing, you'll learn the theory, the tools, and even the tricks that the pros use. And, you get seven complete tunes to jam on. Covers: scales and chords; left-hand patterns; walking bass; endings and turnarounds; right-hand techniques; how to solo with blues scales; crossover licks; and more.
5 Boogie Woogie Piano SolosHal Leonard Publishing Corporation
(Musicians Institute Press). This one-on-one lesson with Musicians Institute instructor Peter Deneff features 50 exercises for the beginning to intermediate level pianist, covering: bebop lines * chord symbols * chord voicings * melodic and harmonic exercises * musical and useful melodic patterns * swing 8ths * and more. Makes a good warmup!
How to Play Blues Piano Styles Hal Leonard Publishing Corporation
(Piano Solo Songbook). Cool, jazzy arrangements of 23 most-requested standards at the piano lounge, including: Blue Moon * Cocktails for Two * Dream a Little Dream of Me * Fly Me to the Moon (In Other Words) * Georgia on My Mind * Hey There * I Left My Heart in San Francisco * I'm in the Mood for Love * The Lady Is a Tramp * Lullaby of Birdland * Mack the Knife * More (Ti Guardero Nel Cuore) * Over the Rainbow * Puttin' on the Ritz * Speak Low * The Very Thought of You * and more. First 50 Blues Songs You Should Play on the Piano Hal Leonard Corporation
Boogie-woogie is an intoxicating music style that touches the heart and uplifts the spirit of players and listeners alike. Combining boogie-woogie, blues, rock, and rock 'n' roll elements into an enticing mix, boogie & blues piano offers pianists the freedom to play unaccompanied and to present a repertoire that is based on their own particular strengths. The rules of improvisation and how to jam along with other musicians are much easier to learn than in complex jazz music. Boogie-woogie is also a masculine domain and female pianists are underrepresented. While the large hands and strong male physique associated with greater power and endurance are a great advantage, women and girls can now take heart and are perfectly able to groove and boogie with the best of players by adjusting the notes and licks to a smaller hand with a lighter touch. German ULRIKE GAATE is one of the few female boogie & blues piano players in Europe, and New Zealander JAN PRESTON is known as the 'Queen of Boogie Piano' in Australia, where she now lives. The authors met from across the world through their shared love of the boogie piano tradition. They have produced this boogie & blues tutor to help and inspire female players of all ages to experience the uplifting energy and abundant possibilities of this style. Written for all small-handed piano players, regardless of gender, the book contains original compositions specifically arranged for pianists with small hands ranging in difficulty from lower intermediate to advanced, as well as a variety of suitable left hand patterns and many exercises. The authors present important characteristics of the boogie & blues piano style and provide tips on how to improvise. Audio samples are downloadable as mp3 files and QR codes. www.ulrikegaate.com www.janpreston.com
2022-05-21
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ABSEGAMI HIGH SCHOOL
A parent guide to community wellness
Prepared by Absegami CST
Agencies
Atlant Care Behav i oral Health
i
Egg Harbor Township 609-646-5142 (adult outpatient) www.atlant care.org Access Center 609-646-9159 Child and Adolescent Outpatient
2500 English Creek Avenue Building 1000, Suite 1002 Egg Harbor Township NJ, 08234 609-272-0909 Atlantic City 609-572-6059
AtlantiCare Behavioral Health's (ABH) Child and Adolescent Outpatient Services provides behavioral health care to individuals from three to 17 years of age and their families. Services include:
* Individual counseling
* Family counseling
* Psychiatric evaluations with medication monitoring
* Group therapy for substance abuse
Children's Behavioral Health Services (DCBHS)
Phone: 1-877-652-2624 (24hrs.-a-day, 7 days a week)
Web site: www.nj.gov/dcf
DCF's DCBHS serves children and adolescents with emotional and behavioral health care challenges and their families. DCBHS is committed to providing these services based on the needs of the child and the family in a family-centered, community-based environment.
Cape-Altant c I nte grated Network for Kids (I.N.K)
i
Provides a full range of treatment and support services to children with the most complex needs.
Marmora 609-390-4448
www.aclink.org/intergenerational
Guidance Department
Mr. Dan Kern, Supervisor of Guidance
Mrs. Kathleen Cardwell, School Counselor
Ms. Carole Higgins, School Counselor
Mr. Joseph Monteleone, School Counselor
Mrs. Theresa Sartorio, School Counselor
Mrs. Jo-Ann Scarlett, School Counselor
Mrs. Bonnie Wade, School Counselor
Mrs. Carmella Bencivenga, Guidance Secretary and School Registrar Mrs. Carrie Berret, Guidance Secretary and School Registrar
Child Study Team
Mr. Joseph Sabath, Supervisor of CST
Ms. Allie Panetta, Speech Pathologist
Ms. Jennifer Thoms, Speech Pathologist
Mrs. Christine Reina, Social Worker
Ms. Katie Taylor, School Psychologist
Mrs. Laura Czaikowski, Learning Disabilities Teacher Consultant
Mrs. Cori Koury, Social Worker
Mrs. Lynda Lovitz, CST Secretary
Greater Egg Harbor Regiona l H i g h School District Administrat on
i
Mr. John Keenan, Superintendent
Mr. Thomas Grossi, Business Administrator-Board Secretary Mrs. Margaret Doran, District Supervisor of Special Projects Mr. Dave Berret, District Supervisor of Data and Technology Mrs. Donna Blair, District Director of Curriculum Ms. Meg Gawalis, District Supervisor of Special Services
Absegami High School Administrat on
i
```
Dr. Jeri-Lynn Vernon, Ed. D., Principal Mr. Brian Aron, Assistant Principal, Supervisor of Social Studies Mrs. Leslie Madison, Vice Principal, Supervisor of Performing Arts/ Fine Arts/ Music Mrs. Jacqueline Mongelluzzo, Assistant Principal, Supervisor of World Languages
```
Department Supervisors
Mrs. Brenda Callaghan, Mathematics/ Business Mr. Steve Fortis, Athletic Director, Supervisor of Health & P.E./ Health Offices Mr. Joseph Sabath, Supervisor of Special Education/ CST Ms. Kass Schurtz, Supervisor of English/ Media/ ELL Mr. Daniel Kern, Supervisor of Guidance/ Basic Skills Mr. Ronald Schmid, Supervisor of Science/ Applied Technology/ Family & Consumer Science
Agencies
Juvenile Family Crises
609-645-5862 ext. 4330 (daytime phone) 609-645-5861 (evenings)
The Juvenile/Family Crisis Center is a 24 hour, legally mandated service. This program is designed to assist families who are experiencing serious difficulties in managing the behavior of children aged 10-17, and in situations where the behavior of the children or parent results in a serious threat to the well-being and safety of the youth or other family members. This court-affiliated program aims to intercede in family conflicts and, where possible, to divert such cases from formal court and premature out of home placement pending exhaustion of community resources. Approximately 90% of the cases are diverted from court; with less than 5% of the cases requiring out of home placement. A primary objective of the Crisis Center is to promote and strengthen the integrity of the family unit. Services include short-term crisis stabilization, family assessment, case management, treatment planning, and referrals to appropriate community-based services.
Nancy Craf s Counseling Services
t
223 S Main St, Cape May Court House, NJ 08210 (609) 465-7788
Our agency offers a wide range of services and expert advice, including:
* Individual
* Family
* Marriage
* Drug & Alcohol Abuse
* Anger Management
* Eating Disorder
* Womens Issues & Domestic Abuse
Agencies
Family Service Associat on
i
Egg Harbor Township 609-569-0239
www.fsasj.org
Rainbow Place: Rainbow Place Partial Care Program serves adolescents ages 6 through 12 who are in need of behavioral health services. The goal of the program is to help each child attain his or her highest level of functioning while remaining in the community. During the school year, Rainbow Place meets Monday through Friday, from 3 pm. to 6:30 pm. In the summer, programming hours are expanded to 11 am. to 4:30 pm. Program participants are involved in an active, structured treatment program.
Juvenile Sex Of ender Program: This program offers individual and group services to juveniles who have been charged with a sex offense. Any adolescent age 11 through 18 who are involved with the juvenile court system can participate in this active structured treatment program.
Safe Harbor Program: The most effective way to teach youth how to deal with the pressures of community life is to support and mentor them through the challenges they face. Safe Harbor provides therapeutic services to young people and their families. The goal is to help each individual attain his or her highest level of functioning within the community. Safe Harbor Program serves adolescents ages 13 through 17. During the school year, Safe Harbor meets Monday through Friday, from 3 pm. to 6:30 pm. In the summer, programming hours are expanded to 11 am. to 4:30 pm. Program participants are involved in an active, structured treatment program.
Social Skills Groups: This group is for children ages 10-13 who struggle socially due to ADHD, Asperger's Syndrome, or other challenges. Children will be taught social skills, conflict resolution strategies, "friendship skills," and other techniques to increase their success at school and in the community.
Adolescent Trauma Group: This group is for adolescents ages 12-18 . Adolescents who have experienced emotional, physical, or sexual abuse; physical or sexual assault; natural disaster; or other traumatic events will be encouraged to support one another and learn coping skills in order to heal from the impact of trauma.
Suicide Prevent on and Support
i
Atant Care's Psychiatric Intervent on Program
i
609-344-1118
AtlantiCare Regional Medical Center, City Campus This serves as the Crisis Center for Atlantic County. Services Provided:
- Crisis Counseling
- Community Referrals
- Psychiatric assessment/treatment
- Crisis stabilization
- Suicide Risk Assessments
- Community Outreaches (for over age 18)
Heartbreak to Healing
Support Group in Atlantic City, NJ
Contact Person: Dolores
609-345-3230 email@example.com
Contact for meeting details and location
Atlant c County Traumat c Loss Coalit on for Youth
i
i
609-626-3850 www.ettc.net/traumaticloss
Coalition meetings are open to school personnel, representatives from community & municipal agencies, school resource officers, police, emergency management responders, and any individuals interested in developing and mainiting a network of support for the children in our communities following a traumatic loss event.
Meetings are held the first Tuesday of every month unless otherwise noted. Meetings are held from 1-3pm at the Southern Regional Institute and ETTC, 10 West Jimmie Leeds Rd. Galloway Township
i
Substance Abuse Informat on, Counseling & Treatment Substance Abuse Informat on, Counseling & Treatment
i
Strengthening Families Program Strengthening Families Program
609-272-0101 x15
Parent, youth and family skills building curriculum designed to prevent future teen substance abuse and other behavior problems, strengthen parenting skills and family strength. Parent, youth and family skills building curriculum designed to prevent future teen substance abuse and other behavior problems, strengthen parenting skills and family strength.
New Day Family Success
Success
New Day Family 609-652-0239
609-652-0239 Community based family center that offers a wide variety of community programs as well as resources of counseling, advocacy Community based family center that offers a wide variety of community programs as well as resources of counseling, advocacy and linkage to other area services.
and linkage to other area services.
Suicide Prevent on and Support
Suicide Prevention and Support
2nd Floor Youth Helpline
2nd Floor Youth Helpline 1-888-222-2228
2ndFloor.org
2nd Floor is a youth helpline serving all youth and young adults in the state of New Jersey.
This is meant to be a prevention tool before issues become a crisis. The helpline offers a way to relieve some of the pressures and daily challenges that affect young people today.
Agencies
Family Service Associat on (cont nued)
i
Adolescent Trauma Group: This group is for adolescents ages 12-18 . Adolescents who have experienced emotional, physical, or sexual abuse; physical or sexual assault; natural disaster; or other traumatic events will be encouraged to support one another and learn coping skills in order to heal from the impact of trauma.
Anger Management for Adolescents: This group is for adolescents ages 13 and up. Adolescents who have a difficult time managing their anger physically or verbally will be assisted in identifying healthy outlets for their anger, learning coping skills, and providing feedback and peer support to one another.
Youth Case Management: The Youth Case Management Program serves children and adolescents who are in need of behavioral health services and are at a risk of Child Crisis Intervention Service. The Youth Case Management Program is responsible for the coordination of individualized services for each client and their family to assist them in accessing and receiving behavioral health services.
Self-Explorat on for Young Adults: This group is for young adults ages 18-24 years old. Participants will be encouraged to support each other in their struggles to develop a sense of identity and navigate the transition from adolescence to adulthood.
**There are other adult services as well.
Mental Health Associat on (MHA)
i
Advocacy, education and support services Galloway 609-652-3800 www.mhaac.info
The Network
Provides free family enrichment opportunities designed to strengthen family relationships.
Www.fsasj.org or www.wafsn.org 1-800-601-1293
Agencies
Jewish Family Services (JFS)
A multi-service family counseling agency
Margate 609-822-1108 www.jfsatlantic.org
Types of Counseling:
Child and Adolescent Counseling offers a variety of outpatient therapeutic services provided by experienced child and adolescent therapists. Outpatient counselors have extensive experience in the following areas:
* depression • grief and loss
* separation or divorce • educational issues
* behavioral issues • anger management
* parenting skills • eating disorders
* emotional trauma • attention problems
* developmental disabilities • family conflict
* life transitions and changes • anxiety
Individual Counseling
Individual counseling is a unique, private relationship between a therapist and a client of any age. Counseling offers individuals the opportunity to build coping skills, gain an understanding of patterns in their life, & develop plans to change aspects of their life with professional guidance.
Family Therapy
Family therapy can be helpful in addressing family changes, concerns, conflicts and communication difficulties.
Couples/Marital Counseling
This approach is for couples who are looking to better understand & improve their relationship. Areas to address may include stress management, communication, effective interactions & intimacy.
Substance Abuse Informat on, Counseling & Treatment
i
Behavioral Crossroads Recovery, LLC
Egg Harbor Township 609-645-2500
www.behavioralcrossroads.com
Park Bench Counseling, Inc.
A progressive addiction treatment facility offering the most current successful therapeutic treatments available.
We provide individual therapy as well as a variety of intensive group experiences conducted by certified therapists who truly care about their clients.
Northfield 609-377-5273
www.parkbenchgroup.com
Atlant c Prevent on Resources (APR)
i
Referrals and information to individuals and families suffering the effects of substance abuse in Atlantic County.
Absecon 609-272-0101
Substance Abuse Informat on, Counseling & Treatment
i
Atlant c Coun ty D i vision of Public Health
i
Referral, free confidential substance abuse screenings, detoxification, inpatient and outpatient services, halfway house programs and education.
Northfield 609-645-5945 www.aclink.org/PublicHealth 609-645-5932
John Brooks Recovery Center
The mission of JBRC is to provide quality, scientifically based, individualized substance abuse treatment services to NJ residents for the prevention , reduction and elimination of harm caused by substance abuse.
Atlantic City 609-345-4035 www.jbrcnj.org
Atlant c Coun ty Department of Youth Services TRY IT Program
i
609-645-5862 ext. 4334 or ext. 4331
- The goal of TRY IT is to provide education, assist in breaking denial, and provide support for recovery.
- Provides outpatient substance abuse services for ages 12-18 and their families. Services include assessment, treatment planning, referral, psycho educational group process & reintegration of youth to their homes & families upon return from residential treatment centers. Short term group services are offered at four sites in Northfield, EHT, Hammonton and Atlantic City.
- Referrals are accepted from multiple community based agencies, schools, Family Court, parents, DYFS, and other treatment agencies.
Agencies
Jewish Family Services (JFS) cont nued
i
The Specialty Center for Youth Interventions
Poor school performance, temper tantrums, lack of confidence are all ways children show they are in need of extra support. The Specialty Center for Youth Interventions provides state-of-the-art, evidencebased interventions by a team of specially trained experts to provide assistance to children, adolescents & their families so they will successfully meet everyday challenges.
The Specialty Center for Youth Interventions represents a new chapter in a program which began at JFS nearly two decades ago. Department of Children's Behavioral Health Services (DCBHS) continues to fund these efforts and has charged JFS to bring additional evidenced-based programs to our community in an outpatient setting. The term evidenced-based means that a program meets guidelines for having an established track record of success. By bringing The Specialty Center for Youth Interventions to the community, JFS will round out the programs available to children and families in our region.
Parent Management Training (PMT)
Parent Management Training (PMT) is a successful approach developed by Dr. Alan Kazdin of Yale University for child and early adolescent behavior concerns. Whether parents are concerned about common behavior problems such as temper tantrums and refusal to do chores or severe aggression, PMT can help. Sessions are held with the parent(s)/caregiver and youth and when necessary, siblings are included. PMT generally requires 12-16 meetings. The program is designed for children ages 3-14 years old.
Trauma Focused Cognitive Behavior Therapy (TF-CBT)
About one in four American children will experience a traumatic event by the age of 16. These events may include an unexpected death in the family, a car accident or abuse. Although some children and adolescents may recover quickly after adversity, traumatic experiences can result in significant disruptions in child or adolescent development with serious long-term consequences. Trauma Focused Cognitive Behavior Therapy (TF-CBT) has been shown to reduce trauma symptoms in children and adolescents. These improvements last long after treatment ends.
Agencies
Cape Counseling
Children's counseling and partial care Cape May Court House 609-465-4100 www.capecounseling.org
Children and Families, Learning Together — Outpatient Services.
Cape Counseling is aware that families face risks to raising children that were unknown in years past. In addition, we also know that parenting is the toughest and most important job that doesn't come with a job description.
Our professionals are recognized for their ability to work creatively with the courts, Division of Youth & Family Services, schools and other organizations such as Cape Atlantic INK (Integrated Kids Network) in providing services for special needs children and their families.
Cape Counseling has programs specific to the positive growth and development of our children and specific to the needs of today's parent.
* Conflict resolution
* Drug and alcohol prevention and intervention
* Family counseling
* Handling challenging behavior
* Parenting concerns
* Positive responses to peer pressure
* Talking to your adolescent
* Talking to your parent
* Understanding drug and alcohol addiction
* Hyperactive challenges
* School/academic conflicts
Agencies
Perform Care- CSA/Mobile Response
Phone: 1 (877) 652-7624
Provides emergency face to face in-house crisis response for a child's emotional or behavioral challenges. Can also provide additional services up to 8 weeks to stabilize behavior. Parents must consent to the services. (Must request Mobile Response)
Atlant c Cape Family Support Organizat on
i
Assistance for families who have children with emotional and behavioral issues.
www.acfamsupport.org 609-485-0575
The Network
The Network offers families tools to meet their goals regarding child well-being, healthy relationships and financial stability. This is provided for working, low-income families living in Atlantic County mainland communities.
Contact: Jennifer Ortiz 1-800-601-1293
firstname.lastname@example.org
3073 English Creek Ave. Egg Harbor Township
Types of free support offered:
* Budgeting Classes
* Court-Approved Parenting Classes
* Family-to-Family Mentors
* Family Enrichment Activities
* Information and Referrals
* Job search assistance
* Kinship Support Group & Navigator Program
* Linkage to Community Food Banks & other groups
* Literacy Tutoring for Adults
* Parent Support Group
* Basic English Class
* Resume Development
* Teen Group/Youth Mentoring
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UNICEF in the State of Palestine
Escalation Humanitarian Situation Report No. 17
Highlights
The risk of famine in Gaza is increasing by the day, particularly for an estimated 300,000 people in northern Gaza who have been predominantly cut off from assistance and where food security assessments show the greatest needs, according to WFP. The UN warns that humanitarian aid reaching Gaza city is
At least 17,000 children in the Gaza Strip are unaccompanied or separated from their families based on estimations.
The main barriers for humanitarian aid are: 1) Continuing heavy military operations and limited security to reach children and families in need, 2) Logistical constraints, insufficient number of trucks and many logistical and bureaucratic hurdles, 3) Restrictions on commercial goods. Without the ability to produce or import food, the entire population of Gaza depends on aid to survive.
Military operations in the West Bank continued including a one-day operation in Nur Shams camp where three people were killed.
During the reporting period, UNICEF with partners distributed nutrition supplements into the Gaza Strip, benefitting 3,900 pregnant and lactating women, as well as 41,900 children aged 6-59 months.
UNICEF delivered medical supplies and consumables to partners in the Gaza Strip, benefitting 10,000 people at six different locations.
UNICEF ensured the distribution of over 30,000 clothing sets in the Gaza Strip tailored for children aged between newborn and 17 years old.
Since 7 October, UNICEF has provided psychosocial support services for over 70,00 people including more than 57,000 children.
In the West Bank, UNICEF continued to support the national education system to educate children who are not able to reach their schools due to security issues, and stationery kits for 19,840 children are being distributed.
Status
0% 25% 50% 75% 100%
UNICEF Immediate Needs
US$ 168.3 million
(in US$)
The HAC has been revised for Child Protection and Nutrition. Funding does not include
Funding Status
UNICEF funding status is based on the January 2024 revision of the HAC
1
the loans received from within UNICEF See Annex A for additional explanations
Funding Overview and Partnerships
The revised Inter-Agency Flash Appeal for the Occupied Palestinian Territories was issued on 6 November covering October to December 2023. The appeal identifies a financial requirement of approximately US$ 1.2 billion to meet critical needs for 2.7 million people, 2.2 million population in the Gaza Strip and 500,000 people in the West Bank, including East Jerusalem. Aligned to the revised Flash Appeal, UNICEF issued an updated Humanitarian Action for Children (HAC) appeal for October to December 2023. This appeal has been carried over to cover March 2024 inclusive. The UNICEF funding requirement was adjusted in line with increasing needs to US$ 168.3 million in January 2024, intended to support 2.1 million people including 1.2 million children: https://www.unicef.org/appeals/state-of-palestine. The appeal is expected to be further revised in line with the evolving situation. To date, the revised HAC has a US$ 48.7 million (29 per cent) funding gap.
UNICEF would like to sincerely thank partners for their contributions, including the governments of Australia, Canada, Croatia, Cyprus, Denmark, Estonia, Germany, Norway, Poland, Spain, Sweden, Switzerland, and the United Kingdom as well as the Central Emergency Response Fund (CERF), EU Humanitarian Aid and the World Bank. UNICEF also thanks the UNICEF National Committees of Australia, Belgium, Canada, Denmark, Finland, France, Germany, Iceland, Ireland, Italy, Japan, Netherlands, New Zealand, Portugal, Spain, Switzerland, United Kingdom and the United States. UNICEF would also like to thank the UNICEF private sector fundraising offices of Chile, Croatia, Egypt, Germany, Greece, Gulf Area Office, Japan, Philippines, Indonesia, Ireland, Kazakhstan, Malaysia, Mexico, Thailand and Uzbekistan, which have supported initial relief efforts in response to the recent escalation of hostilities. Last but not least, UNICEF benefited from Global Humanitarian Thematic Funding, which provided an added level of flexibility to respond to the crisis, enabling UNICEF to effectively anticipate and meet the needs of the most vulnerable children and their families in Gaza and the West Bank. UNICEF has also received US$ 8.75 million from the internal Emergency Programme Fund and exceptionally US$ 10 million of an internal capital loan both of which will need to be replenished these loans are not reflected in funds received.
Situation Overview & Humanitarian Needs
The risk of famine in Gaza increases day by day. The situation has become specifically dire for 300,000 people in the northern Gaza Strip, as they have been largely cut off from assistance. Food security assessments indicate the greatest needs in this area, as stated by WFP. Due to these circumstances, the UN warns that humanitarian aid reaching Gaza and highlights is urgently needed.
Thousands of children are unaccompanied or separated from their family. Each individual child carries a heartbreaking story of loss and grief. UNICEF estimates that in total at least 17,000 children 1 in the Gaza Strip are unaccompanied or separated. This corresponds to one per cent of the overall displaced population of 1.7 million people. Before this war, UNICEF was considering that more than 500,000 children were already in need of Mental Health and Psychosocial support (MHPSS) in the Gaza Strip. Today, it is estimated that almost all children are in need of MHPSS, more than 1 million children.
As of 9 February, at least 27,947 Palestinians were reported killed in the Gaza Strip since the start of hostilities (up to 70 per cent are reported to be women and children). More than 67,459 Palestinians were reported injured, including at least 11,482 children (partially disaggregated data as of 31 January 2024). Thousands of children continue to be reported missing and are likely to be injured or killed under the rubble of destroyed buildings. Rescue efforts are hampered by ongoing airstrikes, scarcity of fuel for vehicles and equipment, and limited communication capabilities. UNRWA reports that, as of 5 February, 154 UNRWA staff had been killed, while WHO and UNDP report one staff member killed respectively. As of 5 February, there have been 290 incidents impacting 150 UNRWA installations, some of those have sustained direct hits. UNRWA reports as of 5 February, that at least 389 Internally Displaced Persons (IDPs) have been killed in their facilities, with at least a further 1,370 injured due to the hostilities since 7 October.
In the occupied West Bank, including East Jerusalem, OCHA reports that since 7 October, at least 383 Palestinians have been killed. At least 100 Palestinian children were reported killed in conflict-related violence in the same time period, with more than sixty per cent of incidents in the northern West Bank, particularly Jenin, Nablus and Tulkarem governorates, and more than one quarter of incidents in the Ramallah and Jerusalem governorates. Military law enforcement operations inside Palestinian communities and refugee camps involving high use of live ammunition, explosive weapons, and aerial strikes, as well as settler violence and movement restrictions, continue to put Palestinian children at higher risk of violence, grave violations, and displacement, and impact their access to services. According to OCHA, since 7 October, at least 2,603 Palestinians including 1,203 children have been displaced, mainly in Area C and East Jerusalem, due to settler violence and access restrictions, home demolitions, and destruction of residences during military law enforcement operations.
1
This is an estimation as it is not possible to verify information under the current security and humanitarian conditions.
The health situation in the Gaza Strip remains extremely precarious, with continued hostilities, shortages of supplies and medical personnel, access restrictions and swiftly deteriorating health conditions. An alarming spread of disease due to lack of sanitation and clean water' was reported by UNRWA on 7 February. Yet in January, access to critical hospitals and water, sanitation, and hygiene (WASH) facilities in areas north of Wadi Gaza was overwhelmingly denied. As of 7 February, there are no fully functioning hospitals in Gaza, WHO reports, while 36 per cent of hospitals and 17 per cent of primary health care centres are only partially functional.
Israeli sources report that approximately 1,200 Israelis and foreign nationals have been killed, mostly in the attacks of 7 October, and more than 7,500 people are reported injured. More than 35 children have been reported killed. Around 250 people, including at least 36 children were abducted from Israel into the Gaza Strip, of whom 34 have been released, with very limited information available on the children remaining in captivity.
Summary Analysis of Programme Response
Water, Sanitation, and Hygiene (WASH)
The provision of adequate critical WASH services to the affected population in the Gaza Strip continued to be hindered by lack of power supply, restricted access and fuel shortages. In response to urgent WASH humanitarian needs, through the UN mechanism 1 , UNICEF provided 145,035 litres of fuel during the reporting period, which allowed the public and private water wells and desalination plants to produce clean water, benefitting more than 1,326,000 people, including over 670,000 children with lifesaving water for drinking and domestic needs in Deir Al Balah, Khan Younis, Rafah, and Middle areas.
Furthermore, UNICEF distributed 312,000 pieces of soap bars and 587 hygiene and dignity kits to affected families, benefitting more than nearly 60,000 people including 30,500 children in Khan Younis and Rafah. Additionally, UNICEF with partners, conducted hygiene good practice awareness activities at UNRWA shelters, reaching more than 28,000 people.
In response to the dire sanitation services for the internally displaced people (IDPs) in overcrowded shelters, UNICEF, through the UN mechanism, provided fuel to operate one wastewater treatment plant in Rafah, enabling wastewater treatment and safe disposal of sewage, benefiting over 275,000 people, including 140,250 children in Rafah. In addition, 582 mobile latrines were constructed benefitting more than 20,000 people including persons with disabilities.
To address solid waste and environmental hygiene needs in the overcrowded shelters, UNICEF continued to support cleaning services at 28 shelters in Khan Younis, Rafah, Der Al Balah, and Middle Areas, benefiting nearly 170,000people, including 86,300 children. Moreover, UNICEF continued its pilot of the Incentive Based Programme at Al Quds University where 100 workers were engaged in solid waste management intervention, benefitting over 30,000 people including 16,000 children. In partnership with the WASH Cluster, UNICEF is scaling up WASH service delivery in IDP hosting communities through an integrated package of WASH services.
The WASH Cluster coordinates the response in the Gaza Strip and the West Bank through sub-national coordination platforms. UNICEF continues to lead and coordinate the WASH cluster, which has 68 partners.
Health
Medical supplies such as Interagency Emergency Health Kits (IEHK) components and medical consumables were delivered to partners in the reporting period in the Gaza Strip, enough for a population of 10,000 for a period of three months, for six health facilities/locations.
Routine vaccination activities, with all antigens for routine vaccination provided by UNICEF, has resumed in the south of the Gaza Strip. In January, UNICEF in partnership with UNWRA has vaccinated 20,787 children, a coverage close to pre-war data. Vaccination activities with partners are also ongoing in the North of Wadi Gaza albeit on a low scale. Efforts to have vaccine shipments delivered to the north of the Gaza Strip have been constrained so far by access issues. UNICEF continues to participate in cluster meetings and works closely with partners to review the MoH minimum list of indictors, and is collaborating to produce a comprehensive Maternal and Newborn package as part of the wider interventions on sexual and reproductive health.
In the West Bank, a team of regional advisors' health and nutrition and country office visited the West Bank city of Tulkarem to assess the health and nutrition situation of children and women. In addition, consultations with the Ministry of Health officials were held. Due to the security situation, the Ministry reported that people have reduced access to health services, especially in isolated communities. For example, capacity to provide safe deliveries needs to be upgraded at the community level to avoid home deliveries and delayed referrals. During the visit, discussions were held
1
Through a signed agreement with UNRWA, UNICEF receives fuel to support water service providers in the operation of water and wastewater systems. UNICEF refunds UNRWA for the fuel.
with the government and partners on the nutrition and health response (including the supply plan) in the West Bank, which will feed into the UNICEF Emergency Response Plan in the immediate term.
Nutrition
Over the past two weeks, UNICEF placed particular focus on enhancing the capacity of partners in the Gaza Strip in the area of mid-upper arm circumference (MUAC) screening. Efforts have been made to expand MUAC screening to identify acute malnutrition cases, and provide treatment for severe acute malnutrition (SAM) and moderate acute malnutrition (MAM) cases using simplified approaches for the management of acute malnutrition.
of supplies provided by UNICEF included supplementary nutrition spread (MQ-LNS, 50 gm) to nearly 4,000 pregnant and lactating women (PLWs) and 42,000 children aged 6-59 months. Due to communication challenges from Gaza, not all partners were able to report their commodity distribution.
The Nutrition Cluster collaborated closely with OCHA to formulate an operational response plan for the potential ceasefire. The plan focused on prioritizing both preventive and curative supplies for pregnant and lactating women (PLWs) and children under 5 to promptly address their urgent needs. Additionally, efforts were made to enhance partners' capacities in scaling up MUAC screening, reporting, and adherence to a simplified approach for the management of acute malnutrition.
The Nutrition Cluster in Gaza continues to lead the emergency nutrition response with the participation of 13 active partners. It is actively collaborating with other sectors/cluster to address gender norms and close coordination with the Preventing Sexual Exploitation and Abuse (PSEA) working group is underway.
Child Protection
Amidst the adversities of winter and heavy rainy periods, UNICEF distributed winterization items as a lifeline service to children in sheltered areas in the Gaza Strip (Rafah, Khan Younis, and Deir Al-Balah), where Palestinians have experienced repeated displacements in search of a safe haven, exacerbating vulnerabilities. Despite the numerous challenges associated with access and logistics, commitment to delivering clothing for children in these critical times remains resolute and during the reporting period, UNICEF with partners distributed over 30,330 clothing sets tailored differently for children aged newborn to 17 years old.
Since 7 October, UNICEF has provided psychosocial support services for 70,025 people including 57,483 children. Of those people, 30,382 children received in-person structured psychosocial support services including 287 children with disabilities; 15,455 girls; and 5,473 caregivers. Furthermore, 8,642 people (4,658 children and 3,984 caregivers) were reached with educational sessions on Explosive Remnants of War in shelters. An additional 20,000 people received leaflets with explosive ordnance risk education (EORE) messages including conflict preparedness and protection (CPP) measures to reduce the risk of death and injury during hostilities.
To date, UNICEF and its partners have identified a total of 16 unaccompanied and separated children (UASC). Of those, 13 children were placed at a partner s safe place (three are children with disabilities), while another three children are awaiting to be assessed for admission (including a 7-months-old premature baby currently at Emirati Hospital, and two teenage girls referred by UNRWA staying in a UNRWA shelter). Out of the thirteen children admitted one 6-year-old girl was successfully reunited with her family. A group of six UASC siblings identified through news reports were assessed confirming the suitability of the extended family to provide informal kinship care arrangements. The pilot cash-plus programme to support kinship care provisions will start as soon as possible.
In the West Bank, including East Jerusalem, UNICEF with partners facilitated the provision of critical child protection services, including Mental Health and Psychosocial support (MHPSS), case management, legal counselling, legal aid, and child rights awareness to 489 children and 430 caregivers.
Sessions on positive parenting were carried out in key locations across the West Bank (Fawar Camp, Bardala, Aroub, Biet Skaria, Masafer Yatta, Jayyous), reaching 326 children and 40 mothers. A total of 25 child protection staff from Government and CSOs attended four sessions of the accredited child protection diploma at Bethlehem University.
The Child Protection Area of Responsibility (CPAoR) continued to coordinate the response in the Gaza Strip and West Bank. The standard operating procedures for identification, documentation, tracing and reunification (IDTR) including a shorter version for frontliners - were completed and disseminated to all members of the technical working group on UASC, while sessions on the identification of UASC were given at the Inter-Clusters Coordination Meeting, as well as at the meetings of the MHPSS cluster, the WASH cluster and the PSEA Network.
Education
UNICEF with partners continued to support the well-being of children in the Gaza Strip through the provision of recreational activities. Partners who were able to report for January 2024, reached 6,987 children, of whom 3,759 are girls, 3,228 boys, and 61 children with disabilities. 3,700 humanitarian adolescent procured and delivered to women led organizations for distribution to girls. The kits will support the girls menstrual
hygiene management (MHM). Due to the privacy nature of these supplies, distribution will be done in a safe space that will combine recreational activities and relevant information sharing for the girls.
In the West Bank, UNICEF continued to support the national education system on the adoption of the Learning Passport platform for children living in hot spot areas who are not able to reach their schools due to security issues. A pilot phase will include testing the material being developed as the Ministry of Education (MoE) is expanding for grades five and up as they finalize the basic grades 1-4. UNICEF is also working with the MoE on a national humanitarian response plan for the Gaza Strip and the West Bank. Stationery kits for nearly 20,000 children have been procured and will be distributed to children in hot spot areas in the West Bank by 9 February.
Social Protection
The telecommunications connectivity and network in general continue to be unstable and weak which has created serious challenges for the delivery of cash transfers and conducting post-distribution monitoring. UNICEF has transferred humanitarian cash assistance to 549,829 people (77,441 households) in the Gaza Strip (almost a quarter of the total population). Of those, 340,481 people (47,362 families, including 158,895 children, 16,195 people with disabilities, and 12,882 female-headed households) were supported with first round multipurpose cash assistance. This represents 53 per cent of all Multi-Purpose Cash Assistance (MPCA) provided in the Gaza Strip. The second round of multi-purpose cash assistance was transferred to 122,316 people (15,574 households). UNICEF also transferred cash payments to 100 community workers for solid waste management and disposal at Al Quds University housing 20,000 families.
Accountability to Affected Populations (AAP) / Prevention of Sexual Exploitation and Abuse (PSEA)
UNICEF continues efforts to ensure that communities have direct, safe and confidential channels for any complaint or Jerusalem. Since 7 October, 8,812 pieces of feedback and complaints have been received through feedback channels (Interagency Hotline, the PSEA network hotline and the UNICEF email). During this reporting period, 3,092 pieces of feedback and complaints were received. Communication and feedback included requests for cash assistance, information inquiries, or issues related to cash shops, as well as requests for specific products. The feedback regarding the cash programme is analyzed by the UNICEF Humanitarian Cash Transfer team to identify and resolve challenges, as well as to inform the direction of cash programming.
Access to safe and confidential channels to report sensitive information continues to be seriously compromised. There is a complete blackout of internet connectivity in Gaza city and the North; while META data reports over 7,000 active users in Beit Lahia and Rafah, a minuscule number compared to the number of IDPs in that area.
During the reporting period, the helpline provided 1,293 counselling sessions. The majority of these sessions provided services for men located in Rafah. Percentage of calls related to different forms of sexual violence is stable at around two per cent of the total calls in Gaza and the West Bank, while having fewer access constraints, shows worse records of calls of those before the war. UNICEF continues improving awareness of PSEA and safeguarding of communities through volunteers.
Support from Egypt Coordination Cell
Cumulatively, 461 trucks containing UNICEF supplies have crossed into the Gaza Strip from Egypt since 21 October 2023. During the reporting period, a total of 75 trucks with critical emergency supplies have crossed including:
- Ready-to-use therapeutic food (RUTF) to cover 1,345 children threatened by severe wasting,
- Shelter tarpaulins for 27,000 families,
- Family hygiene kits to cover 5000 families (25,000 people)
- Blankets for 22,536 people,
- Toilet soap for 21,874 people for one month,
- Sets of winter clothing for 46,000 children,
- Drinking water to serve the needs of 6,371 people,
- Emergency medical kits to cover 94 facilities (estimated 940,000).
As of 5 February, there are 273 trucks in various stages of the logistical pipeline.
Humanitarian Leadership, Coordination and Strategy
UNICEF is an active member of the UN Country Team and the Humanitarian Country Team and closely coordinates with other organizations and local partners, including women-led organisations. UNICEF also leads the coordination of the WASH and Nutrition Clusters and co-leads the Education Cluster with Save the Children. Within the Protection Cluster, UNICEF leads the Child Protection Area of Responsibility as well as the Technical Working Group on UASC. UNICEF is part of the Inter-Cluster Mental Health and Psychosocial Support Technical Working Group. UNICEF also supports the Inter-Agency Network for the Prevention of Sexual Exploitation and Abuse (PSEA) and participates in the Accountability to Affected Populations (AAP) Working Group coordinated by OCHA. UNICEF also actively participates in the Regional and National Gender and Humanitarian Working Group, coordinated by UN Women and OCHA, and contributes to gender equality programming as well as preparedness and response.
Human Interest Stories, External Media and Advocacy
Advocacy - What is UNICEF calling for?
To respond to the situation for children in Israel and the State of Palestine, UNICEF is calling for:
An immediate and long-lasting humanitarian ceasefire.
Safe and unrestricted humanitarian access to and within the Gaza Strip to reach affected populations wherever they are, including in the north. All access crossings must be opened including to sufficient fuel, materials needed to run and rehabilitate essential infrastructure and commercial supplies. Safe movement for humanitarian workers and supplies across the Gaza Strip must be guaranteed and reliable telecommunications networks made available to coordinate response efforts.
The immediate, safe and unconditional release of all abducted children, and an end to any grave violations
against all children, including killing and maiming children.
Respect and protection for civilian infrastructure such as shelters and schools, and health, electric, water, diseases, and to provide care to the sick and wounded. All parties to the conflict must respect international humanitarian law.
Urgent medical cases in Gaza to be able to safely access critical health services or be allowed to leave, and for injured or sick children evacuated to be accompanied by family members.
UNICEF continues to press world leaders on every occasion for an end to the violence and humanitarian access to the whole of the Gaza Strip.
Statements:
26.01.2024: 3 major obstacles to delivering aid in Gaza
30.01.2024: Statement by Principals of the Inter-Agency Standing Committee: We cannot abandon the people of Gaza
02.02.2024: Stories of loss and grief: At least 17,000 children are estimated to be unaccompanied or separated from their parents in the Gaza Strip
Human interest stories:
The terrible living conditions of displaced families | UNICEF State of Palestine
3 major obstacles to delivering aid in Gaza | UNICEF
Social Media:
Testimony of the 13-year-old girl, Nada, who lost her brother, her home and the access to education
-year-old Maha, in Rafah, Gaza
The situation in Gaza has gone from catastrophic to near collapse - Video of Jonathan Crickx, UNICEF SoP Chief of Communication
Each day, children in Gaza face the risk of death from the sky. Voice note of Lucia Elmi, UNICEF SoP Special Representative
UNICEF is providing tents, blankets and winter clothes to recently displaced people in Rafah
Over 1.9 million people, with half being children, are internally displaced. Voice note of Lucia Elmi, UNICEF SoP Special Representative
Every child in Gaza has been exposed to deeply distressing events and trauma, marked by widespread destruction and displacement
UNICEF continue to deliver critical medical supplies, vaccines, and medicines to support the health system. Voice note of Lucia Elmi, UNICEF SoP Special Representative
Children in the #WestBank live in constant fear and grief amid escalating violence
Next SitRep: 18 February 2024
UNICEF State of Palestine Humanitarian Action for Children 2024 Appeal: www.unicef.org/appeals/state-of-palestine Latest Situation Reports are available on: www.unicef.org/sop/research-and-reports
Who to contact for further information:
Lucia Elmi Special Representative +972 (0)2 584 0400 email@example.com
Laura Bill Deputy Representative +972 (0)2 584 0400 firstname.lastname@example.org
Jonathan Crickx Chief of Communication +972 (0)2 584 0419 email@example.com
Annex A - Summary of Programme Results (Gaza Strip and West Bank) 1
| Sector / Indicator | | | UNICEF | | | | | | CLUSTER | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | | | Total | | Cumulative | | % | | Total | | Cumulative | | % |
| | | | Target | | Result | | Progress | | Target | | Result | | Progress |
| WASH | | | | | | | | | | | | | |
| | # of people accessing a sufficient quantity | 2,050,000 | | 1,326,000 | | 65% | | 2,426,544 | | 2,011,583 | | 83% | |
| | and quality of water for drinking and | | | | | | | | | | | | |
| | domestic needs2 | | | | | | | | | | | | |
| | # of people benefitting from improved | 1,350,000 | | 495,187 | | 37% | | 2,426,544 | | 759,827 | | 31% | |
| | access to sanitation and hygiene services | | | | | | | | | | | | |
| | # of people reached with critical WASH | 1,050,000 | | 426,914 | | 41% | | | | | | | |
| | supplies (including hygiene items) | | | | | | | | | | | | |
| Health | | | | | | | | | | | | | |
| | # of people supported through UNICEF | 780,000 | | 515,785 | | 66% | | | | | | | |
| | delivered medical supplies3 | | | | | | | | | | | | |
| | # of high risks pregnant women who | 50,000 | | 5,030 | | 10% | | | | | | | |
| | benefited from medical assistance in Gaza | | | | | | | | | | | | |
| Nutrition4 | | | | | | | | | | | | | |
| | # of pregnant women receiving | 166,686 | | 21,000 | | 13% | | 197,858 | | 21,000 | | 11% | |
| | preventative iron folate or multiple | | | | | | | | | | | | |
| | micronutrients supplementation | | | | | | | | | | | | |
| | # of children 6-59 months receiving | 311,189 | | 36,866 | | 12% | | 371,859 | | 62,623 | | 17% | |
| | preventative lipid-based supplements, | | | | | | | | | | | | |
| | micronutrients supplementation, and high | | | | | | | | | | | | |
| | energy biscuits | | | | | | | | | | | | |
| # of Infants 0-6 months receiving RUIF5 | | 16,415 | | 5,856 | | 36% | | 23,551 | | 5,856 | | 24% | |
| | # of children 0-59 months with severe | 6,813 | | 0 | | 0% | | 6,813 | | 0 | | 0% | |
| | wasting admitted for treatment | | | | | | | | | | | | |
| Child Protection6 | | | | | | | | | | | | | |
| | # of children and caregivers affected by | | 596,453 | 65,859 | | 11% | | 710,000 | | 72,0857 | | 10% | |
| | conflict related violence received | | children | | | | | | | | | | |
| | emergency and child protection service | | 255,623 | 20,425 | | 8% | | | | | | | |
| | including PSS support | | caregivers | | | | | | | | | | |
| | # of children receiving explosive weapons- | 504,925 | | 4,658 | | 1% | | | | | | | |
| | related risk education | | | | | | | | | | | | |
| | # of children reached with winterization | 275,000 | | 141,215 | | 51% | | | | | | | |
| | items (including blankets) | | | | | | | | | | | | |
| | Education | | | | | | | | | | | | |
| | # of affected school aged children provided | 55,000 | | 63,443 | | 115% | | 529,084 | | 125,908 | | 24% | |
| | with recreational activities to support their | | | | | | | | | | | | |
| | well being8 | | | | | | | | | | | | |
| | # of school aged children provided with | 315,500 | | 160 | | 0.1%9 | | | | | | | |
| | essential education in emergencies | | | | | | | | | | | | |
| | learning materials | | | | | | | | | | | | |
| Social Protection | | | | | | | | | | | | | |
| | # of households reached with UNICEF- | 35,000 | | 77,441 | | 221% | | | | | | | |
| | funded humanitarian cash transfers10 | | | | | | | | | | | | |
1 The Humanitarian Action for Children (HAC) appeal for October to December 2023 was revised on 5 January and has been carried over to cover March 2024 inclusive. Accordingly, also the results against the indicators were carried over into 2024. The appeal is expected to be further revised in line with the evolving situation.
3 This result is calculated based upon the distribution of Inter-Agency Emergency Health Kits (IEHK) to health facilities and partner reports.
2 As interventions support the same population over time, UNICEF reports the maximum number of people reached each week to avoid double counting, based on the water production and trucking.
4 The communications challenges these reports are not yet received.
6 CP indicators and targets are linked to quality reach, and it is difficult to implement some activities (e.g. MHPSS level 2 and 3 interventions) during active hostilities. CPAoR partners reached a cumulative of 220,132 children with MHPSS as of 15 January 2024. Results are being updated.
5 UNICEF is committed to supporting mothers to exclusively breastfeed their infants to 6 months of age and to continue breastfeeding to age 2 and beyond with appropriate complementary foods. In exceptional circumstances, UNICEF provides breastmilk substitutes, as some infants are not breastfed or only partially breastfed during emergencies. These infants are highly vulnerable and require urgent and targeted support given their increased risk of morbidity and mortality.
7 The MHPSS cluster has been a been revised downward due to double counting in previously reported numbers
9 As most of UNRWA and public schools are now being used as emergency shelters, no learning activities have taken place since 7 October. Also, UNICEF does not count children benefitted through recreational kits as result under emergency learning materials indicator. The kits are utilized for
8 The cumulative result indicates 33,557 girls, 29,886 boys and 1,252 children with disabilities.
recreational activities and thus the service delivery is reported under the recreational activity indicator. 10 Reach with humanitarian cash transfers is reported based upon households which have received messages to redeem their cash. The response exceeds the target as the programme revised the initial strategy and has only delivered one round of transfers as compared to three rounds in the plan, with some households receiving second transfers in recent weeks. Furthermore, UNICEF has partially funded the response through loans which are not reflected in the Funding Status table.
Annex B - Funding Status 1
| | | Funds available | | | | |
|---|---|---|---|---|---|---|
| | Revised | | | | | |
| Sector | Requirements | Humanitarian | Other resources | Resources | | |
| | (USD) | resources | used for the | available from | US$ | % |
| | | received | escalation | 2022 (Carry-over) | | |
| Water, Sanitation and Hygiene | 53,388,850 | 37,272,282 | 93,972 | 629,647 | 15,392,949 | 29% |
| Health | 30,002,940 | 17,220,064 | 930,625 | 234,764 | 11,617,487 | 39% |
| Nutrition | 19,301,862 | 11,307,654 | 0 | 0 | 7,994,208 | 41% |
| Child Protection | 13,988,270 | 14,913,782 | 0 | 462,963 | 0 | 0% |
| Education | 12,469,331 | 6, 086,320 | 52,000 | 1,142,966 | 5,188,045 | 42% |
| Social Protection and Cash Transfer | 33,862,858 | 23,284,392 | 0 | 727,084 | 9,851,382 | |
| Cross-Sectoral (PSEA, AAP) | 1,544,143 | 1,474,777 | 0 | 50,146 | 19,220 | 1% |
| Cluster Coordination | 3,760,027 | 3,493,740 | 220,000 | 29,000 | 17,287 | 0% |
| Total | 168,318,281 | 115,053,011 | 1,296,597 | 3,276,570 | 48,692,103 | 29% |
*All amounts include weighted cross-sectoral costs and cost recovery.
*Social and Behaviour Change (SBC) and Risk Communication and Community Engagement (RCCE) are integrated under each programme.
*Child protection has received more funding than requested in the HAC, and therefore has a 0-funding gap. This over-funding for CP is largely due to the increased winterisation response, which will be reflected in an update to the HAC.
8 1 This reflects the updated HAC which was issued on 6 January 2024 with a revision to the funding requirements for Child Protection and Nutrition. A further revision to the HAC is ongoing to respond to the escalating needs. The funding gap by section ($ and %) reflects only the sections which are not fully funded, while the overall gap reflects the total funding received against the total funds requirement.
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LSHTM Research Online
Westermann, D; Goodman, SG; Nicolau, JC; Requena, G; Maguire, A; Chen, JY; Granger, CB; Grieve, R; Pocock, SJ; Blankenberg, S; +5 more... Vega, AM; Yasuda, S; Simon, T; Brieger, D; TIGRIS Study Investigators; (2017) Rationale and design of the long-Term rIsk, clinical manaGement, and healthcare Resource utilization of stable coronary artery dISease in post-myocardial infarction patients (TIGRIS) study. Clinical cardiology. ISSN 0160-9289 DOI: https://doi.org/10.1002/clc.22837
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Rationale and design of the "long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease in post myocardial infarction patients" (TIGRIS) study
| | Journal: | | Clinical Cardiology |
|---|---|---|---|
| | | o | |
| | Manuscript ID | | r CLC-17-0517 |
| | Wiley - Manuscript type: | | Clinical Investigations |
| | Date Submitted by the Author: | | P 17-Jul-2017 |
| Complete List of Authors: | | | e Blankenberg, Stefan; Universitäres Herzzentrum Hamburg, Klinik für |
| | | | Allgemeine und Interventionelle Kardiologie |
| | | | e Westermann, Dirk; University Heart Center Eppendorf, Department of |
| | | | General and Interventional |
| | | | r Goodman, Shaun; University of Toronto, Canadian Heart Research Centre; |
| | | | St Michael's Hospital, Div of Cardiology |
| | | | Nicolau, Jose; Heart Institute (InCor) - University of São Paulo Medical |
| | | | R School, Cardio pneumology |
| | | | Requena , Gema ; Oxon Epidemiology SL, Oxon Epidemiology |
| | | | e Maguire, Andrew; Oxon Epidemiology SL, Oxon Epidemiology |
| | | | Chen, Ji-yan; Guangdong Cardiovascular Institute, Department of |
| | | | v Cardiology |
| | | | Granger, Christopher; Duke Clinical Research Institute, Duke University |
| | | | i Medical Center |
| | | | e Grieve, Richard; London School of Hygiene and Tropical Medicine, London |
| | | | School of Hygiene and Tropical Medicine |
| | | | Pocock, Stuart J.; Medical Statistics Department, London School of Hygiene |
| | | | w and Tropical Medicine, London, England, Medical Statistics |
| | | | Vega, Ana; AstraZeneca, Medical Evidence and Observational Research, |
| | | | Global Medical Affairs |
| | | | Yasuda , Satoshi ; Kokuritsu Junkankibyo Kenkyu Center, National Cerebral |
| | | | and Cardiovascular Center |
| | | | Simon, Tabassome; UPMC-Paris 06 University, Assistance Publique- |
| | | | Hopitaux de Paris (APHP) |
| | | | Brieger, David; Concord Hospital and University of Sydney, Concord |
| | | | Hospital and University of Sydney |
| Keywords: | | | Coronary artery disease, Healthcare resource utilization, Observational, |
| | | | Trial design, Myocardial infarction |
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Rationale and design of the "long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease in post myocardial infarction patients" (TIGRIS) study
Stefan Blankenberg MD 1,2 , Dirk Westermann MD 1,2 , Shaun G. Goodman MD, MSc 3 , Jose C. Nicolau MD, PhD 4 , Gema Requena PharmD, MPH, PhD 5 , Andrew Maguire PhD 5 , Ji Yan Chen MD 6 , Christopher B Granger MD 7 , Richard Grieve PhD 8 , Stuart J. Pocock PhD 8 , Ana Maria Vega MD 9 , Satoshi Yasuda MD, PhD 10 , Tabassome Simon MD, PhD 11 , David Brieger MD, PhD 12 , for the TIGRIS Study Investigators 1 Department of General and Interventional, University Heart Center Eppendorf, Hamburg, Germany; 2 German Center for Cardiovascular Research (DZHK), Partner site Hamburg/Lübeck/Kiel, Hamburg, Germany; 3 Terrence Donnelly Heart Centre, St Michael's Hospital, University of Toronto, Toronto, Canada; 4 Heart Institute (InCor), University of São Paulo Medical School, São Paulo, Brazil; 5 Oxon Epidemiology (UK), London, UK; 6 Guangdong General Hospital, Provincial Key Laboratory of Coronary Disease, Guangzhou, China; 7 Duke Clinical Research Institute, Duke University Medical Center, Durham, USA; 8 London School of Hygiene and Tropical Medicine, London, UK; 9 Medical Evidence and Observational Research, Global Medical Affairs, AstraZeneca, Madrid, Spain; 10 National Cerebral and Cardiovascular Center, Osaka, Japan; 11 Assistance Publique-Hopitaux de Paris (APHP), UPMCParis 06 University, Paris, France; 12 Concord Hospital and University of Sydney, Sydney, Australia
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Corresponding author: Dirk Westermann, Department of General and Interventional,
University Heart Center Eppendorf, 20246 Hamburg, Germany.
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Disclosures
For Peer Review Rationale and design of the TIGRIS study
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Ana Maria Vega Employed by AstraZeneca David Brieger Speaker/consulting honoraria and/or research grant support from Amgen Inc., AstraZeneca, Bayer, Boehringer Ingelheim, Bristol Myers Squibb, Eli Lilly, Merck, Sanofi Role of the funding source The long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease (TIGRIS) study is supported by AstraZeneca AB, Södertälje, Sweden. The sponsor was involved in the study conception and design, data collection, interpretation of the data and review of the manuscript. The authors and other executive committee members were involved in the study design, analysis and interpretation of the data, in the writing and review of the manuscript, and in the decision to submit the manuscript for publication.
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Summary
Background
The long-term progression of coronary artery disease (CAD) as defined by the natural course of the disease years after a myocardial infarction (MI) is an important area of clinical research that has been poorly studied. The "long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease in post myocardial infarction patients" (TIGRIS) study was designed to address this knowledge gap by evaluating patient management and clinical outcomes following MI in different regions worldwide.
Discussion
For Peer Review Methods TIGRIS (ClinicalTrials.gov Identifier: NCT01866904) is a multi-center, observational, prospective, longitudinal study enrolling patients with history of MI 1 to 3 years previously and high-risk of developing atherothrombotic events in a general practice setting. Overall, 9,225 patients are being followed in 369 different centers worldwide, which will allow for the description of regional differences in patient characteristics, risk profiles, medical treatment patterns, clinical outcomes, and healthcare resource utilization. Patients will be followed for up to 3 years (minimum of 2 years).
We report the rationale, design, patient distribution and selected baseline characteristics of the TIGRIS study. This study will describe real-world management, quality of life, and healthcare resource utilization for patients with stable CAD at least 1-year post MI.
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1. Introduction
For Peer Review Atherosclerotic plaque ulceration, erosion, or rupture, followed by platelet activation and thrombus formation is thought to constitute the main cause of cardiovascular (CV) events. Medical management of patients after an acute coronary syndrome (ACS) is based on multiple randomized clinical trials defining the acute, typically first year, treatment after the index event. While evidence-based management has reduced mortality significantly in recent years, patients surviving the first year after an ACS remain at high-risk for future CV events. 1-4 This risk is aggravated by distinct comorbidities, including hypertension, diabetes mellitus and chronic renal dysfunction as well as a history of recurrent myocardial infarction (MI) or documented history of angiographic evidence of multi-vessel coronary artery disease (CAD). 5-7 These comorbidities will also impact on medical management.
With better survival of the first year after an ACS, the prevalence of this high-risk population is growing worldwide, and rehospitalization remains frequent and unchanged over decades. 8, 9 Therefore, it is important to establish an understanding of the demographics, treatments, and outcomes of these patients over time. The availability of the "long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease patients in post myocardial infarction patients" (TIGRIS) registry will complement the current armament of generally country-specific registries of variable design, that render extrapolation of observations to other countries and regions difficult. 10, 11 Furthermore, the limited information that is available suggests that management patterns and outcomes may vary for different nations. Direct comparisons of regional differences in post-MI
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management and outcomes would be facilitated through the standardized aggregation of this information across different countries.
The TIGRIS study was initiated to achieve this objective. The goal of TIGRIS is to provide a standardized prospective and longitudinal description of patient characteristics, events (per person years at 12 and 24 months), healthcare resource utilization and current treatment patterns as seen in a relatively unselected patient population post ACS. In this prospective observational study, patients from 25 different countries with a previous MI 1 to 3 years before enrollment in the registry and at high-risk of developing future atherothrombotic events, will be followed for up to 3 years (minimum of 2 years).
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2. Methods
2.1 Overall study design
TIGRIS (clinicaltrials.gov NCT01866904) is ongoing with a follow-up period of up to 3 years. All patients undergo routine clinical assessments and receive the standard medical care, as determined by the treating physician. Patients will not receive any experimental intervention or treatment because of their participation in the study. The overall study design and patient flow chart is shown in Figure 1.
For Peer Review 2.2 Study population TIGRIS includes patients aged 50 years or older with a documented history of presumed spontaneous MI with their most recent MI having occurred 1 to 3 years prior to enrollment, and with at least 1 of the following risk factors: ≥65 years, diabetes treated with medication, documented history of a second MI >1 year prior to enrollment, multi-vessel CAD, and/or chronic non-end stage renal dysfunction (creatinine clearance calculated by Cockcroft Gault equation 15 mL/min to <60 mL/min). All patients provided written informed consent for participation. The inclusion and exclusion criteria are described in Table 1. 2.3 Aim and objectives
The TIGRIS study will evaluate prospectively over a follow-up period of up to 3 years (minimum of 2 years), the risk for recurrent CV events in this high-risk stable post MI population. The primary objective is to evaluate clinical events and healthcare resource utilization associated with hospitalization for these events (duration of hospitalizations, and procedures) over the follow-up period. Secondary objectives are
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to describe the rate of individual ischemic events as described above, including CVrelated death and death for unknown reasons and ischemic stroke, and to evaluate the incidence of bleeding events requiring medical attention. Other objectives are to describe associations between patient characteristics with quality of life and with the use (duration, adherence, discontinuation) of evidence-based therapies, association between oral antiplatelet therapy and clinical events (ischemic, death for any cause, and bleeding; including in high-risk subgroups such as the elderly, diabetic, renally impaired, or with recurrent MI), and to describe risk factor control in this high-risk population.
For Peer Review 2.4 Site selection and patient enrollment In total, 334 sites (333 active with at least 1 patient recruited, and 1 site with no patients) have participated in the TIGRIS study in 25 countries worldwide. A National Principal Investigator (NPI) was identified for each participating country. In an attempt to obtain a representative sample at a country level, recruitment of sites and subjects was initially based on predefined selection of physicians (office-based primary care physicians and cardiologists as well as cardiologists based in hospitals with outpatient clinics) by NPIs; this was intended to provide a distribution of physicians across regions and locations (ie, urban, suburban, or rural areas). The aim was for each participating site to enroll at least 10 patients. A complete list of participating sites and principal investigators is provided in Appendix I (supplementary materials). All patients will be followed up to 3 years in accordance with the overall patient flow chart shown in Figure 1.
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2.5 Study duration and phases
The planned duration of the study is from June 2013 (first patient in) until September 2017 (last subject last visit). Data collection is performed during the initial visit, and every 6 months such that every patient will have between 2 and 3 years of follow-up. These follow-ups are conducted either by a telephone call or personal visit (Figure 1). This provides information on these high-risk patients for a period from a minimum of 1 year to a maximum of 6 years since the index MI event.
Variables from routine physical examination (heart rate, blood pressure [BP], weight, height, waist circumference) and from existing routine lab test (renal function tests, lipid profile, hemoglobin and glucose/glycated hemoglobin) if they were available and were performed within 3 months prior to the visit and up to 1 month after the visit (assuming no clinical events within this time window) were also captured in the initial visit.
For Peer Review 2.6 Study variables Variables obtained during the baseline visit were patient demographics including gender, age, race, place and type of residence, education level, and professional status. Sociodemographics including living arrangement status, income, and health insurance status were also collected. In addition, the prevalence of CV and bleeding risk factors, history of CAD and other CV disease as well as details of the medical history related to the index MI with a focus on antithrombotic medications has been assessed.
Emphasis was paid to healthcare utilization related to CV or bleeding conditions during 6 months preceding enrollment.
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Measures of health status as assessed by the EuroQol 5-Dimensions (EQ-5D) and EuroQol Visual Analog Scale (EQ-VAS) were collected at baseline. This measures self-reported health status in 5 dimensions (EQ-5D™; mobility, self-care, usual activities, pain or discomfort, anxiety or depression) with 3 levels of severity (none, moderate, severe). For each patient, a single health state value, or utility, was calculated (EQ-Index and EQ-VAS scores) and set on a scale ranging from 0 (which corresponds to death) to 1 (EQ-Index) or from 0 to 100 (EQ-VAS; which corresponds to a best imaginable state of health).
For Peer Review Information was also collected at baseline regarding clinics/outpatient center characteristics. During the follow-up period, clinical outcomes (death, CV events, and bleeding events), antithrombotic medications and other evidence-based medications, patientreported health status assessed by the EQ-5D are collected. Productivity loss such as sick leave for the patient and the caregiver which is event-related are being captured from a subset of around 10% of the study population from several countries where this information was considered particularly relevant (Nordic Region and The Netherlands). A complete list of variables captured in the study at baseline and during follow-up, are provided in Appendix II (supplementary materials).
2.7 Collection of data
The data are collected using electronic case report forms (eCRFs). Initial data collection was performed by the investigator. During the follow-up period, patients are either contacted via telephone every 6 months or attend for a study visit from the site. Follow-up phone calls are performed by either trained staff from the enrolling hospital
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or from a designated call center, in accordance with a standard protocol to assist in recording of treatments, events and medical visits.
For Peer Review At each follow-up time point predefined clinical outcome events in the study as well as the variables related to associated healthcare utilization during hospitalization are collected directly from the treating physician/hospital through a standardized event confirmation eCRF and hospital module in the eCRF respectively in accordance with the following protocol. If, during interview, the patient or relative reports a predefined CV or bleeding-related hospitalization, the treating physician or hospital is contacted for confirmation of this event. Further information allowing determination of final diagnosis, primary cause of hospitalization, duration of hospital stay, procedures and interventions, and related healthcare resource utilization during hospital stay is collected from the treating physician or hospital directly through a standardized hospital module in the eCRF. If a death occurred, efforts are made to identify the cause of death (CV-related or non-CV) through the death certificate where available, or relatives, physicians, hospitals where it is not. 2.8 Statistical methods and sample size determination
This is a descriptive observational study without predefined hypothesis testing. The primary objective is to describe the incidence of CV events (time to first occurrence of any event from the composite CV endpoint of MI, unstable angina with urgent revascularization, stroke or death from any cause). The envisaged statistical methods included the description of the patients in accordance with their inclusion risk factors that define high-risk CAD: ≥65 years; treated diabetes; documented history of a second MI >1 year prior to enrollment; multi-vessel CAD; and/or chronic renal
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dysfunction. Medication, and specifically the use of antithrombotic medication, over the study period will be described in terms of use at specific time points during followup, as well as the duration of antithrombotic medication and changes in regimen. EQ5D data collected during the study will be reported descriptively. Healthcare resource utilization associated with events reported during the follow-up period will be assessed.
For Peer Review Events will be calculated both as risk (cumulative incidence) and rate using person-time methods whereby follow-up either terminates at the first occurrence or is censored at the last contact with the patient. No formal power calculation has been undertaken for this descriptive study. Sample size was primarily driven by the country's needs based on payer requirements from their markets. Initially a sample size of 10,170 patients was estimated; due to delays in ethical approval in some countries, 9,225 patients were ultimately recruited into the study. 2.9 Ethics approval
The final protocol was approved by the relevant ethics committee from each country, and the site ethics committee. The study is being performed in accordance with ethical principles consistent with the Declaration of Helsinki revision, International Conference on Harmonization Good Clinical Practice guideline, and the applicable legislation on non-interventional studies.
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2.10 Funding and responsibilities
TIGRIS is sponsored by AstraZeneca and is non-interventional in nature, with no drugs being supplied or funded. The TIGRIS Executive Committee comprises 12 members (7 cardiologists, 1 clinical pharmacologist, 1 health economist and 1 statistician, and 2 representatives from AstraZeneca). The executive committee with support from AstraZeneca is responsible for the design and conduct of this study, and all study analyses.
Characteristics of patients in TIGRIS are shown in Table 2. Patients in Asia-Pacific and South America were younger, hence the risk factor age over 65 years was less frequently met as an inclusion criterion; there was a higher percentage of patients with treated diabetes mellitus in these 2 regions compared to patients from Europe or North America. On the other hand, the percentage of patients with a second prior MI (before the index MI) was higher in Europe and North America, while multi-vessel
For Peer Review 2.11 Participating regions The participating regions were: Asia-Pacific, with 5 countries: Australia, China, India, Japan, and South Korea (n = 2,850 patients, 31%); Europe with 13 countries: Belgium, Denmark, Finland, France, Germany, Italy, Netherlands, Norway, Portugal, Romania, Spain, Turkey, and the UK (n = 4,240 patients, 46%); North America: Canada and USA (n = 1,024 patients, 11%); and South America, with 5 countries: Argentina, Brazil, Colombia, Mexico, and Venezuela (n = 1,111 patients, 12%) (Table 2 and Figure 2). 2.12 Patient characteristics
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CAD was seen more frequently in patients from North America and Asia-Pacific. The rates of chronic renal dysfunction were similarly distributed worldwide.
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3. Discussion
This report describes the rationale and design of the TIGRIS study, which is unique in being a study of unselected patients that reflects the heterogeneity of patients who have stable CAD but are at high-risk. Specifically, TIGRIS will address regional differences in patient characteristics, clinical outcomes, medical treatment patterns, and healthcare resource utilization of patients with high-risk of future CV events 1 to 3 years post MI.
Recently, Jernberg and colleagues published outcome data from a large Swedish national registry including 108,315 patients after MI with long-term followup. 12 Overall, 10% of the patients died during the hospital stay and within 1 week after hospital discharge, and an additional 12.3% over the following year. The cumulative rate of the CV composite outcome, including recurrent MI and stroke and CV death, was 18.3% in the first year after a MI. The CV risk remained high with 9.0% in the next 12 months and 20.0% in the following 36 months. Similarly,
For Peer Review The risk of future CV events in patients with a history of MI is increased by comorbidities like diabetes mellitus, chronic kidney disease as well as the age and the complexity of CAD. While many randomized clinical trials have addressed this risk with emphasis on the first 12 months after an MI, little is known about the risk of subsequent ischemic events beyond this time in a "real-world" population. The improved survival post MI and the aging population are creating an emerging population for whom there is a problematic knowledge gap; specifically, there is a growing number of patients with a remote history of MI for whom there is little evidence to guide appropriate treatment.
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Rapsomaniki and colleagues investigated patients aged 65 years and older from 1 year following a MI in the 4-nation APOLLO study. The adjusted risk of mortality over the subsequent 3 years ranged from 12.8% to 19.5%; the corresponding risks of hospitalized bleeding events ranged from 2.7% to 4.9%. 13 These data, derived from datasets from France, Sweden, the United States and the United Kingdom, were generated for a variety of purposes using different collection and validation methodologies, hence it is difficult to ascertain whether the variation in event rates between countries reflected real differences, or variations in methodology.
For Peer Review In 2 recently reported acute dual antiplatelet therapy randomized clinical trials, mortality risk (Kaplan-Meier) in the 12 months following randomization were generally low eg, for PLATO (4.5% ticagrelor; 5.9% clopidogrel) 14 and TRITON (3% prasugrel; 3.2%; clopidogrel). 15 PEGASUS investigated the long-term addition of ticagrelor to aspirin initiating treatment 1 to 3 years after a MI. 16 The 3-year Kaplan-Meier mortality risk was 5.2% in the aspirin arm, substantially lower than that observed in the APOLLO program. Therefore, it is clear, compared to more selected and generally younger patients within randomized clinical trials, the unselected population has a substantially higher risk. 17 This emphasizes the need for 'real-world' data collected using standardized rigorous consistent methodology to access outcomes during the years following a MI.
In addition to the provision of representative, general practice evidence, a major strength of TIGRIS is the focus on different countries. Notably, 30% of study patients derive from Asia-Pacific and 12% from South America, areas where the availability of such information is relatively limited. This study has already shown that
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post-MI patients from Asia-Pacific and South America are younger and have a higher incidence of diabetes mellitus compared to patients from Europe or North America. Given these baseline differences in populations, TIGRIS will provide unique information on comparative outcomes and healthcare resource utilization in the years after a MI. Interpretation of these outcomes will be greatly aided though the recording of medical management patterns in different international settings and their association with clinical outcomes.
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4. Conclusion
In conclusion, TIGRIS is a unique study that documents demographics, comorbidities, treatment patterns and outcome data in unselected stable CAD patients with previous MI in general practice settings. Data are being collected internationally in a rigorous, standardized and consistent fashion providing a relevant picture of both the burden of recurrent events and variability in management and outcomes in this poorly studied patient population.
2
Acknowledgements
The authors would like to thank the patients, their families and all investigators involved in this study. Assistance with project management, site management, data management, and regulatory affairs was provided by Worldwide Clinical Trials Evidence Group, Nottingham, England, United Kingdom. Medical writing support was provided by Carl V Felton PhD of Prime, Knutsford, UK, in accordance with Good Publication Practice guidelines (Link) and funded by AstraZeneca. AstraZeneca was involved in the study design, collection, analysis and interpretation of data, as well as data checking of information provided in the manuscript. However, ultimate responsibility for opinions, conclusions, and data interpretation lies with the authors.
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References
1. Simms AD, Weston CF, West RM, et al. Mortality and missed opportunities along the pathway of care for ST-elevation myocardial infarction: A national cohort study. Eur Heart J Acute Cardiovasc Care. 2015;4:241-253.
2. Puymirat E, Schiele F, Steg PG, et al. Determinants of improved one-year survival in non-ST-segment elevation myocardial infarction patients: Insights from the French FAST-MI program over 15 years. Int J Cardiol. 2014;177:281-286.
3. Puymirat E, Simon T, Steg PG, et al. Association of changes in clinical characteristics and management with improvement in survival among patients with ST-elevation myocardial infarction. JAMA. 2012;308:998-1006.
4. Fox KA, Carruthers KF, Dunbar DR, et al. Underestimated and underrecognized: The late consequences of acute coronary syndrome (GRACE UKBelgian Study). Eur Heart J. 2010;31:2755-2764.
5. Nauta ST, Deckers JW, van der Boon RM, et al. Risk factors for coronary heart disease and survival after myocardial infarction. Eur J Prev Cardiol. 2014;21:576-583.
6. Min JK, Dunning A, Lin FY, et al. Age- and sex-related differences in all-cause mortality risk based on coronary computed tomography angiography findings results from the International Multicenter CONFIRM (Coronary CT Angiography Evaluation for Clinical Outcomes: An International Multicenter Registry) of 23,854 patients without known coronary artery disease. J Am Coll Cardiol. 2011;58:849-860.
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7. Zengin E, Bickel C, Schnabel RB, et al. Risk factors of coronary artery disease in secondary prevention--results from the AtheroGene--study. PLoS One. 2015;10:e0131434.
8. Krumholz HM, Nuti SV, Downing NS, et al. Mortality, hospitalizations, and expenditures for the Medicare population aged 65 years or older, 1999-2013. JAMA. 2015;314:355-365.
9. Chen HY, Tisminetzky M, Yarzebski J, et al. Decade-long trends in the frequency of 90-day rehospitalizations after hospital discharge for acute myocardial infarction. Am J Cardiol. 2016;117:743-748.
10. Chan MY, Du X, Eccleston D, et al. Acute coronary syndrome in the AsiaPacific region. Int J Cardiol. 2016;202:861-869.
11. Gitt AK, Bueno H, Danchin N, et al. The role of cardiac registries in evidencebased medicine. Eur Heart J. 2010;31:525-529.
12. Jernberg T, Hasvold P, Henriksson M, et al. Cardiovascular risk in postmyocardial infarction patients: Nationwide real world data demonstrate the importance of a long-term perspective. Eur Heart J. 2015;36:1163-1170.
13. Rapsomaniki E, Thuresson M, Yang E, et al. Using big data from health records from four countries to evaluate chronic disease outcomes: A study in 114 364 survivors of myocardial infarction. Eur Heart J Qual Care Clin Outcomes. 2016;2:172183.
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14. Wallentin L, Becker RC, Budaj A, et al. Ticagrelor versus clopidogrel in patients with acute coronary syndromes. N Engl J Med. 2009;361:1045-1057.
15. Wiviott SD, Braunwald E, McCabe CH, et al. Prasugrel versus clopidogrel in patients with acute coronary syndromes. N Engl J Med. 2007;357:2001-2015.
16. Bonaca MP, Braunwald E, Sabatine MS. Long-term use of ticagrelor in patients with prior myocardial infarction. N Engl J Med. 2015;373:1274-1275.
17. Chung SC, Gedeborg R, Nicholas O, et al. Acute myocardial infarction: A comparison of short-term survival in national outcome registries in Sweden and the UK. Lancet. 2014;383:1305-1312.
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Figure legends
Figure 1: Study design
MI, myocardial infarction; QoL, quality of life
Figure 2: Patient enrollment in "long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease patients in post myocardial infarction patients" (TIGRIS) by country and region
2
Table 1: Inclusion and exclusion criteria
Inclusion criteria
Exclusion criteria
* Age ≥ 65 years
* Diabetes mellitus requiring medication
* Documented history of a second prior presumed spontaneous MI (>1 year ago)
* Documented history of angiographic evidence of multi-vessel coronary artery disease
* Chronic, non-end stage renal dysfunction (15 mL/min ≤ creatinine clearance calculated by Cockcroft Gault equation <60 mL/min)
MI, myocardial infarction
For Peer Review · Presence of serious/severe comorbidities in the opinion of the investigator which may limit life expectancy (<1 year) · Current participation in a blinded randomized clinical trial · Patients receiving treatment with ticagrelor beyond 12 months, or off label use of ticagrelor
* Presence of any condition or circumstance which in the opinion of the investigator could significantly limit the complete follow-up of the patient (eg, tourist, non-native speaker or does not understand the local language where interpreter services are not reliably available, psychiatric disturbances, alcohol or drug abuse)
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Table 2: Patient characteristics
CAD, coronary artery disease; CrCl, creatinine clearance; MI, myocardial infarction
P-values estimated using Chi square test
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Figure 1: Study design 118x86mm (300 x 300 DPI)
2
Figure 2: Patient enrollment in "long-Term rIsk, clinical manaGement and healthcare Resource utilization of stable coronary artery dISease patients in post myocardial infarction patients" (TIGRIS) by country and region
For Peer Review 242x138mm (300 x 300 DPI)
| Iwate Medical University | Y Morino |
|---|---|
| St Luke's International Hospital | Y Nishi H Niinuma |
| Saiseikai Kumamoto Hospital | K Nakao |
| F Kimitsu Chuo Hospital | T Himi |
| o Kumamoto University Hospital | r S Hokimoto P |
| Fujita Health University | e Y Ozaki |
| Sapporo Medical University Hospital | T Miura |
| Hirakata Kohsai Hospital | S Kitaguchi |
| Fukuoka University Hospital | K Saku |
| Kitasato University Hospital | J Ako |
| Nippon Medical School Hospital | W Shimizu |
| Chikamori Hospital | K Kawai |
| Chiba University Hospital | Y Kobayashi |
| Fukui CardioVascular Center | S Mizuno |
| Ehime Prefectural Central Hospital | Y Kazatani |
|---|---|
| Ishikawa Prefecrual Central Hospital | H Kanaya K Miwa |
| F Tohoku University Hospital | H Shimokawa |
| o Yokohama City University Medical Center | r N Maejima P |
| Osaka City University Hospital | e Y Minoru |
| Gunma Prefectural Cardiovascular Center | R Kawaguchi |
| Seiyu Memorial Hospital | Y Tomoguchi |
| Shizuoka Hospital | T Onodera |
| Tokushima Red Cross Hospital | S Hosokawa |
| National Cerebral and Cardiovascular Center | M Ishihara; T Noguchi |
| Juntendo University Shizuoka Hospital | S Suwa |
| Oji General Hospital | T Matsumoto |
| Hyogo Prefectural Amagasaki General Medical Center | T Miyamoto |
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| Centre Hospitalier de Versailles | J L Georges | J B Azowa |
|---|---|---|
| CH St Joseph St Luc - LYON | O Dubreuil | S Rio |
| Hôpital de bligny | A Ohanessian | |
| CHU de la Timone, Marseille | T Cuisset | |
| Centre Hospitalier Sud Francilien, Service de cardiologie | P Goube | P Brito |
| F Germany | | |
| o NPI: S Blankenberg | | |
| Klinikum Leverkusen gGmbH | r P Schwimmbeck | I Wenzel |
| Robert-Bosch-Krankenhaus | P T Schäufele | I Wenzelburger |
| Medizinische Klinik II am UKSH Campus Luebeck | e A Joost | A Constantz; C Lüttecke; M Werner |
| St. Josefs Hospital | S Lüders | e U Venneklaas; I Medizin |
| Univ.-Klinikum | E Giannitsis | r H Deigentasch; S Stegmaier |
| Klinikum Coburg gGmbH | J Brachmann | R A Hoehn; U Göbel |
| Klinikum Stadt Ludwigshafen Herzzentrum | U Zeymer | e H Tolksdorf; S Baumann; N Veth-Leonhardt; P Riedmaier |
| Kliniken Maria Hilf GmbH | J vom Dahl | v U Gareis; B Krug-Hoeren |
| Carl-von-Basedow-Klinikum Merseburg | R Prondzinsky | i D Brosseit; S Koegel |
| Elisabeth-Krankenhaus | O Bruder | e E Blank; V Reuter; M Steffen |
| Universitäres Herzzentrum Hamburg | D Westermann | w M Redlefsen; E P Tigges; M Hermes; I de Boer; M Redlefsen; M Karakas |
| Universitätsmedizin der Johannes Gutenberg- Universität Mainz | T Gori | I Walther; K Schulz |
| Kardiologie am Tibarg | F Stahl | J Schiller |
| University Heart Center Köln (Cologne) | V Rudolph | I Berg |
| Sana Kliniken Lübeck | J Weil | M Miodek; T Köllner |
| Heidekreis-Klinikum GmbH | T Wittlinger | A-K Cohrs; V Wiechern |
| Vivantes Humboldt-Klinikum | S Behrens |
|---|---|
| CardioMed an der Alster | B Subin |
| Charite, Campus Benjamin Franklin | M Gross; SM Leistner |
| Kardiologischen Gemeinschaftspraxis am Park Sanssouci Potsdam (St. Josefskrankenhaus) | R Gaub |
| F o Krankenhaus Dresden-Friedrichstadt II. Medizinische Klinik, Dresden | S Schellong |
| Cardiologicum Hamburg Praxis Wandsbek | r E Schmidt |
| University of Ulm Medical Center | S Markovic |
| Katholisches Krankenhaus St. Johann Nepomuk Medizinische Klinik II | P e H Ebelt |
| Kardiologische Praxis | J Bott |
| Klinikum Frankfurt Höchst GmbH | C Kadel |
| Medizinisches Beratungs- und Therapie-Zentrum Chemnitz GmbH | K Kleinertz |
| Städtisches Klinikum München GmbH | H Mudra |
| Vivantes Klinikum Neukölln | H Darius |
| Universitätsklinikum Erlangen | S Achenbach |
| Synexus Frankfurt Research Centre, Frankfurt | C Contzen |
| Synexus Berlin Research Centre, Berlin | J Stößel |
| Synexus Leipzig Research Centre | K Kreutzmann; O Maus |
| Synexus Bochum Research Centre | A Rinke |
| Bundeswehrzentralkrankenhaus Klinik für Innere Medizin | C Bickel |
| NPI: C Cavallini | | |
|---|---|---|
| Ospedale Santa Maria della Misericordia | C Cavallini | E Grikstaite |
| Presidio Ospedaliero Ca' Foncello, Treviso | Z Olivari | P Pantano |
| Ospedale del Delta, Lagosanto | GF Percoco; R Mazzucco | |
| Centro Cardiologico Monzino | G Marenzi | M De Metrio |
| F Ospedale Pediatrico Apuano G. Pasquinucci | S Berti | KJ Tyack; E Koni |
| o A.O.U. Federico II | PP Filardi | T Losco; S Conte; L Casaretti |
| Ospedale Misericordia e Dolce di Prato | r F Pestelli | |
| Azienda Ospedaliera Universitaria Policlinico Paolo Giaccone di Palermo | P e S Novo | C Vicari; C Paleologo |
| Cardiologia del Policlinico S. Orsola di Bologna | A Branzi; C Rapezzi | e G Melandri; G Norscini |
| Azienda Ospedaliera per l’Emergenza “Cannizzaro” | A Fiscella; C Condorelli | r R M Pardini |
| Ospedale Unico della Versilia | G Casolo | e M Pardini; L Robiglio; F Vivaldi |
| ASL Sassari Ospedale Civile S.S. Annunziata | P F Terrosu | v C Podddighe; C Denurra; G Sanna; A Canu; E Mura |
| Azienda Ospedaliera di Rilievo Nazionale Antonio Cardarelli | C Mauro | i e D D'Andrea; A Sasso; F Furbatto |
| w The Netherlands | | |
| NPI: AFM Kuijper | | |
| BovenIJziekenhuis | M van de Wetering | L Klijn; SJ Groeneveld |
| Rijnstate Ziekenhuis | FF Willems | E Maasen; J Marx; A Dekker; E Verhaah; P Verhoeven |
| Tergooiziekenhuizen, loc. Blaricum | G Hoedemaker | M van der Zeijst |
| IJsselland Ziekenhuis | B J Berg van den | I Hendriks |
| Reinier de Graaf Gasthuis | E Ronner | A Wissenburg; L van Setten van der Meer; L van der Hout; A Dijkshoorn |
|---|---|---|
| HagaZiekenhuis, loc. Leyenburg | M JW Götte | M Hugo; E Karijodikoro; C de Jonge; H de Lange-van Bruggen |
| Slingeland Ziekenhuis | JCM Hal van; DAAM Schellings | |
| Ziekenhuis Gelderse Vallei | F den Hartog | D van Wijk; M Singerling |
| F Martini Ziekenhuis | GL Bartels | M Hendriks - van Woerden; B van der Roest; Z Aukema-Wouda |
| o Kennemer Gasthuis - locatie EG | r JF Küpper | J Vooges; C Kalkman |
| Röpcke Zweers Ziekenhuis | HP Beijerbacht | M Beijering; B Baarslag |
| Atrium Medisch Centrum | P T Lenderink | I Kremer |
| Spaarne Ziekenhuis | e AFM Kuijper | M Schiks; E Bayraktar |
| Orbis Medisch Centrum | MERM van Daele | e r O Douven; M Bouwens |
| Gelre Ziekenhuizen, loc. Zupthen | NYY Al-Windy | R T Tiemes; M van Nistelrooy |
| Ziekenhuis Bethesda | SHK The | e F Geerlings; J Krikken |
| v Norway | | |
| i NPI: F Kontny | | |
| Stavanger Universitetssjukehus Helse Stavanger | D Nilsen | e S Moen; T Brugger-Andersen; V Ponitz |
| Diakonhjemmet Sykehus | EH Oie | w H Muriq; RU Quazi |
| Sykehuset Ostfold | RAM deBoer | |
| Portugal | | |
| NPI: C Gavina | | |
| Unidade Local de Saúde de Matosinhos | C Gavina | C Ponte; M Centeno; H Maia; I Goncalves; R Barrades; J Tavares |
| Unidade Saúde Familiar Santo André de Canidelo | F Ferreira | L Alves |
| Unidade Saúde Familiar São João | P Santos | C Franclim |
| Hospital de Santiago | JF Santos | |
|---|---|---|
| Hospital da Cruz Vermelha | F Matias | |
| Hospital da Luz | D Ferreira | MB Fonseca |
| Hospital de Faro | J Mimoso | W Santos; J Amando |
| Unidade Local de Saúde do Alto Minho | R Lima | R Lima; CC Dias; C Mateus; V Enes; G Silva |
| Hospital de Braga | A Gaspar | J Oliveira; M Goncalves |
| F Romania | | |
| o r NPI: S Balanescu | | |
| Spital Judetean de Urgenta | G Stanciulescu | |
| Spital Clinic Judetean Urgenta Arad | P D Darabantiu | AM Pop; CD Patrascanu |
| Spital Clinic de Recuperare | e D Zdrenghea | I Gusetu |
| Spitalul Judetean Drobeta-Turnu Severin | N Trocan | e r V Toman; J Cristian |
| Spitalul Clinic de Urgenta Bucuresti | M Dorobantu | O Tautu; I Petre; A Deaconu |
| Spital Clinic Municipal de Urgenta | M C Tomescu | R I M Citu |
| Spitalul Universitar de Urgenta Elias | S Huidu | e L Ionescu |
| Centru Clinic de Cardiologie | R Musetescu | v D Toader |
| Spitalul Judetean de Urgenta 'Sf. Pantelimon' Focsani | C Bengus | i e M Miron; M Burca; V Ochean |
| Spital Judetean de Urgenta Braila | M Bogdan | w L Serban |
| Spitalul Monza Bucuresti | S Balanescu | C L Caldararu; T Cristion-Razvan; A Linte; A Georgescu |
| Spital Clinic de Urgenta Sf. Pantelimon | L Protopopescu | |
| Spitalul Clinic Judetean de Urgenta Sibiu | I Manitiu | M Teodoru; C Zagoni |
| Clinica Polisano | M Vladoianu | O Purcar; R Dobrin |
| Institutul de Boli Cardiovasculare Timisoara | L Petrescu | D Maximov; R Dan; R Nicola |
| Spain | | |
| Heart Center Research LLC | N K Mann | B Lamb |
|---|---|---|
| The Miriam Hospital | P Gordon | L Felix; J A Gomes |
| Heart and Vascular Center of West TN | E Korban | A Harrington |
| Jackson Cardiology Associates PC | R Mehta | Kristy Watkins |
| Baylor Research Institute | M McKenzie | R Buckner; IS Mohiuddin |
| Cardiovascular Specialists of Central Maryland | K Friedman | T Burley |
| F Harbor - UCLA Medical Center | WJ French | CC Morales |
| o Duke | r TY Wang | S Decker; R Mehta |
| North Ohio Research Ltd | W Sheldon | A Bohn; K Humphrey; M Fazio |
| Clearwater Cardiovascular and Interventional Consultants | P e JK Amin | M Cameron; L Selker |
| Heart Care Center | M Baig | e C Yough |
| Virginia Heart | T Haddad | r J Jain; D Overbeck |
| Eastern Maine Medical Center | A Wiseman | R A Coombs |
| Northwest Heart Clinical Research, LLC | A Soni | e S Bellini; D Golen |
| Virginia Cardiovascular Associates | H Taheri | v K Morgan |
| South FL Research Group, LLC | J Roberts | i K Shatsky |
| UNC Heart and Vascular Center | P Kaul | e A Que-Xu |
| UPMC Heart and Vascular Institute - Shadyside | K Tummalapalli | w M Travis; A Malecky |
| South Miami Hospital | J Ghitelman | J Jean-Mary |
| Cardiology Associates of New Jersey | A Schwarcz | |
| Long Island Cardiovascular Consultants | R D'Agostino | L Lavelle |
| CAPRI LLC | R Davidson | S Davidson |
| Apex Research Institute | J Duffy (Tonkon) | J Dolen; M Gonzalez |
| Robert Packer Hospital | E Kaluski | C Lanning (Lorraine Barten) |
| St. Vincent Medical Group | JS Rossi | J Gall |
|---|---|---|
| Southern Medical Group, P.A. | W Batchelor | P Knap |
| South America | | |
| Argentina | | |
| NPI: JLCN Estrada | | |
| F Hospital Italiano de Buenos Aires | JLCN Estrada | E Castillo |
| o Fundación Favaloro para la Investigación y la Docencia Médica | r EA Duronto | L Arrechavala |
| Hospital Central de Mendoza | P RBS Zarandon | O Caruso; G Segui |
| Sanatorio El Carmen | e EA Falu | MC Iriarte |
| ICBA - Instituto Cardiovascular de Buenos Aires | MS Trivi | e A Navarro |
| Instituto de Cardiología Juana Francisca Cabral | SM Macin | r MJG Salazán; L C Vargas |
| Sanatorio Profesor Itoiz | CA Rapallo | R V Ferreiro; R Santos |
| Sanatorio Modelo de Quilmes S.A. | AD Hrabar | e CM Funosas; A Cappi |
| Hospital Universitario Austral | HE Fernandez | v G Marinsalta; J-M Bonorino |
| Sanatorio Los Arcos | SM Rahabani | i |
| Sanatorio Mayo Privado S.A. | DJ Anauch | e M Barrionuevo |
| Hospital Español | DL Paolantonio | w A R Quiroga; I Gribaudo; G Matkovich |
| Hospital Privado Centro Médico de Córdoba S.A. | OA Salomone | N Konicoff |
| Brazil | | |
| NPI: JC Nicolau | | |
| Hospital Santa Isabel | APM Kormann | A Marchi; J Spricigo |
| Hospital Universitário UFMS | DG da Silva Jr | RM Uehara; R Nakasone |
| Instituto do Coração de Marília | JC Ferreira | L Silva; D Funai; D Rodrigues |
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APPENDIX II: Study variables and healthcare resource utilization
| Variable | Details |
|---|---|
| Baseline / Enrollment | |
| Clinic/outpatient center type | University General Hospital (UGH), n = 49; non-UGH, n = 144; Other type of hospital/clinic (CCU/cardiology/cardiovascular/research), n = 137; Private clinic, n = 24; Ambulance, n = 10 |
| Patient characteristics | Gender, age, race (latter if allowed by local regulations) |
| Place of residence | Rural, metropolitan |
| Educational level | Measured by years of education due to differences in degree programs across countries |
| F Professional status | Employed, self-employed, unemployed, homemaker, retired, student, sick leave, maternity leave, disability pension |
| o Type of residence | Home, nursing home, etc. |
| Living arrangement status | r Living alone, not living alone |
| Income | Only in countries where feasible |
| Health insurance status | P Only in countries where feasible |
| Cardiovascular risk factors | e Hypertension, hyperlipidemia, diabetes mellitus, obesity, smoking, family history of CAD |
| Major bleeding risk factors | e History of major bleeding or severe liver disease |
| History of other CVD | r PAD, HF, stroke, TIA, ICD, permanent pacemaker, VTE, valve repair/replacement, AF |
| Medical history re index MI 1 to 3 y prior | R Date of occurrence and management strategy (PCI, CABG or medical) |
| Antithrombotic medication use | e Antiplatelets (incl OTC aspirin), and anticoagulants since last MI; v dose, duration, switching, planned/unplanned treatment interruptions and reasons eg, intolerance, hypersensitivity, GI bleeding, other i bleeding complications, other GI side effects |
| Medical conditions that may impact antithrombotic therapy use or study outcomes | e History of peptic ulcer, renal-, liver-, disease, and lung-disease, other w indices precluding frailty, previous invasive surgical treatment considered relevant by the investigator |
| Medication use at enrollment | Oral antiplatelets, anticoagulants, antidiabetic drugs, lipid-lowering agents, ACE inhibitors, ARBs, diuretics and β-blockers, and antidepressants |
| Healthcare resource use related to cardiovascular or bleeding conditions during the 6 months preceding enrollment | Medication use, and resource use related to medical visits/procedures/investigations: GP or specialist visit, ER admission, number of event-related hospitalizations and duration of stay, and procedures and interventions performed |
| Routine physical examination | Heart rate, seated blood pressure, weight, height, waist circumference (if current normal practice) |
| Laboratory safety measures | Serum creatinine (renal function), lipid profile (total cholesterol, HDL, LDL, triglyceride), hemoglobin and glucose/HbA1c; if available and performed within 3 months prior to the visit or 1 month after |
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ACE, angiotensin-converting enzyme; AF, atrial fibrillation; ARB, angiotensin receptor blocker; CABG, coronary artery bypass graft; CAD, coronary artery disease; CVD, cardiovascular disease; ER, emergency room; GI, gastrointestinal; GP, general practitioner; HbA1c, glycated hemoglobin; HCP, healthcare professional; HDL, highdensity lipoprotein; LDL, low-density lipoprotein; HF, heart failure; ICD, implantable cardioverter defibrillator; ICU, intensive care unit; MI, myocardial infarction; OTC, over the counter; PAD, peripheral artery disease; PCI, percutaneous coronary intervention; TIA, transient ischemic attack; TIMI, 'Thrombolysis In Myocardial Infarction'; VTE, venous thromboembolism
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T H HE T TAT T TOO
email@example.com
MAKING A PERMANENT IMPRESSION SINCE 1994
VOLUME 12 No. 8
Just darkness and the cry of crickets
By SAMANTHA PEREZ
The Tattoo
Saturday, Sept. 3, 9:09 p.m., Provencal, Louisiana —
I do not belong here. I do not, I do not, I do not. I don't belong in a place like this. I am not a country girl. I'm really not a city girl, either. I'm just a Perez from St. Bernard, just like the hundreds of other Perez clan members. I do not belong in this place.
But this is the place I'm in, and I'm grateful, to an extent. I'm so grateful that these people are letting us stay in their yard, offering us a spare trailer and a place for our camper. I am grateful for their hospitality and kindness, but that doesn't change the fact that this is a place in which I was not made to be.
There's no water here, and it makes me want to cry so much. I look outside the window of the trailer, and there's nothing but grass, trees, and the downward slope of the hill. There are two houses on this giant lot, as well as their trailer (which they lent to us) and our camper. We had dinner in the house farthest from the camper. The son of the lady offering us part of her home was in town from Houston, and he fixed an amazing spaghetti dinner.
We had to walk there in the dark. There are no lights at night in this place. No stars were out tonight, either. It was just dark. No lights over the river. No orange haze coming over the levee, the lights of ships in the Mississippi River just across the street. Nothing — just darkness and the cry of a million crickets.
I want to go home.
This morning, I finally overslept. Overslept? No, I take it back. I finally honestly slept. Good sleep, for the first time in over a week. It felt good. The first thing I knew was that Mom was shaking me. The man bringing the television was here.
I felt absolutely horrible that I was not dressed to greet him. Mr. Long came into our hotel room, 129, and put the television there on the bed. He put a remote next to it. I wanted to cry.
Why is everyone being so nice? I went over and hugged him, telling him thank you so much. Now, my parents can have the news in the camper, now they can know what's going on when they move. I can never thank Jo Lynn and the Longs, people we didn't even know, for coming to our aid. We put the television in the camper today. It was absolutely perfect!
I can never thank everyone enough for all that they are doing for me and my family. I've been making a list of those that I need to thank. As soon as I get settled in, I'm writing hundreds of thank you notes to everyone that has helped me. I'll write them, even though everyone deserves so much more.
We drove to Provencal today, a few miles outside of Natchitoches, Louisiana. It's so rural. I knew from the second that I stepped out of the car that I did not belong in this place. I smiled and hugged everyone, but looking around, I knew. This place wasn't made for me, and I was not made for it.
I slept most of the day, which I felt so guilty about. My mom and dad set up the trailer, making it home. I wasn't feeling well — my throat has been
Josh Gales / The Tattoo
Hurricane Katrina tossed these cars along a stretch of Interstate 90 on the Mississippi coast.
hurting the last few days. I think I'm starting to get sick, and I dozed off when I sat down in a giant chair. I was just that tired.
to.
there in the dark, dark, dark. The hisses of crickets were trumpets bringing me home.
I woke up with mosquito bites all down my leg — the first thing like
Being a gypsy is fun for a time, but it's hard. There's no one to talk to about this. Everyone is depending on me, expecting me to be strong, but really, I need someone now.
I miss home, you know. I miss my house, my home, my life there.
home in this place. So far, it's the only. I miss home, and it's really starting to show. I miss coming home and having to climb over my fence, school skirt swaying, because I left the gate clicker inside the house. I miss my door, wooden engravings deep and old, giant curly flowers in the wood. I miss the thick brown carpet. I miss my bed. I miss my desk. I still remember the scent it had when I opened the cabinet door, the warm smell of my computer's tower mixing with the comforting smell of wood. I miss so many things about my home. We don't even know how long it'll be before they'll let us back into the parish, to save what we can and realize all that we lost.
A part of me misses Shelby still, but so much has happened. He's something in the Old World now, something that was washed away in the hurricane, something that cannot be salvaged, like paper, wet and faded, after soaking in 13 feet of water for five days.
There's a dead wasp on the carpet here, just a foot away. I'm scared of bees.
What day is it? It's really just a blur. I miss home, you know. I miss my house, my home, my life there. Hide it inside. Be strong for everyone else. That's what everyone needs now. They need someone to depend on. I won't let them down. No tears. Want to cry. Can't cry. Won't cry. Keep on going. Day to day. Move in tomorrow. So very scared. Keep inside. Mom needs to think I'm okay. Otherwise, she'll cry. Be strong. Keep it going. Roll with the punches. Punch, punch. Roll with it, baby. Ride the tiger.
Can I go home now? I really want Spaghetti dinner. I made my way
Josh Gales / The Tattoo
A house near Bay St. Louis, Miss. after Katrina hit on August 29.
The best teen journalism in the w orld.
The best teen journalism in the w orld.
For questions, For questions,
But this isn't home. I walked in. You have to turn the handle to close the door behind you. You can't just let it swing closed. That was annoying. So many people were there. One man was tall and round and wearing a white cowboy hat. I thought of my shrimp boots at home. I miss home.
The chef was named Jeff, the man from Houston. His wife was very nice, and he was very fat. He was funny, though, and he made my plate, even though I said I would do it myself. His wife handed me the gallon of milk after she asked what I would like to drink. I poured the milk into a red, plastic cup. Our glasses at home were nice.
Jeff fixed me a large plate, and I stood at the counter and started eating. Mom and Dad came a minute later. They had taken a bit longer than I did because Mom had been crying again. Dad was hugging her when I walked into the camper to ask if they were ready. She walked over and gave me a tight hug, gripping my back and pulling me close, as if her life depending on holding me in that hug.
"You don't have to go to that school! Don't go if you are going to be miserable! I want to go home, Sam. I want you to go to Hannan and have your senior ring and graduate with your friends. I want you to be happy!"
She cried, and I said it was okay. Be strong. No tears. Keep them inside. Roll with the punches. Punch, punch. Ow.
So they were late to the dinner. I sat on a stool at the wooden table in their dining room. Jeff and his wife, Kristy and Jean, and Mom sat with me. Mom's eyes weren't red or puffy. I wondered why, because she had been crying so hard just a few minutes before.
I ate only half of the plate. I haven't been eating much this summer, and now, I've only eaten those cereal packs I stole every morning in the free breakfast. Ah, the good life.
The spaghetti was amazing. Mom loved it, too. She said Jeff should stay and not go back to Houston. Jeff laughed. He took a bite of his own spaghetti. It was a big spoon, but I thought he was going to eat it, too. Jeff is nice though, so I didn't smile when I thought of him eating the spoon.
I left the dinner after I finished my milk, said I was going to take my shower early and not get in the way tonight. I haven't taken my shower yet. I need to. I don't want to get in the way.
I'm going take my shower now, because that's what I need to do. I'll be moving into the dorm tomorrow, sharing a bathroom with five other girls, six of us all together. I'm so nervous about starting school. I wish someone were here for me to talk to.
I really need someone here. I don't want to be a rock. I don't want to be an island. I was both at a time, but then I worked hard and made a happy life. Where did it go?
Oh, yeah. I remember. Katrina washed it away.
.READTHETA.READTHET
comments or to join, comments or to join,
TT A OO TT
Let me go home
Saturday, Sept. 3, 10:30 p.m., Provencal, Louisiana —
A wasp in the shower. Scared of bees. Buzz, buzz. Toilet broke. Gurgle, buzz, buzz. Dirt on the floor. And the water once came from a well. Can I please go home now? Please? I don't want this anymore. I don't belong here. Everyone knows it. I wasn't made for this! Let me go home. Please, bring me back to the water, to the river, to the canals. Bring me back to the marsh where I belong, where my family lives down the street, not across the country. Bring me back home, please. Please. I want home.
Parents are back from the Far Away House. Spaghetti taste on their tongue. Wipe away tears that I won't let fall. Wipe away. Buzz, buzz, gurgle from the bathroom. Can't let it show.
About the hurricane journals
These are the eighth and ninth installments of an ongoing series by Samantha Perez, a Louisiana 17year-old whose family fled its St. Bernard Parish home shortly before Hurricane Katrina slammed ashore last month.
Two printed pages, containing the first parts, appeared on Sept. 9 and 10 in The Bristol Press. A third ran in Friday's paper.
Join
Tattoo readers all over the
world as they follow this young writer’s moving story.
The entire series, including later entries, is posted online. Check it out at: www.ReadTheTattoo.com.
Previous journal entries:
August 29, 2005 --
Last days in St. Bernard
Parish, Louisiana
August 30, 2005 --
Fleeing Katrina
August 30, 2005 --
First news from home
Wednesday, August 31, 2005 --
The Bossier City blues
Thursday, September 1, 2005 --
Raisin Bran and gypsies
Thursday, September 1, 2005 --
Back to school?
Friday, September 2, 2005 --
Wine and celebration!
Keep reading here and online. Perez is still writing.
.COM.COM
visor s Ste
visor ve Collins and Jac
s Ste kie Majerus at (860)523-9632.
ve Collins and Jac kie Majerus at (860)523-9632.
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news letter Tanhana Dharmma Mangrva l 90 th edition, January 2017 THE NATIONAL RESILIENCE OF THE REPUBLIC OF INDONESIA
Lemhannas RI
03
08
09
Inauguration of Top Official in Lemhannas RI
Baseline and Lemhannas RI's 2018 Priority Program Arrangement Workshop
January 2017,90
th edition
Preliminary Briefing of BPK RI Inspection on Lemhannas RI's Financial Statements 2016
l
letter Lemhannas RI
table of content
2 French Defense Attache Pays a Courtesy Call on Governor of Lemhannas RI
4 Defense Attache of Iran pays a Courtesy Call on Governor of Lemhannas RI
3 Inauguration of Top Officials in Lemhannas RI
5 Courtesy Call between Chairman of GMKI and Governor of Lemhannas RI
7 Courtesy Call between the Governor of Lemhannas RI and the PSMTI Board
6 Commemoration Ceremony of 88th Mother's Day.
8 Lemhannas RI's 2018 Baseline and Priority Program Arrangement Workshop
10 Inauguration of Echelon III and IV Officials of Lemhannas RI
9 Preliminary Briefing of BPK RI Inspection Lemhannas RI's Financial Statements 2016.
11 ALPEKSI Chairman Pays a Courtesy Call on Governor of Lemhannas RI
12 Courtesy Call between Alumni of Strengthening Program of National Values Batch IV and Governor of Lemhannas RI
editorial board
Director:
Arif Wachyunadi
Official-in-Charge:
E. Estu Prabowo
Editor:
Wahyu Widji Pamungkas
Copy Editor:
Bambang Iman Aryanto
Editorial Staff: Ni Made Vira Saraswati, C. Hildamona Permatasari, Magista Dian Fitrilia
Design: Bambang Iman Aryanto
Photographer: Suryadi, Suyono, Dwi Jayanto
Secretariat: Linda Purnamasari, Gatot
Distribution: Supriyono, Ayu Novitasari Editorial Addres:
Biro Humas Settama Lemhannas RI,
10 th Medan Merdeka Selatan Street, Central Jakarta , 10110.
Phone. (021) 3832108, 3832109
Fax. (021) 3451926
Websitehttp://www.lemhannas.go.id
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letter Lemhannas RI
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French Defense Attache Pays a Courtesy Call on
Governor of Lemhannas RI
Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo welcomed the representatives of the French Defense Attache Lt. Col. (L) Gael Lacroix in Executive Guest Room, Trigatra Building 1st Floor, Lemhannas RI to pay a Courtesy Call on Monday (19/12). In the Courtesy Call, Gael Lacroix said that so far, the cooperation between France and Indonesia are already well underway. Therefore, Gael Lacroix wanted to strengthen the cooperation between both countries.
In addition, this seminar will be held twice in the form of small forum and the seminar itself which will be implemented at the end of the year 2017 by involving many parties.
Gael Lacroix also said that French Defense Attache will hold a seminar and hoped Lemhannas RI will be able to participate in the seminar. This seminar, said Gael Lacroix, is unlike other common seminar but an occasion for exchanging of views and also to discuss maritime security issues that will be discussed in the seminar later.
Agus Widjojo responded positively. He said that the agenda that has been determined in the seminar was very interesting and appropriate to be discussed. Agus Widjojo also said that he would set up a schedule to be present at the seminar. Courtesy Call ended with a photo session.l
January 2017,
Inauguration of Top Officials
in Lemhannas RI
future Lemhannas RI will be able to in crease its performance and achievement. Agus Widjojo also congratulated newly installed Echelon I and II Officials and said his gratitude to former Echelon I and II Officials.
In his remark, Agus Widjojo conveyed that in this inauguration, there was some hopes to the newly installed officials to give new and innovative ideas that will increase institution's
In addition, Agus Widjojo explained further that duties given to the newly installed officials are not only an honor but also mandates, challenges, and test. "Let us carry this noble mandate with sincerity, to do the best, for the institutions that we love," said Agus Widjojo.
Tampubolon, Rear Admiral Ir. Yuhastihar, Rear Admiral Dedy Yulianto, S.H., Rear Admiral Agung Pramono, S.H., M.Hum., Brig. Gen. Simson Moeratno, Brig. Gen. Sudjari, S.I.P., M.SI., Air Commander Antonius Sri Munada, S.E.,M.M., and Col. (P) Erman Syafril, S.H., M.H.. Meanwhile Echelon I and II who was off from his position was Rear Admiral F.X. Agus Susilo, S.E.,M.M..
O performance.
n Tuesday (20/12), Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo officially inaugurated and released several Top Officials of Lemhannas RI in Nusantara Room, Trigatra Building 1st Floor, Lemhannas RI. Echelon I and II Officials Inaugurated were Maj. Gen. Sakkan
The duties given to the newly installed officials are not only an honor but also mandates, challenges, and test. "
Echelon I and II Officials, continued Agus Widjojo, has a very important and strateging role in implementing policy and their leader's strategy. Echelon I Officials should be able to
Also attended the inauguration were Deputy Governor of Lemhannas realize the assigned policy and Echelon II Officials should be able to process and establish a strategy in order to support the achievement of various programs and goals of the institution.
Moreover, explained Agus Widjojo, Echelon I and II Officials are expected to create sinergy among work units in Lemhannas RI. Before finishing his remark, Aguw Widjojo hoped that in the
Puruhito, S. E., M.M., Principal Secretary Commisioner General of Police Drs. Arief Wachyunadi, Deputy of Strategic Studies Prof. Dr. Ir. Djagal Wiseso Marseno, M. Agr, Faculty Members, Structural Officials of Lemhannas RI and Perista Boards.l
January 2017,90
th edition
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RI Air Marshal Bagus letter Lemhannas RI
Defense Attache of Iran pays a Courtesy Call on Governor of Lemhannas RI
epresentatives of the Defense Attaché of the Republic of Iran visited Lemhannas RI to pay a Courtesy Call (CC) on Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo in Executive Guest Room, Trigatra Building 1st Floor, Lemhannas RI on Tuesday (20/12). Colonel Shahriar Dasin was welcomed by Governor of Lemhannas RI accompanied by Professional Expert of Diplomacy and International Relations Sebastianus Sumarsono, S.I.P..
R
In addition, Agus Widjojo also explained the duties and functions of Lemhannas RI. The first is holding education programs for national leaders cadres from Military, Police, Civil, Politician to community leaders. The second is Implementing strengthening program of national values for various community groups, and the third is carrying out assessment related to the actual and stretegic issues.
Shahriar Dasin in the Courtesy Call said that his visit to Lemhannas RI is to collaborate more closely in terms of education system, science and technology. In addition, the Defense Attaché of the Republic of Iran also wants to strengthen the cooperation in military in the form of training and also discussed the Iran and Indonesia relationship in general.
national resilience. Resilience, said Agus Widjojo, is Indonesia's "elasticity" in facing threats emerging from outside and and stick with the philosophy of this nation.
Lemhannas RI, said Agus Widjojo, also held a training about nationalism for local officials. Materials provided for participants of education for national leaders and local officials and also strengthening program of national values sourced from the Four National Basic Consensus. Then, Courtesy Call was followed by more detailed discussion on the tasks and functions of Lemhannas RI. Courtesy Call was ended with the exchange of souvenirs and
Shahriar Dasin said that his visit to Lemhannas RI is to collaborate more closely in terms of education system, science and technology. "
Agus Widjojo responded positively. Agus Widjojo then briefly described the history of Lemhannas RI and
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January 2017
Courtesy Call between Chairman of GMKI and Governor of Lemhannas RI about Nationalism
G overnor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo accompanied by Rear Admiral Ir. Yuhastihar and Head of Protocol and Documentation welcomed Chairman of GMKI Sahat M.P. Sinurat together with the General Secretary of GMKI Alan Cristian Singkali along with some GMKI Boards for 2016-2018 period in Executive Guest Room,
Resilience is like rubber, when it is pulled away, it will return to its original shape "
Trigatra Building 1st Floor, on Tuesday (20/12). In the CC, Sahat revealed that during this time, GMKI is not only emphasizing spirituality in the cadre of administrators and board members but also stressed the importance of nationalism. In addition, GMKI always cooperate with several interfaith youth organizations to continue to maintain the unity and integrity of this nation.
Agus Widjojo responded positively. Agus Widjojo then briefly described the history of Lemhannas RI which had already changed from National Defence Institute into National Resilience Institute. national resilience, continued Agus Widjojo, described as "rubber". "Resilience is like rubber, when it is pulled away, it will return to its original shape," said Agus Widjojo. Agus Widjojo hoped the Youth in GMKI can join nationalism training at Lemhannas RI which is in line with the opinion of GMKI Chairman that the National Resilience. The hearings ended
the role of Non-State is very important in keeping
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with a photo session.
January 2017,90
th edition
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letter Lemhannas RI
Commemoration Ceremony of 88 th Mother's Day
Mother's Day holds each year to commemorate and appreciate the struggle of Indonesian women, who have fought together with men for Indonesia's Independency and struggled to improve quality of life. This was stated by the Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo read the speech of the Minister of Empowerment of Women and Child Protection in Commemoration of the 88th Mother's Day in Central Field, Lemhannas RI on Thursday (23/12).
development based on the spirit of unity.
On the Commemoration of the 88th Mother's Day 2016, the involvement of Men's role and family in development also plays an important element for the elimination of all forms of discrimination and other acts of violence and shared efforts for the welfare of this nation.
The speech emphasized that Mother's Day was also showed that the struggle of Indonesian women, has taken a very long process in achieving equality with the role and position of men, considering both men and women are potential resources that determine the success of development. Mother's Day Momentum is also used as a reflection about many efforts that have been made in order to advance the women's movement in all areas of development.
Meanwhile in the contemporary era, Mother's Day is expected to pass on the noble values and fighting spirit embodied in the history of the struggle of women to all Indonesian society especially the future generation in order to strengthen the determination and spirit to continue together this nation's
In addition, 88 years struggle has led many successes for women and men in the face of various global and multidimensional challenges especially the struggle for gender equality in Indonesia.
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January 2,
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This Mother's Day ceremonies attended by all Top officials and staff in Lemhannas RI.l
At the end of the speech, the Minister of Empowerment of Women and Child Protection invited all people, especially Indonesian women to continue to work, to able to maintain an independent figure, creative, innovative, self-confidence and improve the quality and capability of herself so women and men can be a great power in this nation's development.
Mother's Day is expected to pass on the noble values and fighting spirit embodied in the history of the struggle of women to all Indonesian society especially the future generation. "
017
Courtesy Call between the Governor of Lemhannas RI and PSMTI Board
n The Executive Guest Room, Trigatra Building 1st Floor on Friday (23/12), Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo accompanied by Deputy of Strengthening of National Values Rear Admiral Dedy Yulianto and Chief of Public Relations Bureau Public Commodore E. Estu Prabowo, M.Sc. welcomed the visit of ChineseIndonesian Social Association (PSMTI) which is represented by the Chairman of PSMTI of Jakarta Branch and its to nationalism for PSMTI Officials. The training later is expected to grow a spirit of nationalism to PSMTI board and members in carrying out their duties in the organization based on Four National Basic Consensus.
" In carrying out their duties in the organization, the PSMTI Board need to be equipped with deeper understanding on nationalism.
I board.
implementation of the training for PSMTI Boards will be the PSMTI Board need to be equipped with deeper understanding on nationalism.
During the visit, Chairman of PSMTI said that in carrying out their duties in the organization,
Therefore, he hoped Lemhannas RI can provide training related
Governor of Lemhannas RI responded positively. Agus Widjojo said that regarding the time and duration of followed up, assisted by Deputy of
Strengthening National Values Rear Admiral Dedy Yulianto. The Courtesy Call then ended with a group photo session.l
January 2017,90
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letter Lemhannas RI
Lemhannas RI's 2018 Baseline and Priority Program Arrangement Workshop
hief of Planning and Finance Bureau Air Commander Yoyok Yekti Setyono gave a presentation in a workshop on Baseline and Lemhannas RI's 2018 Priority Program Arrangement after a routine morning assembly in Gadjah Mada Auditorium, Pancagatra Building 3rd Floor on Monday (16/1).
will be implemented in fiscal year 2018. The program must be
C
In addition, Yoyok also hope that the results of Lemhannas RI's budget absoprtion can be published to the public through a variety of ways , for example is with Running Text on television. By doing that, the public is expected to know the achievements of Lemhannas RI's budget absorption.l
In the workshop that will be held over two days, Yoyok Yekti Setyono said that Lemhannas RI should start arranging baseline and priority programs that will be implemented in 2018. The program must beand baseline program that suitable with policies adopted by the Government.
In addition to the baseline and priority programs, each work unit must develop new program which is not included in the baseline and priority programs. if there is no new program, eork unit baseline will only consist of regular work program which carried out annualy.
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In addition to the baseline and priority programs, each work unit must develop new program which is not included in the baseline and priority programs . "
January 2017,
edition
Preliminary Briefing of BPK RI Inspection on
Lemhannas RI's Financial Statements 2016
emhannas RI held Preliminary Briefing of BPK RI Inspection on Lemhannas RI's Financial Statements 2016 in Nusantara II Room, Trigatra Building 1st Floor, Lemhannas RI on Monday (16/1). Preliminary Briefing was attended by the First Deputy of Examination Team of BPK RI Arief Senjaya, S.E., M.M. A.K., C.A. and Examination Team of BPK RI.
BPK RI on Financial Statements of 2015."It (WTP Predicate given) can be separated from coordination and consultation with BPK RI and also their guidance," sadi Agus Widjojo.
On the occasion, Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo said that according to Article 23 E of the 1945 Constitution of the Republic of Indonesia that BPK RI is responsible
L
In the inspection, said Agus Widjojo, there will be dynamics between the inspection team of BPK RI with work unit of Lemhannas RI which became the object of inspection. Agus Widjojo hoped both Lemhannas Ri and BPK RI can cooperate and coordinate well in order to continue to establish harmonious relationships by maintaining and promoting the independence of audit institutions.
to conduct management inspection and financial statements to encourage the establishment of Transparent and accoountable financial management. Therefore, Examiner From BPK team has a responsibility to implement the inspection to be reported to the parlianment.
In addition, Agus Widjojo expected all Top Officials in every work unit in Lemhannas RI who became the object of inspection in order to fully support the implementation of BPK RI inspection through good cooperation by providing documents and information which become the scope of BPk RI's inspection.
Since achieving Reasonable With Exception (WDP) Predicate in assessment audit on the financial statements of 2014 by BPK RI, Lemhannas RI continues to improve its performance in accordance with bureaucratic reform agenda. The results of these improvements is proved by Reasonble Without Exception (WTP)Predictae given by
Agus Widjojo also asked each unit to prepare the documents required by BPK RI inspection team so as to facilitate the process of opinion-making by BPK RI on the management of state budget by Lemhannas RI. Furthermore, added Agus Widjojo, each work unit Top Officials should immediately follow up on the findings of BPK RI so the inspection settlement process can be proceed smoothly. The Preliminary Briefing closed with group photo session.l
January 2017,90
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letter Lemhannas RI
Inauguration of Echelon III and IV Officials of Lemhannas RI
Taken place in Nusantara Room, Trigatra Building 1st Floor, Lemhannas RI on Tuesday (17/1), Deputy Governor of Lemhannas RI Air Marshal Bagus Puruhito, S.E., M.M., on behalf of Governor of Lemhannas RI inaugurated and released Echelon III and IV Officials. In Governor's remark which was read by the Deputy Governor stressed that the position or a title is not a right, but an obligation that must be carried out with full sense of responsibility. Position can make someone justly or unkind, it all depends on the management and the attitude in carrying out the duties.
controlling the execution of all activities carried out by staff or executive officers.
Before ending his remark, Agus Widjojo congratulated the newsly installed Echelon III and IV Officials and expressed his gratitude for the devotion of officials off from their positions.
In addition, in his speech, Agus Widjojo said that echelon III and IV should always develop their competency, improve their knowledge and ability to assist management in formulating and implementing policies by upholding the values and regulations.
In carrying out the duties, continued Bagus Puruhito, Top Offcials will monitor and evaluate the performance of newly installed officials. Therefore, the echelon III and IV officials should show their potential so that they can carry out the tasks assigned for progress of Lemhannas RI.
Echelon III position according to Law No. 5 of 2014 about State Civil Apparatus said as office administrator, while Echelon IV position is supervisor. The position of administrator is responsible for leading the implementation of all activities and government administration, while the position of supervisor responsible for
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Position or a title is not a right, but an obligation that must be carried out with full sense of responsibility. "
January 2017,
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Also attended the inauguration were Principal Secretary Commisioner General of Police Drs. Arif Wachyunadi, Deputies, Faculty Members, Structural Offcicials of Lemhannas RI and Perista.l
ALPEKSI Chairman Pays a Courtesy Call on Governor of Lemhannas RI
A
LPEKSI (Association of Instituites for Human Resources Capacity Enhancement) Chairman Ridwan Daali, S.E. accompanied by the Secretary General of ALPEKSI H. Arfah Said Arsyad, A. Md. Payd a Courtesy Call with Governor of Lemhannas RI Lt. Gen. (Ret.) Agus
Currently, continued Ridwan Daali, there have been nearly 100 human resources development institutes joining ALPEKSI. In addition, ALPEKSI has also established cooperation with several government institutions. The focus of ALPEKSI itself, said Ridwan Daalii, is on improving the human resources capacity of the primary actors in governance.
Widjojo in Executive Guest Room, Trigatra Building 1st Floor, Lemhannas RI on Tuesday (17/1).
In this Courtesy Call, ALPEKSI hoped to send some Officials of Regional Legislative Council until Village Officials to obtain a training on nationalism in Lemhannas RI.
" ALPEKSI hoped to send some Officials of Regional Legislative Council until Village Officials to obtain a training on nationalism in Lemhannas RI
On the occasion, Ridwan Daali wanted to stay in touch with Governor of Lemhannas RI. In addition, Ridwan Daali also said that ALPEKSI is an association of Instituites for Human Capacity Enhancement for local
Agus Widjojo respond positively to it while asking for things in detail about the participants who will attend the training on nationalism leaders through, technical assistance, seminars, and workshops. By increasing human resource capacity, ALPEKSI hoped government program can run well and there will be a good relations between local government and central government.
later at Lemhannas RI as well as several other detailed things.
Audiensi tersebut ditutup dengan sesi foto bersama antara jajaran ALPEKSI dan Lemhannas RI.l
January 2017,90
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letter Lemhannas RI
Courtesy Call between Alumni of Strengthening Program of National Values Batch IV
and Governor of Lemhannas RI
A
held national seminar at the University of Indonesia with the speaker from Lemhanans RI. The open discussion later is expected to be a place to discuss several actual issues with public.
In the Courtesy Call, one of the alumni representative mentioned that addressing the situation in current society, Taplai alumni wanted to hold a share or an open discussion with public by involving several parties lumni of Strengthening Program of National Values (Taplai) batch IV 2014 of Lemhannas RI paid a Courtesy Call on Governor of Lemhannas RI Lt. Gen. (Ret.) Agus Widjojo in Executive Guest Room, Trigatra Building 1st Floor, Lemhannas RI on Wednesday (18/1).
Agus Widjojo positively respond the idea and hoped that it can be implemented properly so that it can provide national insight to the community. The Courtesy Call was then followed by further discussion.
including Lemhanans RI. Previously, Taplai Alumni batch IV have
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Accompanied Governor of Lemhannas RI were Deputy of Strengthening national Values rear Admiral Dedy Yulianto, Chief of Cooperation Bureau Brig. Gen. Ivan Ronald Pelealu, Chief of Public Relations Bureau Commodore E.Estu Prabowo, M.Sc., and Director of Strengthening Program and Development Brig. Gen. of Police Drs. Rafli, S.H..l
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90th,
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An Explorer's Guide to the Nether
Nether Nightmare
Escape from the Nether! (Minecraft)
Down into the Nether
Never Say Nether
Diary of Steve the Adventurer (Book 2)
Minecraft: Guide to the Nether & the End
Nether Treasure
An Explorer's Guide to the Nether
Diary of a Nether Hero Trilogy (an Unofficial Minecraft Book for Kids Ages 9 - 12 (Preteen)
Alex and the Wither King
Minecraft Nether
Minecraft Official the Nether and the End Sticker Book (Minecraft)
Minecraft: Open World--Into the Nether (Graphic Novel)
Nether Ghost (Diary of a Minecraft Wolf #3)
The Journey Into the Nether
Escape from the Nether! (Minecraft)
Minecraft Nether
Minecraft, le guide Nether & Ender
Battle for the Nether
Minecraft Nether Portal
Herobrine Episode 8
Minecraft: The End
Minecraft The Nether And The End Sticker Book
Downloaded from amsd.per.gov.i
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HEATH LAM
The Journey Into the Nether: Part 1 Createspace Independent Publishing Platform Difficile de survivre au milieu des périls du Nether et de l'Ender. Il va falloir améliorer ton niveau de jeu si tu veux revenir sain et sauf dans l'Overworld. Le guide officiel Minecraft du Nether et de l'Ender t'apprend à agir dans ces mondes hostiles, à affronter leurs monstres et à y découvrir des blocs rares. Rempli d'astuces et de conseils des experts de Mojang, voici le guide le plus complet sur la survie dans le Nether et l'Ender.
Tales of an 8-Bit Kitten: Lost in the NetherDel Rey
"Survival is difficult in the perilous Nether and End dimensions, and you'll need to up your game if you want to make it back to the Overworld. The official Minecraft : Guide to the Nether & the End will teach you how to navigate the alien terrain, battle the native mobs and find rare blocks and items. With insider info and tips from the experts at Mojang, this is the definitive guide to survival in the Nether and the End." -- page [4] of cover
Escape from the NetherCreateSpace
Eeebs isn't a very disciplined kitten. His mom warned him not to play in the forest, but he didn't listen. That's how he found himself in the Nether, a bizarre world inhabited by scary creatures. In the company of a ghast, almost cheerful witch, Eeebs develops supernatural powers. Will this be enough to fight against Endernova's army, the Enderman, who want to rule over the Overworld? In order to save his friends, Eeebs must become the champion of the Nether, as the prophecy of The Chosen One tells . . .
Battle for the NetherCreatespace Independent Publishing Platform
Will can hardly wait to explore the Nether with his best friend, Mina. But when his perfect older brother insists on coming along, Will's excitement fades—he is sure he doesn't need Seth's protection! To prove it, Will challenges every mob they meet along the way to a fight. Will's battle skills are improving, but when the trio reaches the Nether, they're quickly in over their heads—and Will's showing off puts everyone in danger! Can he learn to work together with his brother in order to survive? Beginning readers and young gamers alike will root for Will and Seth in this fourth installment in the Secrets of an Overworld Survivor series! This adventure series is created especially for readers who love the fight of good vs. evil, magical academies like Hogwarts in the Harry Potter saga, and games like Minecraft, Terraria, and Pokemon GO.
MinecraftCreatespace Independent Publishing Platform
Survival is difficult in the perilous Nether and End dimensions, and you'll need to up your game if you want to make it back to the Overworld. The official Minecraft: Guide to the Nether & the End will teach you how to navigate the alien terrain, battle the native mobs and find rare blocks and items. With insider info and tips from the experts at Mojang, this is the definitive guide to the Nether and the End in Minecraft. This ebook is best viewed on a color device with a larger screen. Collect all of the official Minecraft books: Minecraft: The Island Minecraft: The Crash Minecraft: The Lost Journals Minecraft: The Survivors' Book of Secrets Minecraft: Exploded Builds: Medieval Fortress Minecraft: Guide to Exploration Minecraft: Guide to Creative Minecraft: Guide to the Nether & the End Minecraft: Guide to Redstone Minecraft: Mobestiary Minecraft: Guide to Enchantments & Potions Minecraft: Guide to PVP Minigames Minecraft: Guide to Farming Minecraft: Let's Build! Theme Park Adventure Minecraft for Beginners Minecraft Simon and Schuster
Out of all the places in Minecraft that people like to go the Nether isn't normally one of them, Alex however loved going into the Nether because you never knew what was going to happen. For instance, you may get caught in the middle of a group of pigmen and accidentally hit one or maybe you find a blaze spawner and the blazes aren't happy with you. But the one thing she never imagined happening would be a run in with the Nether king himself; the Wither! Find out what happens when the most powerful monster in the Nether and Overworld decides to attack! Tales of an 8-Bit Kitten: Lost in the Nether CreateSpace
Now that you've mastered the Overworld, the time has come to brave the perilous Nether and End dimensions. But survival will be even more difficult here and you'll need to up your game if you want to make it back to the Overworld in one piece. The official Minecraft Guide to the Nether and the end will help you survive as you navigate new terrain, discover new hostile mobs and attempt to collect unique materials. Learn how to kill fire-resistant mobs in the Nether and repurpose Nether fortresses, then master the art of defeating the ender dragon and explore the outer islands of the End dimension. With insider info and tips from the experts at Mojang, this is the definitive guide to exploration and survival in Minecraft. Minecraft is a multi-platform block-based gaming sensation available on Xbox, PlayStation, PC and mobile devices. Whether you're in Creative, Survival or Hardcore Mode, the official Mojang-approved Minecraft books contain all the advice you need to survive and thrive. Collect all of the official Minecraft series to become the best Minecrafter you can be: Minecraft Blockopedia Minecraft: Exploded Builds: Medieval Fortress Minecraft The Survivors' Book of Secrets Minecraft Beginner's Handbook, Minecraft Construction Handbook, Minecraft Combat Handbook Minecraft Redstone Handbook
Minecraft: The MountainCreatespace Independent Publishing Platform
Brett and his friends are running low on ingredients to craft potions and take a trip to the Nether. While gathering Nether Wart and Soul Sand from a fortress, they hear a noise in a room. They enter the room and see a hole in the wall and hear cries coming from the other side. They crawl through the hole to help the unknown person, but wind up in another time period in the Nether. They have to help someone from the future get home. Using their skills from future time travel adventures, they must help this stranger get home. Will they survive the Nether? Will they get this person home? And should they trust this person who tells them stories about what the world will be like a hundred years in the future?
Minecraft Guide to the Nether and the EndRandom House Worlds
A young boy embarks on a journey that takes him from the quaint life in the Over World to deep dark depths of danger. What is he destined for?Alex lives on his uncle's farm but dreams of a bigger life. When his uncle is kidnapped by skeletons one night, Alex must leave the life he knows to find his uncle. But what starts off on a simple rescue mission ends up as something much more. Alex discovers that his family is connected through the ages to the monster that resides in The End.Will Alex be able to save his uncle and the Over World from the disturbances in The End or will he end up becoming what his family history and blood drag him towards – leading the Ender Dragon to destroy the Over World?"Journey Into the Nether: Part 2" is the second book of a three part series. A gripping tale of adventure with an unlikely hero at the center of it all, "Journey Into the Nether" will keep you captivated right from the first page. From the creators of the best-selling "The Amazing Tale of Steve" comes yes another thriller that you're sure to enjoy.
Diary of a Nether Hero (Book 1) Random House Books for Young Readers When a mysterious meteor shower occurs on Minecraft, Steve grows suspicious. Are Aliens invading? When Steve asks around and shares his thoughts, everyone laughs at him. The mockery only further frustrated confused Steve, so he decided to investigate on his own. When Steve comes back from the library, his family is missing. He knew something bad was going to happen and no one believed him! It is now up to Steve to rescue his family and go on an epic Nether adventure! Please note that this is not an official Minecraft book. We are not affiliated with Minecraft. Minecraft is a registered trademark and copyright of Mojang/Notch.
Minecraft Guide CollectionCreateSpace
Jay goes to the Nether. Will he find treasure? Follow him and see! This book is perfect for early readers, with full color pages and easy to read words. It is the third book of the Unofficial Minecraft Early Reader Stories. NOT AN OFFICIAL MINECRAFT PRODUCT. NOT APPROVED BY OR ASSOCIATED WITH MOJANG.
The Journey Into the Nether: Part 2 Andrews McMeel Publishing
Stevie and Alex thought they defeated Herobrine completely, but they soon discover that he's still on the loose. He has returned to Stevie's nightmares, taunting him with threats to now destroy the human world. The prophecies on music discs suggest that only Stevie and Alex, plus Maison, Destiny and Yancy, their friends from the human world will be able to defeat Herobrine. But the prophecies also warn that one of the friends will betray the rest, putting all the worlds at risk. Tensions run high as the group must figure out how to save the world while they try to discern the traitor in their midst. Maison, It isn't long before the traitor is discovered. Stevie and Alex find themselves separated from the others and must first journey into the Nether to find a special treasure that will enable them to confront Herobrine. The clock is ticking as they put their heads together to survive in the fiery depths of the Nether. Monsters are waiting for them around every corner and it won't be much longer before they come face-to-face with Herobrine, who has become more powerful than ever. Sky Pony Press, with our Good Books, Racehorse and Arcade imprints, is proud to publish a broad range of books for young readers—picture books for small children, chapter books, books for middle grade readers, and novels for young adults. Our list includes bestsellers for children who love to play Minecraft; stories told with LEGO bricks; books that teach lessons about tolerance, patience, and the environment, and much more. While not every title we publish becomes a New York Times bestseller or a national bestseller, we are committed to books on subjects that are sometimes overlooked and to authors whose work might not otherwise find a home.
Minecraft the Nether and the End Sticker Book Simon and Schuster Harriet, Jack, and Toby are treasure hunters, searching the Minecraft world for its most valuable hidden secrets. In an abandoned mineshaft, they discovered a lost journal that once belonged to William, a legendary explorer who has gone missing. The first journal took them on a daring adventure to a secret temple deep in the desert. Now they have the second journal, and they're more determined than ever to find the missing explorer. The treasure hunters build a portal and travel to the Nether. Even with the help of the second journal detailing survival strategies for the dangerous biome, the gang is in trouble when they realize two sinister treasure hunters, Valentino and Veronica, are trailing them. Will they make it out alive, or are they in over their heads this time? This is the second book in the new Lost Minecraft Journals series. The chapters of each book alternate between the journal entries (William's story) and the story of the treasure hunters. Fans of Minecraft won't want to miss this wild new adventure. Sky Pony Press, with our Good Books, Racehorse and Arcade imprints, is proud to publish a broad range of books for young readers—picture books for small children, chapter books, books for middle grade readers, and novels for young adults. Our list includes bestsellers for children who love to play Minecraft; stories told with LEGO bricks; books that teach lessons about tolerance, patience, and the environment, and much more. While not every title we publish becomes a New York Times bestseller or a national bestseller, we are committed to books on subjects that are sometimes overlooked and to authors whose work might not otherwise find a home.
Minecraft Random House For the Minecraft fans who love the creatures from the underground; the Nether! Book 1: In this pigman Minecraft diary, you will be surprised when events unravel and all come together to be explained halfway the book. The pigman Jerome has an interesting personality, and he is somewhat confused about his identity. He wants to know if there is a cure, and if his malicious behavior can be stopped by healing his brain. Fortunately, there is an enchanted golden sword that works miracles. Now it's just a matter of finding out what's wrong with him and how to get to the sword. A fun, humorous, psychological, and adventurous Minecraft book you should definitely read. Book 2: Skairdor is a skeleton who should have passed on to the other realm. However, he finds himself stuck in between worlds, with a mission in mind, annoying voices in his head, and the challenge to overcome evil with good. Moreover, enemies from outside of town are a severe threat to the ones he wants to protect. Self-sacrfice and courage are themes in this short story. This Minecraft diary will be another psychological, thrilling adventure by the talented author, Billy Miner. Book 3: Carson and Melvin are warriors for the king. The Great White Palace regularly has assignments for them. They complement each other, going on adventures in the mountains and in swamps, but when the king requests that a dangerous wither be slain, they kind of turn against each other and start competing for the reward and the diamond sword. Follow these heroes to the snow peaked mountain tops and the depths of the Nether. Book 4: When Gavin the ghast finds himself in a dilemma, he has to muster the courage to save his female friend, Gaia, by seeking out a witch for advice. Next, he faces extreme difficulties and hardships to find a ghast tear and create a potion of healing for the one he loves. Read about an adventurous journey by a Minecraft ghast who writes his experiences in this Minecraft diary. Book 5: When Vicar and Aelis get married, everything seems peachy. Vicar continues his job as a cobbler, and the villagers accept Aelis into their circles. But suddenly, a blaze attacks their town and burns down their house. Desperate for protection and a little bit for revenge, the two decide to go against the popular opinion and set out on a quest to kill the blaze once and for all. Find out more about their adventures by reading this dramatic, thrilling Minecraft story. Book 6: When his daughter, Daphne, gets sick, the doctor tells Avery that his only hope is to find a medicinal herb down in the depths of the dangerous Nether realm. Avery heads down there and is confronted by a bunch of magma cubes, who threaten to jump on him and kill him. Moreover, his search for the cure doesn't seem as easy as it looked at first. And what is up with that strange neighbor of his, who won't tell what kind of profession he has? Find out more about Avery's adventures in this fun and somewhat dramatic Minecraft story.
Minecraft: Mob SquadCreateSpace
A great introduction to the game's most mysterious biomes when two players, Emmy and Birch--and their tame wolf Byte--set out on an epic adventure into the mysterious Nether!
Battle for the Nether: A Gameknight999 AdventureSimon and Schuster
Winston is a Minecraft wolf on a mission: to work out who, or what, is haunting The Nether! After receiving a nether star from his nemesis, Winston and his junior agent, Brian, follow the clue to a nether fortress. Can they help the hostile wither skeletons uncover what the ghosts are up to before someone gets hurt?
The Nether Ghost (Diary of a Minecraft Wolf #3) CreateSpace
In the stunning conclusion of Journey Into the Nether, Alex must deal with Mandy's betrayal and his capture into The End. Out of time, Alex must find a way to bring Mandy's memories back and remove the threat of the Ender Dragon for good. Along the way, he discovers more about his family's powers. Will it be enough to send the Ender Dragon away? "Journey Into the Nether: Part 3" is the last book of a three part series. A gripping tale of adventure with an unlikely hero at the center of it all, "Journey Into the Nether" will keep you captivated right from the first page. An Explorer's Guide to the Nether Simon and Schuster
Eeebs isn't a very disciplined kitten. His mom warned him not to play in the forest, but he didn't listen. That's how he found himself in the Nether, a bizarre world inhabited by scary creatures. In the company of a ghast, almost cheerful witch, Eeebs develops supernatural powers. Will this be enough to fight against Endernova's army, the Enderman, who want to rule over the Overworld? In order to save his friends, Eeebs must become the champion of the Nether, as the prophecy of The Chosen One tells . . .
Nether Nightmare Scholastic Inc.
GENRE: Children's Adventure (An Unofficial Minecraft Book for Kids Age 9-12) Book Two: To The Nether Portal After his narrow escape from the lair of Herobrine, Steve the adventurer finds that the villain is on the rise. Monsters are everywhere, and villagers are being threatened by the hordes that attack them in the midst of the night. Steve fights back, but even he can't fight forever. Following old stories and legends about the evil figure, Steve makes his way to a distant mountain in an attempt to find out more about Herobrine and how he can be defeated. But even Steve doesn't expect what he'll find there... Will Steve find what he needs to defeat Herobrine once and for all? Or will the danger he unknowingly unleashes be more than he can handle? Other book in the Diary of Steve the Adventurer series Book 1: In the Lair of Herobrine, http://www.amazon.com/dp/B00W3D2L4U/ Author's Note: This short story is for your reading pleasure. The characters in this "Minecraft Adventure Series" such as Steve, Endermen or Herobrine...etc are based on the Minecraft Game coming from Minecraft (r)/TM & (c) 2009-2013 Mojang / Notch
Escape from the Nether! (Minecraft) Simon and Schuster
"Discover the uses of redstone components, learn how to make working circuits, then create clever builds using your new skills. With insider info and tips from the experts at Mojang, this is the definitive guide to engineering in Minecraft." -- page [4] of cover
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Minecraft The Nether And The End Sticker Book
2023-03-27
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Reading – word reading
apply their growing knowledge of root words, prefixes and suffixes (morphology and etymology), as
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listed inEnglish Appendix 1
, both to read aloud and to understand the meaning of new words that they meet.
English
Curriculum Overview for Year 6
perform their own compositions, using appropriate intonation, volume, and movement so that
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meaning is clear.
Art & Design
Computing
Writing – transcription
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ago
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Light
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Electricity
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Reading – comprehension
maintain positive attitudes to reading and understanding of what they read by: continuing to read and discuss an increasingly wide range of fiction, poetry, plays, non-fiction and reference books or textbooks
reading books that are structured in different ways and reading for a range of purposes increasing their familiarity with a wide range of books, including myths, legends and traditional stories, modern fiction, fiction from our literary heritage, and books from other cultures and traditions
recommending books that they have read to their peers, giving reasons for their choices identifying and discussing themes and conventions in and across a wide range of writing
making comparisons within and across books learning a wider range of poetry by heart
preparing poems and plays to read aloud and to perform, showing understanding through intonation, tone and volume so that the meaning is clear to an audience
understand what they read by:
checking that the book makes sense to them, discussing their understanding and exploring the meaning of words in context
asking questions to improve their understanding
drawing inferences such as inferring characters’ feelings, thoughts and motives from their actions, and justifying inferences with evidence
predicting what might happen from details stated and implied
summarising the main ideas drawn from more than one paragraph, identifying key details that
support the main ideas
identifying how language, structure and presentation contribute to meaning
discuss and evaluate how authors use language, including figurative language, considering the impact on the reader distinguish between statements of fact and opinion
retrieve, record and present information from non-fiction
participate in discussions about books that are read to them and those they can read for themselves, building on their own and others’ ideas and challenging views courteously explain and discuss their understanding of what they have read, including through formal
presentations and debates, maintaining a focus on the topic and using notes where necessary provide reasoned justifications for their views.
Spelling
use further prefixes and suffixes and understand the guidance for adding them
spell some words with ‘silent’ letters [for example, knight, psalm, solemn]
continue to distinguish between homophones and other words which are often confused
use knowledge of morphology and etymology in spelling and understand that the spelling of some
words needs to be learnt specifically, as listed in English Appendix 1
use dictionaries to check the spelling and meaning of words
use the first three or four letters of a word to check spelling, meaning or both of these in a dictionary
use a thesaurus.
Handwriting and presentation
write legibly, fluently and with increasing speed by:
choosing which shape of a letter to use when given choices and deciding whether or not to join
specific letters
choosing the writing implement that is best suited for a task.
Writing – composition
plan their writing by:
identifying the audience for and purpose of the writing, selecting the appropriate form and using other similar writing as models for their own
noting and developing initial ideas, drawing on reading and research where necessary
in writing narratives, considering how authors have developed characters and settings in what
pupils have read, listened to or seen performed
draft and write by:
selecting appropriate grammar and vocabulary, understanding how such choices can change
and enhance meaning in narratives, describing settings, characters and atmosphere and integrating dialogue to convey character and advance the action
précising longer passages using a wide range of devices to build cohesion within and across paragraphs
using further organisational and presentational devices to structure text and to guide the reader [for example, headings, bullet points, underlining]
evaluate and edit by:
assessing the effectiveness of their own and others’ writing proposing changes to vocabulary, grammar and punctuation to enhance effects and clarify meaning
ensuring the consistent and correct use of tense throughout a piece of writing
ensuring correct subject and verb agreement when using singular and plural, distinguishing
between the language of speech and writing and choosing the appropriate register
proof-read for spelling and punctuation errors
develop their understanding of the concepts set out in English Appendix 2 b y: recognising vocabulary and structures that are appropriate for formal speech and writing, including subjunctive forms
using passive verbs to affect the presentation of information in a sentence
using the perfect form of verbs to mark relationships of time and cause
using expanded noun phrases to convey complicated information concisely
using modal verbs or adverbs to indicate degrees of possibility
using relative clauses beginning with who, which, where,
when, whose, that or with an implied (i.e. omitted) relative
pronoun learning the grammar for years 5 and 6 in English Appendix 2
indicate grammatical and other features by:
using commas to clarify meaning or avoid ambiguity in writing
using hyphens to avoid ambiguity
using brackets, dashes or commas to indicate parenthesis
using semi-colons, colons or dashes to mark boundaries between independent clauses
using a colon to introduce a list
punctuating bullet points consistently
use and understand the grammatical terminology in English Appendix 2 accurately and
appropriately in discussing their writing and reading.
to create sketch books to record their observations and use them to review and revisit ideas
to improve their mastery of art and design techniques, including drawing, painting and sculpture with a range
of materials [for example, pencil, charcoal, paint, clay]
about great artists, architects and designers in history.
design, write and debug programs that accomplish specific goals, including controlling or simulating physical
systems; solve problems by decomposing them into smaller parts
use search technologies effectively, appreciate how results are selected and ranked, and be discerning in evaluating
digital content
select, use and combine a variety of software (including internet services) on a range of digital
devices to design and create a range of programs, systems and content that accomplish given goals, including
collecting, analysing, evaluating and presenting data and information
use technology safely, respectfully and responsibly; recognise acceptable/unacceptable behaviour; identify a range
of ways to report concerns about content and contact.
Design & Technology
Design
use research and develop design criteria to inform the design of innovative, functional, appealing products that are fit for
purpose, aimed at particular individuals or groups
generate, develop, model and communicate their ideas through discussion, annotated sketches, cross-sectional and
exploded diagrams, prototypes, pattern pieces and computer-aided design
Make
select from and use a wider range of tools and equipment to perform practical tasks [for example, cutting, shaping, joining
and finishing], accurately
select from and use a wider range of materials and components, including construction
materials, textiles and ingredients, according to their functional properties and aesthetic
qualities
Evaluate
investigate and analyse a range of existing products
evaluate their ideas and products against their own design criteria and consider the views
of others to improve their work
understand how key events and individuals in design and technology have helped shape
the world
Cooking and Nutrition
understand and apply the principles of a healthy and varied diet
prepare and cook a variety of predominantly savoury dishes using a range of cooking techniques
understand seasonality, and know where and how a variety of ingredients are grown, reared, caught and processed.
Geography
Human and physical geography
human geography, including: types of settlement and land use, economic activity including trade
links, and the distribution of natural resources including energy, food, minerals and water
Use maps to focus on the north Norfolk coast ,concentrating on key physical and human characteristics, countries, and
major cities
name and locate counties and cities of the United Kingdom, geographical regions and their identifying human
and physical characteristics, key topographical features (including hills, mountains, coasts and rivers), and land-
use patterns; and understand how some of these aspects have changed over time
Geographical skills and fieldwork
use maps, atlases, globes and digital/computer mapping to locate countries and describe features studied
Number – number and place value
read, write, order and compare numbers up to 10 000 000 and determine the value of each digit round any whole number to a required degree of accuracy
use negative numbers in context, and calculate intervals across zero
solve number and practical problems that involve
all of the above.
Number – addition, subtraction, multiplication and division
multiply multi-digit numbers up to 4 digits by a two-digit whole number using the formal written method of long multiplication
divide numbers up to 4 digits by a two-digit whole number using the formal written method of long division, and interpret remainders as whole number remainders, fractions, or by rounding, as appropriate for the context
divide numbers up to 4 digits by a two-digit number using the formal written method of
short division where appropriate, interpreting remainders according to the context
perform mental calculations, including with mixed operations and large numbers
identify common factors, common multiples and prime numbers
use their knowledge of the order of operations to carry out calculations involving the four operations solve addition and subtraction multi-step problems in contexts, deciding which
operations and methods to use and why
solve problems involving addition, subtraction, multiplication and division
use estimation to check answers to calculations and determine, in the context of a problem, an appropriate degree of accuracy.
identify the value of each digit in numbers given to three decimal places and multiply and divide numbers by 10, 100 and 1000 giving answers up to three decimal places multiply one-digit numbers with up to two decimal places by whole numbers
use written division methods in cases where the answer has up to two decimal places
solve problems which require answers to be rounded to specified degrees of accuracy
recall and use equivalences between simple fractions, decimals and percentages,
including in different contexts.
Number – fractions (including decimals and percentages)
use common factors to simplify fractions; use common multiples to express fractions in the same denomination compare and order fractions, including fractions > 1
add and subtract fractions with different denominators and mixed numbers, using the
concept of equivalent fractions
Mathematics
multiply simple pairs of proper fractions, writing the answer in its simplest form [for
example ¼ x ½ = 1/8)
divide proper fractions by whole numbers [for example, 1/3 / 2 = 6}
associate a fraction with division and calculate decimal fraction equivalents [for
example, 0.375] for a simple fraction [for example, 3/8 ]
Ratio and proportion
solve problems involving the relative sizes of two quantities where missing values can be found by using integer multiplication and division facts solve problems involving the calculation of percentages [for example, of measures,
and such as 15% of 360] and the use of percentages for comparison
solve problems involving similar shapes where the scale factor is known or can be
found
solve problems involving unequal sharing and grouping using knowledge of
fractions and multiples.
Algebra
use simple formulae
generate and describe linear number sequences
express missing number problems algebraically
find pairs of numbers that satisfy an equation with two unknowns
enumerate possibilities of combinations of two variables.
Measurement
solve problems involving the calculation and conversion of units of measure, using decimal notation up to three decimal places where appropriate
use, read, write and convert between standard units, converting measurements of length, mass, volume and time from a smaller unit of measure to a larger unit, and vice versa, using decimal notation to up to three decimal places convert between miles and kilometres
recognise that shapes with the same areas can have different perimeters and vice versa
recognise when it is possible to use formulae for area and volume of shapes calculate the area of parallelograms and triangles
calculate, estimate and compare volume of cubes and cuboids using standard
units, including cubic centimetres and cubic metres , and extending to other units
Geometry – properties of shapes
draw 2-D shapes using given dimensions and angles
recognise, describe and build simple 3-D shapes, including making nets
compare and classify geometric shapes based on their properties and sizes and
find unknown angles in any triangles, quadrilaterals, and regular polygons
illustrate and name parts of circles, including radius, diameter and circumference
and know that the diameter is twice the radius
recognise angles where they meet at a point, are on a straight line, or are vertically opposite, and find missing angles.
Geometry – position and direction
describe positions on the full coordinate grid (all four quadrants)
draw and translate simple shapes on the coordinate plane, and reflect them in the
axes.
Statistics
interpret and construct pie charts and line graphs and use these to solve problems calculate and interpret the mean as an average.
Modern
Languages
broaden their vocabulary and develop their
ability to understand new words that are
introduced into familiar written material,
including through using a dictionary
write phrases from memory, and adapt these to create new sentences, to express ideas clearly
describe people, places, things and actions orally* and in writing
understand basic grammar appropriate to the language being studied, including (where relevant): feminine, masculine and
neuter forms and the conjugation of high-frequency verbs; key features and patterns of the language; how to apply these,
for instance, to build sentences; and how these differ from or are similar to English.
Music
develop an understanding of the history of
music.
use and understand staff and other musical notations
improvise and compose music for a range of purposes using the inter-related dimensions
of music
Science
Living things and their habitats
describe how living things are classified into broad
groups according to common observable characteristics
and based on similarities and differences, including
micro-organisms, plants and animals
give reasons for classifying plants and animals based
on specific characteristics.
Animals including humans
identify and name the main parts of the human circulatory system, and describe the functions of the heart, blood vessels and blood
recognise the impact of diet, exercise, drugs and lifestyle on the way their bodies function
describe the ways in which nutrients and water are transported within animals, including humans.
Evolution and inheritance
recognise that living things have changed over time and that fossils provide information about living things that inhabited the Earth millions of years
recognise that living things produce offspring of the same kind, but normally offspring vary and are not identical to their parents
identify how animals and plants are adapted to suit their environment in different ways and that adaptation may lead to evolution.
recognise that light appears to travel in straight lines
use the idea that light travels in straight lines to explain that objects are seen because they give out or reflect light into the eye
explain that we see things because light travels from light sources to our eyes or from light sources to objects and then to our eyes
use the idea that light travels in straight lines to explain why shadows have the same shape as the objects that cast them.
associate the brightness of a lamp or the volume of a buzzer with the number and voltage of cells used in the circuit
compare and give reasons for variations in how components function, including the brightness of bulbs, the loudness of buzzers and the on/off
position of switches
use recognised symbols when representing a simple circuit in a diagram.
Working scientifically
asking relevant questions and using different types of scientific enquiries to answer them setting up simple practical enquiries, comparative and fair tests
making systematic and careful observations and, where appropriate, taking accurate measurements using standard units, using a range of
equipment, including thermometers and data loggers
gathering, recording, classifying and presenting data in a variety of ways to help in answering questions
recording findings using simple scientific language, drawings, labelled diagrams, keys, bar charts, and tables
reporting on findings from enquiries, including oral and written explanations, displays or presentations of results and conclusions
using results to draw simple conclusions, make predictions for new values, suggest improvements and raise further questions
identifying differences, similarities or changes related to simple scientific ideas and processes
using straightforward scientific evidence to answer questions or to support their findings.
History
a study of an aspect or theme in British history that extends pupils’ chronological knowledge beyond 1066 - the legacy
of Greek culture (art, architecture or literature) on later periods in British history, including the present day
A local history study
a depth study linked to one of the British areas of study listed above
a study over time tracing how several aspects of national history are reflected in the locality
(this can go beyond 1066)
a study of an aspect of history or a site dating from a period
beyond 1066 that is significant in the locality.
Physical
Education
use running, jumping, throwing and catching in isolation and in combination
play competitive games, modified where appropriate [for example, badminton, basketball,
cricket, football, hockey, netball, rounders and tennis], and apply basic principles suitable for
attacking and defending
develop flexibility, strength, technique, control and balance [for example, through athletics and gymnastics]
perform dances using a range of movement patterns
take part in outdoor and adventurous activity challenges both individually and within a team
compare their performances with previous ones and demonstrate improvement to achieve their personal best.
Religious
Education
LAS Unit 12 – What made people want to
follow Jesus?
LAS Unit 15 – What can we learn from the
life of Mohammad?
LAS Unit 3 – Muslim beliefs and lifestyle
Writing – vocabulary, grammar and punctuation
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NIKON
SURVEY PRODUCT CATALOG
Contents
Total Stations
G Survey Pro software on-board
G Windows CE touch-screen
G High quality Nikon optics
G Fast, accurate EDM
G Prism and refl ectorless measurements
G Easy-to-use 2nd face keypad
G Hot swappable batteries
G Compact, rugged, and lightweight
G Cable-free Bluetooth®
G Optional laser plummet
Nikon's next generation total station is the Nivo™ Total Station, available in two exciting lines: the Nivo C Series and Nivo M Series
Both of the Nivo series are the absolute leaders for go anywhere measurement tools Compact in size and lightweight, they are convenient to carry over long distances All Nivo models are supported with legendary Nikon high clarity optics, allowing clearer images in bright and low light conditions, making measurements easy and reducing eye stress
The fast, long range EDM measures in both prism and refl ectorless modes All models measure precisely to objects up to 300 m away without the need for a prism *
Nivo models come standard with a traditional optical plummet which can be upgraded to a laser plummet
* Objects with high refl ectivity (90%).
Nivo C Series
The Nivo C Series is designed with a feature-packed Windows® CE touch-screen interface Field application software functions are supported by the world class Spectra Precision® Survey Pro™ fi eld software for all your surveying and construction measurement needs
All Nivo C Series solutions are designed with high productivity in mind, including a dual face display for effi cient high precision angle and distance measurements Work all day long with endless power using hot swappable batteries, you'll never| need to worry about interrupting your workfl ow to change a battery again
To assist you with the multitudes of data needs of the 21st century, the Nivo C Series includes:
G Support for USB memory sticks
G Wireless cable-free Bluetooth connections to external data collectors
G A USB High-speed data transfer port
The Nivo C Series is available in 2", 3" and 5" models to meet your specifi c accuracy needs
Total Stations To T
G High quality Nikon optics G H
G Intuitive powerful software G In
G Fast, accurate EDM G Fa
G Prism and refl ectorless measurements G Pr m
G Easy-to-use keypad G Ea
G Hot swappable batteries G H
G Compact, rugged, and lightweight G Co lig
G Optional cable-free Bluetooth
G Optional laser plummet
Nikon's next generation total station is Nivo and it is available in two exciting lines: the Nivo C Series and Nivo M Series
Both of the Nivo series are the absolute leaders for go anywhere measurement tools Compact in size and lightweight, they are convenient to carry over long distances All Nivo models are supported with legendary Nikon high clarity optics, allowing clearer images in bright and low light conditions, making measurements easy and reducing eye stress
The fast, long range EDM measures in both prism and refl ectorless modes Measure precisely to objects up to 300 m away without the need for a prism *
Nivo M Series models can support optional Bluetooth communications to external data collectors In addition all models come standard with a traditional optical plummet which can be upgraded to a laser plummet
* Objects with high refl ectivity (90%).
Nivo M Series
Nikon has combined simplicity and quality together in perfect harmony to produce the Nikon M Series
These compact and effi cient products use a fi eld-proven Nikon interface and fi eld software that is quick to learn and easy-to-use
Supporting both prism-based and refl ectorless technologies, you can be assured of accurate repeatable measurements all day long to any point
The distance measurements are fast and fl exible with the Nivo M Series Use the MSR1 & MSR2 keys to separately confi gure diff erent prism or refl ectorless measurement parameters, eliminating time switching between measurement modes
Nivo M Series fi eld software highlights include:
G A complete set of CoGo functions
G Simple data management of fi les
G Quick-coding for convenient one-button data collection of point features and your raw target data
The ultimate in quality for hardworking conditions all day, every day
The Nivo M Series is available in 2", 3" and 5" models to meet your specifi c accuracy needs
Total Stations
| nivo 3.c | | Degree: 1/5/10" Gon: 0.2/1/2 mgon MIL6400: 0.005/0.02/0.05 mil | 3"/1 mgon | | 30× (18x/36x with optional eyepieces) | 45 mm (1.8 in) | 1.5 m (4.9 ft) | Yes | | 1.5 m to 300 m (4.9 ft to 984 ft) | | 5,000 m (16,404 ft) | (3+2 ppm × D) mm | (3+2 ppm x D) mm | | 1.5 sec. | 0.8 sec. | 1.8 sec. | 1.0 sec. | 1 mm (0.002 ft) | 10 mm (0.02 ft) | | –20 °C to +50 °C (–4 °F to +122 °F) | | –40 °C to +60 °C (–40 °F to +140 °F) | 400 mmHg to 999 mmHg 533 hPa to 1,332 hPa 15.8 inHg to 39.3 inHg | Dual axis | | 10'/2 mm | 3× | QVGA,16 bit color, TFT LCD, backlit (320x240 pixel) Backlit, graphic LCD (128x64 pixel) | 128 MB RAM, 128 MB Flash memory | 149 mm x 145 mm x 306 mm (5.8 in x 5.7 in x 12.0 in) | | 3.8 kg (8.4 lb) | 0.1 kg (0.02 lb) | 2.3 kg (5.1 lb) | approx. 7.5 hours (continuous distance/angle measurement)) | approx. 16 hours (distance/angle measurement every 30 seconds) | approx. 20 hours (continuous angle measurement) | 3.8 V DC | 4 hours | 1 x serial (RS-232C), 2 x USB (host and client) | Integrated Bluetooth |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| nivo 2.c | | Degree: 1/5/10" Gon: 0.2/1/2 mgon MIL6400: 0.005/0.02/0.05 mil | 2"/0.5 mgon | | 30× (18x/36x with optional eyepieces) | 40 mm (1.6 in) | 1.5 m (4.9 ft) | Yes | | 1.5 m to 300 m (4.9 ft to 984 ft) | | 3,000 m (9,843 ft) | (2+2 ppm × D) mm | (3+2 ppm x D) mm | | 1.6 sec. | 0.8 sec. | 2.1 sec. | 1.2 sec. | 1 mm (0.002 ft) | 10 mm (0.02 ft) | | –20 °C to +50 °C (–4 °F to +122 °F) | | –40 °C to +60 °C (–40 °F to +140 °F) | 400 mmHg to 999 mmHg 533 hPa to 1,332 hPa 15.8 inHg to 39.3 inHg | Dual axis | | 10'/2 mm | 3× | QVGA,16 bit color, TFT LCD, backlit (320x240 pixel) Backlit, graphic LCD (128x64 pixel) | 128 MB RAM, 128 MB Flash memory | 149 mm x 145 mm x 306 mm (5.8 in x 5.7 in x 12.0 in) | | 3.9 kg (8.6 lb) | 0.1 kg (0.02 lb) | 2.3 kg (5.1 lb) | approx. 12 hours (continuous distance/angle measurement) | approx. 26 hours (distance/angle measurement every 30 seconds) | approx. 28 hours (continuous angle measurement) | 3.8 V DC | 4 hours | 1 x serial (RS-232C), 2 x USB (host and client) | Integrated Bluetooth |
| SpecificationS | Angle meAsurement | Minimum increment (Degree, Gon, MIL6400) | DIN 18723 accuracy (horizontal and vertical) | telescope | Magnification | Effective diameter of objective | Minimum focusing distance | Reticle illumination | DistAnce meAsurement | Reflectorless mode (white target)1 | Good conditions | With single prism | 2 Accuracy (Prism/Precise mode) | 2 Accuracy (Reflectorless/Precise mode) | meAsuring intervAl3 | Prism mode Precise mode | Normal mode | Precise mode Reflectorless mode | Normal mode | Precise mode Least count | Normal mode | environmentAl specificAtions | operAting temperAture rAnge | Atmospheric correction | Temperature range | Barometric pressure | tilt sensor | level viAls | Sensitivity of Circular level vial | opticAl plummet Magnifi cation | DisplAy Face 1 Face 2 | memory | Dimensions (W x D x h) | Weight (Approx..) | Main unit (without battery) | Battery | Carrying case | internAl li ion bAttery (x2) Operating time4 | | | Output voltage | Recharging time | communicAtion ports | Wireless communicAtions |
Total Stations
| nivo 3.M | | Degree: 1/5/10" Gon: 0.2/1/2 mgon MIL6400: 0.005/0.02/0.05 mil | 3"/1 mgon | | 30× (18x/36x with optional eyepieces) | 45 mm (1.8 in) | 1.5 m (4.9 ft) | No | | 1.5 m to 300 m (4.9 ft to 984 ft) | | 5,000 m (16,404 ft) | (3+2 ppm × D) mm | (3+2 ppm x D) mm | | 1.5 sec. | 0.8 sec. | 1.8 sec. | 1.0 sec. | 1 mm (0.002 ft) | 10 mm (0.02 ft) | | –20 °C to +50 °C (–4 °F to +122 °F) | | –40 °C to +60 °C (–40 °F to +140 °F) | 400 mmHg to 999 mmHg 533 hPa to 1,332 hPa 15.8 inHg to 39.3 inHg | Dual axis | | 10'/2 mm | 3× | Single side, backlit, graphic LCD (128x64 pixel) | 10,000 records | 149 mm x 145 mm x 306 mm (5.8 in x 5.7 in x 12.0 in) | | 3.6 kg (8.0 lb) | 0.1 kg (0.2 lb) | 2.3 kg (5.1 lb) | approx. 10 hours (continuous distance/angle measurement)) | approx. 26 hours (distance/angle measurement every 30 seconds) | approx. 31 hours (continuous angle measurement) | 3.8 V DC | 4 hours | 1 x serial (RS-232C) | Optional integrated Bluetooth |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| nivo 2.M | | Degree: 1/5/10" Gon: 0.2/1/2 mgon MIL6400: 0.005/0.02/0.05 mil | 2"/0.5 mgon | | 30× (18x/36x with optional eyepieces) | 40 mm (1.6 in) | 1.5 m (4.9 ft) | No | | 1.5 m to 300 m (4.9 ft to 984 ft) | | 3,000 m (9,843 ft) | (2+2 ppm × D) mm | (3+2 ppm x D) mm | | 1.6 sec. | 0.8 sec. | 2.1 sec. | 1.2 sec. | 1 mm (0.002 ft) | 10 mm (0.02 ft) | | –20 °C to +50 °C (–4 °F to +122 °F) | | –40 °C to +60 °C (–40 °F to +140 °F) | 400 mmHg to 999 mmHg 533 hPa to 1,332 hPa 15.8 inHg to 39.3 inHg | Dual axis | | 10'/2 mm | 3× | Single side, backlit, graphic LCD (128x64 pixel) | 10,000 records | 149 mm x 145 mm x 306 mm (5.8 in x 5.7 in x 12.0 in) | | 3.8 kg (8.4 lb) | 0.1 kg (0.2 lb) | 2.3 kg (5.1 lb) | approx. 19 hours (continuous distance/angle measurement) | approx. 57 hours (distance/angle measurement every 30 seconds) | approx. 62 hours (continuous angle measurement) | 3.8 V DC | 4 hours | 1 x serial (RS-232C) | Optional integrated Bluetooth |
| SpecificationS | Angle meAsurement | Minimum increment (Degree, Gon, MIL6400) | DIN 18723 accuracy (horizontal and vertical) | telescope | Magnification | Effective diameter of objective | Minimum focusing distance | Reticle illumination | DistAnce meAsurement | Reflectorless mode (white target)1 | Good conditions | With single prism | 2 Accuracy (Prism/Precise mode) | 2 Accuracy (Reflectorless/Precise mode) | meAsuring intervAl3 | Prism mode Precise mode | Normal mode | Precise mode Reflectorless mode | Normal mode | Precise mode Least count | Normal mode | environmentAl specificAtions | operAting temperAture rAnge | Atmospheric correction | Temperature range | Barometric pressure | tilt sensor | level viAls | Sensitivity of Circular level vial | opticAl plummet Magnifi cation | DisplAy | point memory | Dimensions (W x D x h) | Weight (Approx..) | Main unit (without battery) | Battery | Carrying case | internAl li ion bAttery (x2) Operating time4 | | | Output voltage | Recharging time | communicAtion ports | Wireless communicAtions |
Total Stations To T
G Legendary Nikon optics G L
G Fast, accurate EDM G F
G Convenient and long-lasting rechargeable AA batteries G C re
G Easy-to-use keypad G E
G Rugged and lightweight G R
G Linear focusing mechanism G L
Nikon introduces the DTM-322 Total Station that delivers an economic, versatile, and easy-to-use platform to make sure you get the job done right
Nikon's legendary optics eff ectively allow in more light to give you brighter, clearer images You'll see the diff erence when you look through a Nikon Total Station even in the low-visibility conditions typical in the fi eld You'll see much more detail and much less distortion, especially over longer distances Better optics help you aim more precisely, and they're much easier on your eyes – something you'll really appreciate on long workdays
The Nikon DTM-322 Total Station is among the fastest total stations in its class, so you can move quickly through your routines and spend less time in the fi eld The DTM-322 is rugged and lightweight – at 5kg (11 lb) including the battery
Using rechargeable, or off -the-shelf AA batteries, the DTM-322 is designed to consume low power and provide the longest possible time in the fi eld
The Nikon DTM-322 is built tough for all occasions
9
DTM-322
SpecificationS
DtM-322
DistAnce meAsurement
1 ±(3+3 ppm × D) mm –20 °C to –10 °C, +40 °C to +50 °C (–4 °F to +14 °F, +104 °F to +122 °F).
2 Measuring time may vary depending on measuring distance and conditions.
3 Battery life specification at 25 °C (77 °F).
Theodolites
G Four models to choose from: NE-100/101/102/103
G Accurate, aff ordable, easy-to-use
G Ergonomic keypad
G One-touch function keys
G Large, backlit LCD display
G NE-100/101 models are water-resistant
G NE-102/103 models are waterproof
G 5", 7" and 10" accuracies available
Designed for general construction and survey applications, Nikon NE-100 Series electronic digital theodolites give you accurate measurements in an aff ordable, easy-to-use platform Each of the four models has an ergonomic keypad with onetouch keys for all functions, and a large backlit LCD display helps you work productively in the fi eld
You can instantly convert vertical angles to percent of grade, reset the horizontal angle to zero and lock the horizontal angle displayed on the LCD while you reposition or repeat a measurement Angle accuracies diff er between the models The NE-100 off ers 10" angle accuracy, while the NE-101 off ers 7" Both the NE-102 and 103 models off er 5" angle accuracy with the NE-103 featuring vertical axis compensation
NE-100 series theodolites feature fi ve easy-to-use, one-touch keys: four to perform all common functions and a fi fth to control the backlit LCD display and reticle illumination NE-100 Series theodolites feature a built-in reticle illuminator and backlit LCD display that allow you to work inside buildings as well as in
11
tunnels, mines and other environments with little or no light These features also come in handy during low light conditions outdoors, such as near dawn or dusk
Unlike other instruments that require specialized batteries, NE-100 Series theodolites use six standard AA alkaline batteries What's more, those batteries can power all models for about 48 hours A three-level bar graph on the LCD screen displays remaining battery power
With the Nikon NE-100 Series theodolite models, you can count on reliable performance in tough conditions The NE-100/101 models have an IP54 rating, meaning water can splash on them from any direction with no harmful eff ects Nikon NE-102/103 models have a higher rating of IP56 which means they're waterproof and dustproof
Nikon Theodolites
| ne-102 | | photoelectric incremental encoder | 79 mm (3.1 in) | degree/gon/mil | 5/10", 1/2 mgon, 0.02/0.05 mil | 5"/1 mgon | | 45 mm (1.8 in) | 30x | erect | 1°20' (2.3 m @ 100 m/2.3 ft @ 100 ft) | 0.7 m (2.3 ft) | 100 | 0 | Yes | | — | — | | | dot-matrix LCD (20 characters x 2 lines) | 1-level illumination | 5 buttons | | dot-matrix LCD (20 characters x 2 lines) | 1-level illumination | 5 buttons | | 3x | 5° | 0.5 m (1.6 ft) to infinity | | 30"/2 mm | 10'/2 mm | detachable | –20 to 50 C (–4 TO 122 °F) | IP56 | 153.5 x 172 x 334 mm (6.0 x 6.8 x 13.1 in) | | 4.5 kg (9.9 lb) | 3.9 kg (8.6 lb) | | 1.5 V AA Alkaline x 6 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| ne-101 | | photoelectric incremental encoder | 79 mm (3.1 in) | degree/gon/mil | 5/10", 1/2 mgon, 0.02/0.05 mil | 7"/2 mgon | | 45 mm (1.8 in) | 30x | erect | 1°20' (2.3 m @ 100 m/2.3 ft @ 100 ft) | 0.7 m (2.3 ft) | 100 | 0 | Yes | | — | — | | | dot-matrix LCD (20 characters x 2 lines) | 1-level illumination | 5 buttons | | — | — | — | | 2.2x | 5° | 1.3 m (4.3 ft) fixed | | 40"/2 mm | 10'/2 mm | detachable | –20 to 50 C (–4 TO 122 °F) | IP54 | 153.5 x 172 x 334 mm (6.0 x 6.8 x 13.1 in) | | 4.5 kg (9.8 lb) | 2.5 kg (5.4 lb) | | 1.5V alkaline AA x 6 |
| ne-100 | | photoelectric incremental encoder | 79 mm (3.1 in) | degree/gon/mil | 10/20", 2/5 mgon, 0.05/0.1 mil | 10"/3 mgon | | 45 mm (1.8 in) | 30x | erect | 1°20' (2.3 m @ 100 m/2.3 ft @ 100 ft) | 0.7 m (2.3 ft) | 100 | 0 | Yes | | — | — | | | dot-matrix LCD (20 characters x 2 lines) | 1-level illumination | 5 buttons | | — | — | — | | 2.2x | 5° | 1.3 m (4.3 ft) fixed | | 60"/2 mm | 10'/2 mm | detachable | –20 to 50 C (–4 TO 122 °F) | IP54 | 153.5 x 172 x 334 mm (6.0 x 6.8 x 13.1 in) | | 4.5 kg (9.8 lb) | 2.5 kg (5.4 lb) | | 1.5 V alkaline AA x 6 |
| SpecificationS | Angle meAsurement | Reading system | Circle diameter | Unit of reading | Minimum digital reading | Accuracy (DIN 18723) | telescope | Effective diameter of objective | Magnification | Image | Field of view | Minimum focusing distance | Stadia multiplier constant | Stadia additive constant | Reticle illuminator | AutomAtic verticAl compensAtor | Type | Working range | DisplAy/KeypAD | Front | Type | Backlight | Keypad | Rear | Type | Backlight | Keypad | opticAl plummet | Magnification | Field of view | Focus range | level sensitivity | Plate level | Circular level | leveling bAse Type | Ambient temperAture rAnge | environmentAl rAting | Dimensions Instrument | Weight | Instrument | Carrying case | poWer supply | Battery type |
Auto Levels AP/AC/AX Series
G Three models to choose from: AP-8/AC-2S/AX-2S
G Compact and lightweight
G Water-resistant construction
G Magnetic-dampened automatic compensator
G Horizontal tangent knobs with unlimited range
G Smooth, precise pointing and angular measurement
G Detachable eyepiece len
AP/AC/AX Series auto levels are easy to set up and easy-to-use All three models can attach to both fl at- and spherical-head tripods Horizontal tangent knobs with an unlimited range ensure smooth, precise pointing and angular measurement, and you can operate them with either hand The detachable eyepiece lens lets you use an optional diagonal eyepiece prism for working in extremely close or steep quarters
Nikon optics eff ectively let in more light, so you see brighter, sharper images-especially in low-light conditions The AP-8 model auto level features a 28x high-magnifi cation telescope, the AC-2S has a 24x telescope, and the AX-2S has a 20x telescope All three models off er minimum focusing down to 2 46 ft (0 75 m) for better performance in tight spots or on steep slopes
| SpecificationS | ap-8 | ac-2S | aX-2S |
|---|---|---|---|
| telescope | 190 mm (7.5 in) erect 28x 30 mm (1.2 in) 1°30'(2.6 ft @ 100 ft) .75 m (2.46 ft) 1:100 0 | | |
| Tube length | | 190 mm (7.5 in) | |
| Image | | erect | |
| Magnif ication | | 24x | |
| Ef efctive diameter of objective lens | | 30 mm (1.2 in) | |
| Field of view | | 1°30' (2.6 ft @ 100 ft) | |
| Minimum focusing distance | | .75 m (2.46 ft) | |
| Stadia ratio | | 1:100 | |
| Stadia additive constant: | | 0 | |
| level viAl sensitivity | 10'/2 mm | | |
| Circular level | | 10'/2 mm | |
| stAnDArD DeviAtion (1 km double-run leveling) | ±1.5 mm | | |
| Without micrometer | | ±2.0 mm | |
| AutomAtic compensAtor | wire-hung, magnetic damper ±16' ±0.5" | | |
| Type | | wire-hung, magnetic damper | |
| Compensation range | | ±16' | |
| Setting accuracy | | ±0.5" | |
| horiZontAl circle | 110 mm (4.3 in) 1°/1 g 0.1°/0.1g | | |
| Diameter of circle | | 110 mm (4.3 in) | |
| Minimum increment | | 1°/1 g | |
| Reading estimation | | 0.1°/0.1g | |
| Dimensions | 190 x 128 x 123 mm (7.5 x 5.0 x 4.8 in) 292 x 170 x 163 mm (11.5 x 6.7 x 6.4 in) | | |
| Instrument (L x H x W) | | 190 x 128 x 123 mm (7.5 x 5.0 x 4.8 in) | |
| Carrying case | | 292 x 170 x 163 mm (11.5 x 6.7 x 6.4 in) | |
| Weight | | | |
| Instrument | | 1.25 kg (2.8 lb) | |
| Carrying case | | 1.2 kg (2.7 lb) | |
Auto Levels AS/AE Series
G Four models to choose from: AS-2/2C, AE7/7C
G Compact and lightweight
G Waterproof construction
G Automatic air-dampened compensator
G Standard optical sight lens
G Powerful telescopes with improved minimum focusing
G Carrying case, adjusting pins and lens cap included
Nikon AS/AE Series auto levels feature waterproof, nitrogen-fi lled, high-power telescopes that help you make precise measurements even in the wettest conditions They feature a unique automatic air-dampened compensator to prevent magnetic interference, and an endless horizontal fi ne drive to ensure smooth, precise pointing and angular measurement AS/AE Series auto levels are easy to set up and easy-to-use All four models can attach to both fl at- and spherical-head tripods, and the standard optical sight lens helps you fi nd your target quickly, easily and accurately A mirror with a pentaprism lets you view the circular bubble as an erect image during setup and sighting
| SpecificationS | aS-2/2c | ae-7/7c |
|---|---|---|
| telescope | | |
| Tube length | 259 mm (10.2 in) | 220 mm (8.7 in) |
| Image | erect | erect |
| Magnif ication | 34x | 30x |
| Ef efctive diameter of objective lens | 45 mm (1.8 in) | 40 mm (1.6 in) |
| Field of view | 1°20' (2.3 ft @ 100 ft) | 1°30' (2.6 ft @ 100 ft) |
| Minimum focusing distance | 1.0 m (3.28 ft) | 0.3 m (0.98 ft) |
| Stadia ratio | 1:100 | 1:100 |
| Stadia additive constant: | 0 | 0 |
| Resolution power | 2.5" | 3" |
| level viAl sensitivity | | |
| Circular level | 10'/2 mm | 10'/2 mm |
| stAnDArD DeviAtion (1 km double-run leveling) | | |
| Without micrometer | ±0.8 mm | ±1.0 mm |
| With micrometer | ±0.4 mm | ±0.45 mm |
| AutomAtic compensAtor | | |
| Type | wire-hung, air damper | wire-hung, air damper |
| Compensation range | ±12' | ±16' |
| Setting accuracy | ±0.3" | ±0.35" |
| horiZontAl circle | | |
| Diameter of circle | 80 mm (3.2 in) (AS-2C only) | 118 mm (4.6 in) (AE-7C only) |
| Minimum increment | 1°/1 g | 1°/1 g |
| Reading estimation: | 1’/1 cg | 0.1°/0.1 g |
| Dimensions | | |
| Instrument (L x H x W) | 259 x 136 x 142 mm (10.2 x 5.4 x 5.6 in) | 220 x 136 x 142 mm (8.7 x 5.4 x 5.6 in) |
| Carrying case | 379 x 195 x 197 mm (14.9 x 7.7 x 7.8 in) | 379 x 195 x 197 mm (14.9 x 7.7 x 7.8 in) |
| Weight | | |
| Instrument | 1.8 kg (4.0 lb)/1.9 kg (4.2 lb) | 1.7 kg (3.7 lb) |
17
poWeR SUppLieS
Nivo C & M Series
On-board Li Ion battery
Dual battery charger
AC adaptor for battery charger
(4) NiMH AA batteries
4 x AA battery charger
Input cord and adaptor
pRiSMS anD eYepieceS
Diagonal Eyepiece Prism (Erect Image)
Solar Filter (52 mm) Objective
For telescope (black body)
Low-Power Eyepiece Lens
Mag. 21x with DTM-322
Mag. 18x with Nivo C & M Series
High-Power Eyepiece Lens
Mag. 41x with DTM-322
Mag. 36x with Nivo C & M Series
Lens Cap (Plastic snap-on)
inStRUMent caSeS
Plastic case for Nivo C & M Series Plastic case for DTM-322
tRipoDS anD RanGe poLeS
tRipoDS
Wooden, Heavy Duty, Round Head Tripod Aluminum, Heavy Duty, Quick Clamp Tripod Advanced Fiberglass Composite, Heavy Duty Tri-Max Tripod
19
Nikon
totaL Station acceSSoRieS
Data tRanSfeR caBLeS
RS-232C: Cable TS to PC (9-pin)
Connects Nikon total station with PC through
serial port
Mini USB Cable
Connects Nikon total station with PC through USB port
DTM-322
RanGe poLeS
2 m Aluminum Range Pole
2 m Carbon Fiber Snap-Lock Range Pole
2 m Carbon Fiber Range Pole
Accessories
eLectRonic tHeoDoLite acceSSoRieS
tRiBRacHS
High-Power Eyepiece Lens
Tribrach Type W20
Without optical plummet
With circular level (10'/2mm)
Tribrach Type W-21
36x when attached to NE-100 Series Theodolite Tubular Compass Adapter for NE-100 Series To mount HEC21001 Tubular Compass onto NE-100 Series Carrying Handle
Tribrach: Optical Plummet Twist Focus
With optical plummet
With optical plummet twist focus
inStRUMent caSeS
Plastic Instrument Case for
NE-100/101/102/103
pRiSMS anD eYepieceS
Diagonal Eyepiece Prism (Erect Image)
Used for steep sighting, plumbing and when using the instrument in confi ned areas For Main Telescope of Theodolite NE-100 Series Low-Power Eyepiece Lens 18X when attached to NE-100 Series
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Biofilm Formation and Colistin Susceptibility of Clinical Isolates of Acinetobacter Species in a Tertiary Care Hospital of Nepal
Bhoj Raj Khanal 1 , Sikha Wagle 2 , Birendra Raj Tiwari 3
ABSTRACT
Introduction: Acinetobacter species are a major cause of hospital acquired infections worldwide with remarkable level of resistance to various classes of antibiotics.
Aim: To evaluate the MIC of colistin against biofilm forming, Multi Drug Resistant (MDR) Acinetobacter species by E-test in a tertiary care hospital of Kathmandu.
Materials and Methods: Isolation and identification of Acinetobacter species was done by standard methods. Biofilms were developed using 96-well microtiter plates in Tryptic Soy Broth (TSB). Optical Density (OD) was measured at 570 nm after washing, fixation and staining. Antibiotic susceptibility test was performed by KirbyBauer disk diffusion method. Carbapenem resistance and Metallo B-Lactamase (MBL) production were tested by Modified Hodge Test (MHT) and Imipenem-EDTA combined disk method respectively. MIC was determined by E-test against colistin.
Results: Out of 573 bacterial isolates the number of Acinetobacter species was 73 (12.7%) and among them 72 (99%) were biofilm producers having significant relationship to multi drug resistance (p=0.01). All isolates were resistant to cephalosporins; 65 isolates (89%) were carbapenem resistant, 61 isolates (93.8%) gave positive MHT, 36 (56%) of total carbapenem resistant Acinetobacter isolates revealed positive for MBL, 72 (99%) of isolates were found sensitive to colistin by disc diffusion method whereas only 68 (93.1%) by MIC testing.
Conclusion: Acinetobacter clinical isolates have a strong ability to produce biofilm. Carbapenemases and MBL were also observed in this study. Only colistin and polymyxin B were effective against higher numbers of isolates, however, 5 (6.9%) of the isolates were found resistant as detected by MIC testing and indicated reduced susceptibility to colistin.
Keywords: Antibiotic susceptibility, Carbapenem resistance, Optical density
Introduction
Acinetobacter species are associated with consistently increasing rates of Healthcare Associated Infections (HAIs) in hospitalised patients [1-3]. Hospital acquired infections caused by Acinetobacter species are more common than community acquired infections. Common species associated with HAIs are Acinetobacter baumannii, Acinetobacter pittii and Acinetobacter nosocomialis [4].
Acinetobacter species are gram negative coccobacilli, with a great ability to acquire resistance to antibiotics. Thus, making it one of the more alarming pathogens today [5]. Risk factors for infections with MDR Acinetobacter species includes prolonged length of hospital stay, exposure to an Intensive Care Unit (ICU), receipt of mechanical ventilation, colonisation pressure, long term exposure to an antimicrobial agents, recent surgery, invasive procedures and underlying severity of illness [6,7].
Acinetobacter baumannii have shown a high degree of resistance to β-lactam antibiotics, fluoroquinolones, aminoglycosides and carbapenems. They have emerged as one of the most problematic pathogens to eradicate using available antibiotics [8]. Carbapenems are most commonly used antibiotics against MDR Acinetobacter baumannii infections. However, resistance to these agents is now a worldwide problem. Carbapenem resistance is due to a combination of different mechanisms. The most common is by carbapenemases mediated enzymatic hydrolysis [9-11].
Colistin and tigecycline are examples of last resort drugs used against carbapenem resistant Acinetobacter infections. However, resistance or reduced susceptibility to these agents has been reported recently in different countries, thus, making treatment of Acinetobacter infections extremely difficult [12].
The main objective of this study was to assess the in-vitro susceptibility of the biofilm producing MDR Acinetobacter species isolated from clinical samples to colistin.
MATERIALS AND METHODS
The descriptive type of study was carried from January 2016 to August 2016 in Norvic International Hospital; a tertiary referral Hospital in Kathmandu, Nepal. In the present study, already isolated bacteria from routine cultures were used. Any personal information from the patients was not included. No ethical clearance is applicable for this study. Acinetobacter species those were isolated from different samples such as endotracheal secretions, endotracheal tubes, blood, sputum, and pus during the study period. The isolation and identification of Acinetobacter species were done by standard microbiological procedures following the World Health Organisation (WHO) protocol [13]. After complete identification, isolates were preserved on TSB with 20% glycerol at -20ºC.
Biofilm production was determined in the laboratory using an overnight culture of Acinetobacter species in 200 µL TSB in 96-well microtiter plates and incubated at 37°C for 24 hours. Un-inoculated wells with TSB were used as negative controls. After incubation, wells were gently washed with normal saline to remove planktonic cells. Fixation of remaining biofilm was done by 2% sodium acetate and then stained with crystal violet (1% w/v) and quantified at 570 nm after solubilisation with ethanol (95%). Optical Density (OD) of each well and OD of the control (ODc) were measured by using 96 well ELISA readers (Multiskan EX, Thermo Electron Corporation, Waltham, MA). Results were interpreted following well established categories of biofilm formation as non-producer, weak-producer, moderate-producer and strong-producer [14].
National Journal of Laboratory Medicine. 2019, Jan, Vol-8(1):MO12-MO15
Susceptibility testing of the clinical isolates of Acinetobacter species against several commercially available antibiotics discs (HiMedia Laboratories Pvt., Limited, India) was performed by Kirby-Bauer disk diffusion method on Mueller Hinton agar (MHA) following Clinical and Laboratory Standards Institute (CLSI) guidelines 2016 [15].
Phenotypic detection of carbapenemase activity was carried out following the Modified Hodge test (MHT) as described by Lee K et al., [16]. A MHA plate was inoculated with the indicator organism (E. coli ATCC 25922). An imipenem disk was placed at the centre of the plate and imipenem resistant Acinetobacter species isolates were streaked from the edge of the disk to the periphery of the plate. After 16 hours of incubation, an indentation forming clover leaf like appearance at the intersection of the test organism and indicator organism was interpreted as MHT positive. Klebsiella pneumoniae ATCC® BAA-1705™ was used as positive control and Klebsiella pneumoniae ATCC® BAA-1706™ was used as negative control.
Phenotypic detection of MBL was performed by combined disk method, Imipenem and Imipenem plus Ethylenediaminetetraacetic Acid (EDTA) as described by Yong D et al., [17]. For the analysis of MBL production, Acinetobacter species were incubated overnight at 37°C on a lawn culture of MHA plate with a disc containing only imipenem and another disc containing imipenem plus EDTA. The zone diameter was compared. The zone of clearance ≥7 mm produced by imipenem plus EDTA disc was considered as positive for MBL.
To determine the MIC of colistin against Acinetobacter species an E-test was performed following the manufacturer's instructions (HiMedia Laboratories Pvt., Limited, India) and another report [18] using strips impregnated with different concentration of colistin. The bacterial suspension, with a turbidity equivalent to 0.5 McFarland standards was prepared by suspending well-isolated colonies in 0.9% saline. The suspension was poured on a previously warmed, dry MHA (HiMedia Laboratories Pvt., Limited, India) plate. Excess liquid was aspirated using a sterile disposable pipette, after which the E-test strip (ranging from 0.06 to 1024 µg/mL of colistin was positioned and incubated for 16-18 hours at 37ºC. MIC values for colistin were interpreted according to manufacturer's instructions and CLSI guidelines 2016 [15].
STSTISTICAL ANALYSIS
Chi-square test was done to estimate the p-values applicable elsewhere; p-values ≤0.5 was considered as statistical significant.
RESULTS
Out of 573 bacterial isolates during the study period, 105 were Gram positive cocci and 468 were Gram negative bacilli, among Gram negative bacilli the number of Acinetobacter species were 73 (12.7%). The result of biofilm formation in the standard microtiter plate method showed that only one isolate did not produce a biofilm, a few isolates produced moderate and weak biofilms; however, the greatest number of isolates produced a biofilm strongly [Table/ Fig-1]. There was a significant relationship between moderate to strong biofilm production and multi drug resistance (p=0.01).
| Mean OD value | No. of isolates (%) |
|---|---|
| OD≤ODc | 1 (1.4) |
| ODc<OD<2ODc | 5 (6.8) |
| 2ODc<OD<4ODc | 2 (2.7) |
Classification of biofilm formation based on microtiter plate method.
[Table/Fig-1]:
OD:Optical density
The antimicrobial susceptibility profiles of Acinetobacter species by modified disc diffusion method showed that all isolates were found resistant to the cephalosporin group [Table/Fig-2]. Highest susceptibility was observed against colistin and polymyxin B.
National Journal of Laboratory Medicine. 2019, Jan, Vol-8(1):MO12-MO15
[Table/Fig-2]: Antimicrobial susceptibility profiles of Acinetobacter species.
| Antibiotics | No. of susceptible isolates (%) |
|---|---|
| Colistin (10 µg) | 72 (98.6) |
| Polymyxin B (300 units) | 72 (98.6) |
| Minocycline (30 µg) | 23 (31.5) |
| Tigecycline (15 µg) | 20 (27.4) |
| Cefoperazone+sulbactam (75/30 µg) | 15 (20.6) |
| Meropenem (10 µg) | 12 (16.4) |
| Levofloxacin (5 µg) | 12 (16.4) |
| Ciprofloxacin (5 µg) | 11 (15.1) |
| Ofloxacin (5 µg) | 10 (13.7) |
| Amikacin (30 µg) | 10 (13.7) |
| Gentamycin (10 µg) | 10 (13.7) |
| Cotrimoxazole (1.25/23.75 µg) | 10 (13.7) |
| Piperacillin+tazobactam (100/10 µg) | 9 (12.3) |
| Imipenem (10 µg) | 8 (11) |
| Ceftazidime (30 µg) | 0 (0) |
| Ceftriaxone (30 µg) | 0 (0) |
| Cefotaxime (30 µg) | 0 (0) |
| Cefepime (30 µg) | 0 (0) |
Among 65 carbapenem resistant isolates 61 (93.8%) gave positive MHT and were carbapenemase producers. There was a significant relationship between imipenem resistance and carbapenemase production (p=0.026) and between meropenem resistance and carbapenemase production (p=0.008). These carbapenemase producing isolates were also tested for MBL production, 56% of total carbapenem resistant Acinetobacter species isolates revealed a positive for MBL test. However, there was no statistically significant relationship between carbapenem and colistin susceptibility among Acinetobacter isolates (p>0.05). Since, the available antibiotics were tested by disc diffusion method which indicated several MDR (not presented on the table), Extensively Drug-Resistant (XDR) and Pan Drug-Resistant (PDR) as per the established classification system [19]. On other hand, there was a significant relationship between moderate to strong biofilm formation by MDR, XDR and PDR strains (p=0.01).
By disc diffusion method, 98.6% of the isolates were found susceptible to colistin, however, only 93.1% strains were found susceptible in the MIC results by the E-test. This result can be interpreted as evidence for a reduced level of susceptibility against colistin by Acinetobacter clinical isolates by this method [Table/Fig-3].
| Antibiotic | Break point (µ/mL) | Resistant No. (%) | Sensitive No. (%) |
|---|---|---|---|
| Colistin | Sensitive ≤2 Resistant ≥4 | 5 (6.9) | 68 (93.1) |
DISCUSSION
In this study the prevalence of Acinetobacter species among total bacterial isolates was 12.7% and among total gram negative bacilli was 15.5%. Similar prevalence was also reported by other studies from Nepal [20-22] and Acinetobacter was the third most commonly isolated gram negative bacilli after E. coli and Klebsiella species.
There was significant relationship between biofilm formation and antibiotic resistance (MDR) indicating serious threat of hospital acquired infections. The result is in accordance with another study carried in Iran [13]. To the best of our knowledge, this is the first study in Nepal that correlates the biofilm formation and MDR of Acinetobacter species with special reference to MIC against colistin by the E-test.
The antimicrobial susceptibility profile of Acinetobacter species from this study found that all isolates were resistant to third and fourth generation cephalosporins. Similar resistance (100%) to cephalosporins was reported by Joshi PR et al., from a tertiary hospital in Nepal [23]. This indicated that cephalosporins are no longer an effective treatment for Acinetobacter infections. This higher cephalosporin resistance among these organisms might be due to hyper production of ESBL [24]. The resistance to imipenem and meropenem was 89% and 83.6% respectively. Similar resistance to imipenem and to meropenem was also reported by other authors [25-27]. A study from Turkey in 2014 by Gundeslioglu OO et al., showed 91.3% carbapenem resistance among Acinetobacter isolates [28]. Rolain JM et al., showed 100% resistance to imipenem and meropenem [29]. However, lower carbapenem resistance (47.3%) of Acinetobacter species was shown by another study [22] from Nepal. Carbapenems group of antibiotics were very effective to treat Acinetobacter infections caused by MDR strains. However, the present result indicated that these drugs can be recommended if they are found effective by antibiotic susceptibility testing. Numerous mechanisms, including decreased permeability, efflux pump over expression and carbapenemase production, can be responsible for the resistance to carbapenems. Class B (IMP and VIM enzymes) and D (oxacillinases) β-lactamases are the most important group of enzymes able to hydrolyze carbapenems [30]. Resistance to carbapenems among these isolates left no options for treatment except colistin and polymyxin B, which have many adverse effects, including nephrotoxicity [29].
The emergence of Acinetobacter resistance against colistin has been reported by other studies [31,32]. However, this report indicates that colistin is still an option for the treatment of infections caused by Acinetobacter species.
All carbapenem resistant strains were tested for carbapenemase production and 93.8% of these gave a positive result by MHT. MBL is one of the most important enzymes responsible for carbapenem resistance in Acinetobacter species, among them, 60.7% of MHT positive isolates gave positive result for MBL production by combined disk method. A study conducted by Khanal S et al., observed that 54.5% of Acinetobacter species were MBL producers [33]. MBL producing bacteria are an increasingly public health problem worldwide with an increased mortality rate.
In the present study, an E-test for the determination of MIC of colistin against Acinetobacter isolates was performed, 6.9% isolates were resistant to colistin with an MIC value ≥4 µg/mL. More than 98% sensitivity to colistin was reported by another study [34]. The E-test is very simple and it greatly reduces the time for MIC testing, authors [35,36] who evaluated the sensitivity and specificity of E-test have recommended this technique to assess MIC in routine clinical setting. The conventional multiple dilution method is a time consuming and not conductive to routine application, whereas the E-test can be easily applied to obtain MIC values of any antibiotics in a routine clinical laboratory setting.
Present results show a high tendency of drug resistance in Acinetobacter species isolated in clinical samples. A continuous antibiotics stewardship program in health care settings is mandatory to control this alarming trend.
LIMITATION
Due to lacking molecular based platform and other newer approaches this study limited to characterise the Acinetobacter isolates only up to species level. The analysis of plasmids responsible for MDR in Acinetobacter clinical isolates for further studies is recommended.
CONCLUSION
High amount of biofilm and MBL production among MDR Acinetobacter isolates was observed in this study. Colistin and polymyxin B were effective against a greater number of isolates, however, 6.9% of the isolates were found resistant to colistin by MIC testing which indicated a reduced susceptibility to colistin by this method. Colistin and polymyxin B are potentially toxic compounds and have limited use in severely ill patients. Furthermore, there is urgent need for alternative treatment options against MDR Acinetobacter. Continuous antibiotics stewardships and proper infective control measures in the hospitals are extremely important to control the nosocomial infections caused by this pathogen.
Author Contributions
BRT conceived and designed the project. BRK and SW performed the experiments as guided by BRT. BRT reviewed the relevant literatures and drafted the manuscript. BRT prepared the final manuscript for submission. All authors read the final manuscript and provided their approval.
Acknowledgement
We are very grateful to the management of Norvic International Hospital, Kathmandu, Nepal, who kindly provided laboratory platform, media, reagents, antibiotics discs and other necessary materials to conduct this study.
References
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[7] Maragakis LL, Perl TM. Acinetobacter baumannii: Epidemiology, antimicrobial resistance, and treatment options. Clin Infect Dis. 2008;46(8):1254-63.
Principe L, D'Arezzo S, Capone A, Petrosillo N, Visca P. In vitro activity [8] of tigecycline in combination with various antimicrobials against multidrug resistant Acinetobacter baumannii. Ann Clin Microbiol Antimicrob. 2009;8(18):01-07.
Lee MH, Chen TL, Lee YT, Huang L, Kuo SC, Yu KW, et al. [9] Dissemination of multidrug-resistant Acinetobacter baumannii carrying BlaOxA-23 from hospitals in central Taiwan. J Microbiol Immunol Infect. 2013;46:419-42.
Opazo A, Dominguez M, Bello H, Amyes SGB, Gonzalez-Rocha G. [10] OXA-type carbapenemases in Acinetobacter baumannii in South America. J Infect Dev Ctries. 2012;6(4):311-16.
Senkyrikova M, Husickova V, Chroma M, Sauer P, Bardon J, Kolar [11] M. Acinetobacter baumannii producing OXA-23 detected in the Czech Republic. Springer Plus. 2013;2:01-07.
Qureshi ZA, Hittle LE, O'Hara JA, Rivera JI, Syed A, Shields RK, et [12] al. Colistin-resistant Acinetobacter baumannii: Beyond carbapenem resistance. Clin Infect Dis. 2015;60(9):1295-303.
Vandepitte J, Kraesten E, Peter P, Claus CH. Basic laboratory [13] procedures in clinical bacteriology. WHO manual, 2 nd ed. ISBN. 2003;92(4):154-545.
Babapour E, Haddadi A, Mirnejad R, Angaji SA, Amirmozafari N. [14] Biofilm formation in clinical isolates of nosocomial Acinetobacter baumannii and its relationship with multidrug resistance. Asian Pac J Trop Biomed. 2016;6(6):528-33.
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Lee K, Chong Y, Shin HB, Kim YA, Yong D, Yum JH. Modified Hodge [16] and EDTA-disk synergy test to screen metallo-β-lactamase-producing strains of Pseudomonas and Acinetobacter species. Clin Microbial Infect. 2001;7(2):88-91.
Yong D, Lee K, Yum JH, Shin HB, Rossolini GM, Chong Y. Imipenem- [17] EDTA disk method for differentiation of metallo beta- lactamaseproducing clinical isolates of Pseudomonas spp. and Acinetobacter spp. J Clin Microbiol. 2009;40:3798-801.
Sinirtas M¸ Akalin H, Gedikoglu S. Investigation of colistin sensitivity [18] via three different methods in Acinetobacter baumannii isolates with multiple antibiotic resistance. Int J Infect Dis. 2009;13:217-20.
Magiorakos AP, Srinivasan A, Carey RB, Carmeli Y, Falagas ME, Giske [19] CG, et al. Multidrug-resistant, extensively drug-resistant and pan drugresistant bacteria: an international expert proposal for interim standard definitions for acquired resistance. Clin Microbiol Infect. 2012;18:26881.
Mishra SK, Rijal BP, Pokhrel BM. Emerging threat of multidrug resistant [20] bugs-Acinetobacter calcoaceticus baumannii complex and methicillin resistant Staphylococcus aureus. BMC Res Notes. 2013;6:01-06.
Yakha JK, Sharma AR, Dahal N, Lekhak B, Banjara MR. Antibiotic [21] susceptibility pattern of bacterial isolates causing wound infection among the patients visiting B&B hospital. Nep J Sci Tech. 2014;15(2):91-96.
Amatya R, Acharya D. Prevalence of tigecycline resistant multidrug [22] resistant Acinetobacter calcoaceticus-Acinetobacter baumannii complex from a tertiary care hospital in Nepal. Nep Med Coll J. 2015;17(1-2):83-86.
Joshi PR, Acharya M, Kakshapati T, Leungtongkam U, Thummeepak [23] R Sitthisak S. Co-existence of blaOXA-23 and blaNDM-1 genes of Acinetobacter baumannii isolated from Nepal: Antimicrobial resistance and clinical significance. Antimicrob Res Infect Control. 2017;6(21):0107.
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[24] Manchanda V, Sanchaita S, Singh NP. Multidrug resistant Acinetobacter J Glob Infect Dis. 2010;2(3):291-304.
Arroyo LA, Mateos I, Gongalez V, Aznar J. In vitro activities of tigecycline, [25] minocycline, and colistin-tigecycline combination against multi- and pandrug- resistant clinical isolates of Acinetobacter baumannii group. Antimicrob Agents Chemother. 2009;53(3):1295-96.
Sohail M, Rashid D, Aslam B, Waseem M, Shahid M, Akran M, et [26] al. Antimicrobial susceptibility of Acinetobacter clinical isolates and emerging antibiogram trends for nosocomial infection management. Rev Soc Bras Med Trop. 2016;49(3):300-04.
Shrestha S, Tada T, Shrestha B, Ohara H, Kirikae T, Rijal BP, et al. [27] Phenotypic characterization of multidrug-resistant Acinetobacter baumannii with special reference to metallo-β-lactamase production from the hospitalized patients in a tertiary care hospital in Nepal. J Institute Med. 2015;37(3):01-09.
Gundeslioglu OO, Gokmen TG, Horoz OO, Aksaray N, Koksal F, Yaman [28] A, et al. Molecular epidemiology and antibiotic susceptibility pattern of Acinetobacter baumannii isolated from children in a Turkish university hospital. The Turk J Pediatr. 2014;56:360-67.
Rolain JM, Loucif L, Al-Maslamani M, Elmagboul E, Al-Ansari N, [29] Taj-Aldeen S, et al. Emergence of multidrug resistant Acinetobacter baumannii producing OXA-23 carbapenemase in Qatar. New Microbes New Infect. 2016;11:47-51.
[30] Bonomo RA, Szabo D. Mechanisms of multidrug resistance in Acinetobacterspecies andPseudomonas aeruginosa. Clin Infect Dis. 2006;43(2):49-56.
Gales AC, Jones RN, Sader HS. Global assessment of the antimicrobial [31] activity of polymyxin B against 54,731 clinical isolates of Gram-negative bacilli: report from the SENTRY antimicrobial surveillance programme. Clin Microbiol Infect. 2006;12:315-21.
Rodloff AC, Leclercq R, Debbia EA, Canton R, Oppenheim BA, [32] Dowzicky MJ. Comparative analysis of antimicrobial susceptibility among organisms from France, Germany, Italy, Spain and the UK as part of the tigecycline evaluation and surveillance trial. Clin Microbiol Infect. 2008;14:307-14.
Khanal S, Joshi DR, Bhatta DR, Devkota U, Pokhrel BM. [33] β-lactamase producing multidrug-resistant bacterial pathogens from tracheal aspirates of intensive care unit patients at National Institute of Neurological and Allied Sciences, Nepal. ISRN Microbiol. 2013;13:05-13.
Sarada V, Rao R, Mani R, Ramana KV. Colistin, polymyxin B and [34] tigecycline suspectibility to metallo beta lactamase producing Acinetobacter baumannii isolated from tertiary health care hospital. American J Microbiol Res. 2014;2(2):60-62.
Nachnani S, Scuteri A, Newman MG, Avanessian AB, Lomeli SL. [35] E-Test: a new technique for antimicrobial susceptibility testing for periodontal microorganisms. J Periodontol. 1992,63(7):576-83.
Luber P, Bartelt E, Genschow E, Wagner J, Hahn H. Comparison [36] of broth microdilution, E Test, and agar dilution. J Clin Microbiol. 2003;41:1062-68.
PARTICULARS OF CONTRIBUTORS:
1. Researcher, Centre Department of Microbiology, Tribhuvan University, Kirtipur, Kathmandu, Nepal.
2. Researcher, Centre Department of Microbiology, Tribhuvan University, Kirtipur, Kathmandu, Nepal.
3. Associate Professor of Microbiology, Saint James School of Medicine, Albert Lake Drive, The Quarter, Anguilla.
NAME, ADDRESS, E-MAIL ID OF THE CORRESPONDING AUTHOR:
Dr. Birendra Raj Tiwari,
Saint James School of Medicine, Albert Lake Drive, The Quarter, Anguilla.
E-mail: tiwari.birendra58@g mail.com
Financial OR OTHER COMPETING INTERESTS: None.
National Journal of Laboratory Medicine. 2019, Jan, Vol-8(1):MO12-MO15
Date of Submission: Aug 05, 2018
Date of Peer Review: Sep 20, 2018
Date of Acceptance: Nov 13, 2018
Date of Publishing: Jan 01, 2019
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SSC GD 21st Feb 2019 Shift-1
All rights reserved. No part of this publication may be reproduced, distributed, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, or stored in any retrieval system of any nature without the permission of cracku.in, application for which shall be made to firstname.lastname@example.org
Instructions
For the following questions answer them individually
Question 1
Reasoning
The statements below are followed by two conclusions labeled I and II. Assuming that the information in the statements is true, even if it appears at variance with generally established facts, decide which conclusion(s) logically and definitely follow(s) from the information given in the statements.
Statements:
1) Some stores are rooms.
2) Some rooms are posters.
Conclusion:
I. Some rooms are stores.
II. Some posters are rooms.
A Only conclusion I follows.
B Both conclusions follow.
C Only conclusion II follows.
D Neither conclusion I nor conclusion II follows.
Answer: B
Explanation:
The venn diagram for above statements is :
Conclusion:
I. Some rooms are stores = true
II. Some posters are rooms = true
Thus, both conclusion follows.
=> Ans - (B)
Question 2
Select the option thatis related to the third term in the same way as the second term isrelated to the first term.
The given pairs are antonyms, final is opposite of initial, similarly opposite of mourn is rejoice.
=> Ans - (D)
Question 3
Select the option that will correctly replace the question mark (?) in the series.
0 + 8 = 8
8 + 16 = 24
24 + 24 = 48
48 + 32 = 80
=> Ans - (D)
Question 4
Select the option that is related to the third number in the same wayas the second number is related to the first number.
12 : 180 :: 14 : ?
A144
B221
C
D
169
238
Answer: D
Explanation:
Expression = 12 : 180 :: 14 : ?
The pattern followed is =x: x
Eg :-12 × (12 + 3) = 180
Similarly,14 × (14 + 3) = 14 × 17 = 238
=> Ans - (D)
(x+ 3)
SSC GD Important Questions and Answers PDF
Question 5
Choose the option that most closely resembles the mirror image of the given word if the mirror is placed at the right side.
A
Answer: A
Explanation:
If the mirror is placed at right side, the object at the right will appear at left and vice-versa. Hence the first letter H will appear at right side, and since its symmetrical, its shape won't be changed. Thus, second option is eliminated.
Also, in the last two options, the shape of G is changed as such the mirror is placed below it, hence the correct image is shown in first option.
=> Ans - (A)
Question 6
The statements below are followed by two conclusions labeled I and II. Assuming that the information in the statements is true, even if it appears at variance with generally established facts, decide which conclusion(s) logically and definitely follow(s) from the information given in the statements.
Statements:
1) All customers are clients.
2) All clients are medicines.
Conclusion:
I. Some medicines are customers.
II. Some medicines are clients.
A Either conclusion I or conclusion II follows.
B Both conclusions follow.
C Only conclusion II follows.
D Only conclusion I follows.
Answer: B
Explanation:
The venn diagram for above statements is :
Conclusion:
I. Some medicines are customers = true
II. Some medicines are clients = true
Thus, both conclusion follow.
=> Ans - (B)
Question 7
In certain code, VIROLOGY is written as LOGYVIRO. How will SEMANTIC be written in that code?
ANTICSEMA
BCITNAMES
C NTJCSEMA
DNTICSFMA
Answer: A
Explanation:
VIROLOGY is written as LOGYVIRO
The pattern followed is that the word is divided into two halves, and in the final output, the two halves are interchanged.
Eg :- VIROLOGY VIRO and LOGY ≡
Output : LOGY + VIRO = LOGYVIRO
Similarly, SEMANTIC : NTICSEMA
=> Ans - (A)
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Question 8
There is only one runway which will be used by seven flights one by one. P and Q will use the runway neither first nor last. S will use it second after R. M will use it second before O. N will use it after O and before R. Q will use it just before S. Who will use the runway in the middle?
Explanation:
P and Q will not use the runway either first or last.
S will use it second after R and Q will use it just before S, => Order is RQS
N will use it after O and before R and M will use it second before O, S will be at end. Final arrangement :
Answer: A
Question 10
Choose the odd one out of the given options.
Explanation:
Except for QSC, all the other letters start with a vowel, hence it is the odd one.
=> Ans - (D)
20 SSC GD Mocks 117 (Latest Pattern)
Question 11
Eight friends A, B, C, D, E, F, H and G are sitting around a circular table facing each other for a group discussion. A is opposite F and second to the right of E. G is between C and A.H is to the left of E. Who is sitting to the immediate left of A?
Explanation:
A is opposite F and second to the right of E, => E is sitting second to the left of A.
G is between C and A, => G is to the immediate right of A, and C is opposite of E.
Also, H is to the left of E. Thus, final arrangement :
=> Ans - (D)
Question 12
Seven friends O, P, Q, R, S, T and U are watching a cricket match sitting in a stadium.P is sitting at one extreme end. T is sitting between Q and U,and is sitting to the immediate right of S and immediate left of Q. is sitting second to the left of P. Whois sitting between U and P?
D
Answer: D
Explanation:
The pattern followed in the alternate positions is that, at A, C and E, the circle is at north, west and bottom respectively. And at even positions, it is at north west and south west positions respectively. Thus, the last one is the possible solution.
=> Ans - (D)
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Question 14
Select the option that is related to the third term in the same wayas the second term is related to the first term. AC : CI :: GH : ?
AUY
BUX
C
D
UU
UV
Answer: B
Explanation:
Expression = AC : CI :: GH : ?
According to the numerical representation of the alphabets, we get A=1, B=2, C=3 and so on.
Now, thrice of each letter of first term is equal to the subsequent letters of the second term.
Question 15
In a certain code, OPTIMIST is written as 121. How will PESSIMIST be written in that code?
A129
B105
C 131
D
127
Explanation:
If we add the numbers represented by the English alphabets, i.e. A=1, B=2, C=3, ....., Y=25, Z=26
Question 16
Select the option that will correctly replace the question mark (?) in theseries. PRL, QPM, RNN, SLO, ?
Answer: C
Explanation:
Series : PRL, QPM, RNN, SLO, ?
The pattern followed in each letter of the terms is :
1st letter : P (+1 letter) = Q (+1 letter) = R (+1 letter) = S (+1 letter) = T
2nd letter : R (-2 letters) = P (-2 letters) = N (-2 letters) = L (-2 letters) =J
3rd letter : L (+1 letter) = M (+1 letter) = N (+1 letter) = O (+1 letter) = P
Thus, missing term : TJP
=> Ans - (C)
SSC MTS Previous Question papers (download pdf)
Question 17
Select the Venn diagram that best represents the given set of classes. Animals, Mammals, Deer
Explanation:
All animals comes under the category of mammals, and all deers are animals, hence the venn diagram that best describe above relationship is :
=> Ans - (D)
Question 18
Choose the odd number out of the given options.
A 151
B163
C 157
D161
Answer: D
Explanation:
Among the given numbers, except 161, all are prime numbers.
161 = 7 × 23
=> Ans - (D)
Question 19
Select a figure from amongst the four alternatives, that when placed in the blank space (?) of figure X will complete the pattern. (Rotation is not allowed).
A
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Question 20
Find out the two signs to be interchanged to make the following equation correct.
18 + 3 × 27 −9 ÷ 3 = 78
A and
+ ×
B
C
D
and and
+
−
+and
÷
÷
−
Answer: A
Explanation:
Expression : 18 + 3 × 27 −9 ÷ 3 = 78
(A) : and
+ ×
L.H.S. ≡18 × 3 + 27 −9 ÷ 3
=
R.H.S.
54 + 27 −3 = 78 =
=> Ans - (A)
Question 21
Select the option that will correctly replace the question mark (?) in the series.
12, 22, 42, 82, ?
A
172
B182
C
D
152
162
Answer: D
Explanation:
The pattern followed is :
12 + 10 = 22
22 + 20 = 42
42 + 40 = 82
82 + 80 = 162
=> Ans - (D)
Question 22
Select the option that will correctly replace the question mark (?) in the given pattern.
A6
B 24
C36
D8
Answer: A
Explanation:
The number at the top is equal to the product of sum and difference of bottom two numbers.
SSC CHSL Prevoius Papers (DOWNLOAD PDF)
A square transparent sheet with a pattern is given. How will the pattern appear when the transparent sheet is folded along the dotted line?
Explanation:
In the question figure, the horizontal line divides the figure in two symmetrical figures, thus when we fold the lower half, it will exactly cover the upper half, and hence the figure in top half will appear.
=> Ans - (A)
Question 24
Select the option that is related to the third term in the same way as the second term is related to the first term.
Blend : Mix :: Request : ?
Explanation:
The first two words are synonyms of each other, similarly request and solicit have similar meanings.
Question 25
Select a figure from amongst the four alternatives, that when placed in the blank space (?) of figure X will complete the pattern. (Rotation is not allowed).
Explanation:
The question figure is embedded in following figure and is represented by red colour.
For the following questions answer them individually
Question 26
Which of the following statements about the Indus Valley Civilization is NOT true?
A It was an urban civilisation where people lived in well planned towns
BAnimal meat was the staple food
C
DThe houses were made of baked bricks
SSC GD Constable Previous Papers
Question 27
Dry Ice is the solid form of:
A methane
B carbon dioxide
C oxygen
D ozone
Answer: B
Question 28
Timur invaded India during the reign of:
A Akbar
B Alauddin Khilji
CFeroz Shah Tughlaq
D Nasir-ud-Din Mahmud Shah Tughluq
Answer: D
Question 29
Who wrote the book 'War and Peace'?
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Question 30
India has won 8 Olympic gold medalsfor field hockey. When was the last time India won a gold medal for hockey in Olympics?
A1976
B1984
C
1988
D
1980
Answer: D
Question 31
Which of the following statements is NOT true about angiosperms?
A They have stems, leaves and roots
B Conifers, Cycads and Ginkgo are examples of angiosperms
C They have to undergo pollination before they can reproduce
D The flowers carry the reproductive organs
Answer: B
Question 32
The economic survey is usually presented ......... before the Union Budget.
A 1 day
B 15 days
C 7 days
D 2 days
Answer: A
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Question 33
Gita Gopinath became the first woman to occupy the position of Chief Economist of:
A World Trade Organisation
B UNESCO
C World Bank
D International Monetary Fund
Answer: D
Question 34
The holy place of the Jains, Shravanabelagola is situated in which district of Karnataka?
A ShimogaDistrict
B Bellary District
C Mysore District
D Hassan District
Answer: D
The Government of India releases MSP of agricultural produce from time to time. What is the full form of MSP?
A Minimum Selling Price
B Minimum Support Price
C Maximum Selling Price
D Maximum Support Price
Answer:
B
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Question 36
Golconda Fort was built in the century by the ............. Dynasty. 13 th
A Kakatiya
BChola
C
D
Periyar
Chalukya
Answer: A
Question 37
In the context of climate. what is the full form of ITCZ?
A Indian Trough Conversation Zone
BInter Tropical Convergence Zone
C Intra Temperate Control Zone
DIslandic Tropical Climate Zone
Answer: B
Question 38
The Indian athlete Dutee Chand is associated to which of the following sporting events?
AShotput
BJavelin
C Jumping
D Sprinting
Answer: D
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Question 39
A special property of acids and bases is their ability to ......... each other's properties.
A Crystalize
BNeutralize
C
D
Amortize
Naturalize
Answer: B
Question 40
According to the report published by the World Health Organization (WHO)in 2017, approximately how many people in the world do NOT have access to safe drinking water at home?
A4.2 billion
Question 42
Swachh Bharat Abhiyan was launched by the governmentof India on the birth anniversary of:
A Mahatma Gandhi
B
Vallabhbhai Patel
C Jawaharlal Nehru
D
Atal Bihari Vajpayee
Answer:
A
Question 43
The Constitution of India came into force on 26 January 1950. Which act or governing document did it replace?
A Government of India Act, 1858
B Government of India Act, 1935
C Indian Councils Act, 1892
D Regulating Act, 1773
Answer: B
Question 44
The parliament has powers to amendthe provisions of the Constitution of India. Which article of the constitution confers this power on the parliament?
A Article 1
BArticle 256
C Article 55
D Article 368
Answer: D
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Question 45
The first major nation wide Satyagraha launched by Mahatma Gandhi was against:
ARowlatt Act
BPartition of Bengal
C Tax on Khadi products
DSalt tax
Answer: A
Question 46
Which of the following is NOT true about the 'Protection of Women from Domestic Violence Act, 2005'?
A Injury can be physical, emotional or economic.
B It also applies to violence at workplace.
C It applies in case of injury or harm or threat of injury or harm by the adult male memberof the house hold.
D The term 'Domestic' includes all women wholiveor have lived in a shared household with the accused male member.
Answer: B
Question 47
The host country for 2022 FIFA World Cup is:
AJapan
B
C
D
Germany
France
Qatar
Answer: D
SSC GD Constable Free Mock Test (Latest Pattern)
Question 48
'Slash and burn' type of farming is also known as:
A shifting farming
B intensive subsistence farming
C extensive farming
D commercial farming
Answer: A
Question 49
What is the monthly salary of the President of India as per 2018 Budget?
Question 50
Which of the following is NOT a method of soil conservation?
A Intercropping
B Mulching
C Contour Ploughing
D Weathering
Answer: D
SSC MTS Free Mock Test (Latest Pattern)
Quant
Instructions
For the following questions answer them individually
A sector is cut from a circle of diameter 42 cm. If the angle of the sector is then what is its area in . 150 ∘ cm 2
Explanation:
Area of sector = 360
∘
θ
150
∘
=
×
22
=
×
360
∘
5
×
7
(21)
2
×
12
22 × (3 × 21)
= ×
2
5
11 × 21 = 577.5
=> Ans - (B)
cm
2
πr
2
SSC CPO Free Mock Test (Latest Pattern)
Question 52
The present ages of A and are in the ratio 15 : 8. After 8 years their ages will be in the ratio 17 : 10. What will be the ratio of ages of A and B after 10 years from now?
A 10 : 7
B8 : 5
C5 : 3
D 7 : 4
Answer: C
Explanation:
Let present age of A = years and B = years 15x 8x
According to ques,
=>
=
8 +8
15 +8
10
17
=>
=>
x x
150x
14
+ 80 = 136x+ 136
x= 136 −80 = 56
=>x= =
14
56
4
∴
Ratio of ages of A and B after 10 years from now =
=
8×4+10
15×4+10
70
=
42
5 : 3
=> Ans - (C)
A circus tent is cylindrical to a height of 3 meters and conical above it. If the radius of the base is 52.5 m and the slant height of the cone is 52 m,then the total area of the canvas required to make it is:
Total area = Curved surface area of cylinder + Curved surface area of cone.
=2πrh+πrl
=
=
=
πr(2h
52.5
+
π
l)
× [(2 × 3) + 52]
52.5π× 58
=3045π m
2
=> Ans - (B)
Question 54
The compound interest on a sum of ₹ 24500 at 10% p.a for years interest compounded yearly is: 2 5 2
Explanation:
Principal sum = Rs. 24,500
P
Rate of interest =
and time period =
years
r= 10%
t= 2
5
2
Amount when compounded annually (time in fraction) =
2
P× (1 +) ×
r
5
100
r
t
(1 +
100
10
2 10
Downloaded from cracku.in
) {
∵
time in mixed fraction is
2
5 }
SSC GD Free Videos (Youtube)
Instructions
Study the following table, which shows the number of units of a product manufactured and sold by a company in five years, and answer questions.
Question 55
What percent of total units of the product manufactured in 2013 and 2015 is the total units unsold during the five years? (correct to one decimal place)
A30.8
B30.3
C
D
29.6
29.4
Answer: B
Explanation:
Total units of the product manufactured in 2013 and 2015 = 350 + 300 = 650
Total units unsold =(350 −320) + (375 −315) + (300 −280) + (450 −423) + (420 −360)
Question 56
The ratio of the total number of units sold in 2014 and 2015 to the number of units manufactured in 2017 is:
A17:12
B19:14
C
D
9:8
14:17
Answer: A
Explanation:
Total number of units sold in 2014 and 2015 = 315 + 280 = 595
Number of units manufactured in 2017 = 420
=> Required ratio = =
420
595
17 : 12
=> Ans - (A)
Instructions
For the following questions answer them individually
Question 57
The value of of of lies between: 1.6 ÷ 1.6 1.6 + 0.6 1.4 ÷ 0.5 −0.001 × 1.5 ÷ 0.075
C3.2 and 3.4
D3 and 3.2
Answer: C
Explanation:
Expression =
of
1.6 ÷ 1.6
=( ×
1.6
1.6
1.6) + (0.6 ×
=
of
1.6 + 0.6
1.4
1.4 ÷ 0.5 −0.001 × 1.5 ÷ 0.075
) −
0.5
(1.6) + () −
5
8.4
()
75
1.5
=1.6 + 1.68 −0.02 = 3.26
=> Ans - (C)
(0.001 ×
1.5
)
0.075
SSC GD Free App
Question 58
The average of 10 numbers is 41. The average of first 3 numbers is 39.4 and the average of last 4 numbers is 43.5. number is 2 more than the number and 0.2 more than the number. What is the average of the and numbers 4 th 5 th 6 th 4 th 6 th
A38.7
B38.9
C
D
39.6
39.9
Answer: D
Explanation:
Average of 10 numbers = 41
=> Sum of 10 numbers = 41 × 10 = 410
Similarly, sum of first 3 numbers = 39.4 × 3 = 118.2
Sum of last 4 numbers =43.5 × 4 = 174
Let 4th, 5th and 6th numbers be respectively. x, y, z
=>
----------------(i)
x+y+z= 410 −118.2 −174 = 117.8
Also,x=y+ 2 =z+ 0.2 = (say) ------------(ii)
Downloaded from cracku.in
k
Question 59
The average age of 24 students in a class is 15.5 years. The age of their teacher is 28 years more than the average of all twenty five. What is the age of the teacher in years?
Answer: C
Explanation:
Average age of 24 students in the class = 15.5 years
=> Total age of 24 students =
years
24 × 15.5 = 372
Let age of teacher = years and average age of all 25 =
x
According to ques, =>x= 28 +
25
372+x
Thus, age of teacher = years 44 3 2
=> Ans - (C)
Question 60
If 12, x, 8 and 14 are in proportion, then what is the mean proportional between (x - 12) and (x + 4)?
Explanation:
12, x, 8 and 14 are in proportion,
=> =
x
12
14
8
=>8x= 14 × 12
=>x= 7 × 3 = 21
Thus, mean proportional between (x
372+
−12) = 21 −12 = 9and(x+ 4) = 21 + 4 = 25
Downloaded from cracku.in is
A 280 m long train is running at 108 km/hr. In how much time will it cross a bridge of length 170 m?
A10 sec
B15 sec
C
D
16 sec
12 sec
Answer: B
Explanation:
Speed of train = 108 ×
Distance covered =
∴
Time taken = 30
450
=> Ans - (B)
Question 62
A shopkeepers made a profit of 16% on his goods.If the price at which he buys decreases by 20% while he reduces his selling price by 23%, what is now his percentage of profit? (correct to one decimal place)
A11.6
B15.4
C
D
12.9
14.6
Answer: A
Explanation:
Let his cost price = Rs. 100x
Selling price to get 16% profit = 100
116
Now, new cost price = ×
100
80
100
New selling price = 100
77
∴
New Profit % =
89.32
= ×
4
9.32
×
x
x 80
5 = 11.6%
=> Ans - (A)
Question 63
The largest sphere is carved out of a cube of side 7 . What is the volume of the sphere in (Take ) cm cm 3 π = 7 22
A
179
3
2
1
Downloaded from cracku.in
116
−80
x
x
× 100
=
x=
Rs
=
x
×
Rs
. 80x
Rs
100
. 89.32x
m/s = m/s
18
5
30
280 + 170 = 450
= 15seconds
. 116x
B
C
D
182
179
3
1
1
3
182
3
2
Answer: A
Explanation:
Diameter of largest sphere = side of cube = 7 cm
Volume of sphere = πr 3 4 3
= ×
3
4
×
7
22
( ) 2
7 3
= ×
3
11
49 =
=179
3
2
cm
3
539
3
=> Ans - (A)
Question 64
Two vessels A and B contain solution of acid and water. In A and B the ratio of acid and water are 7 : 3 and 4 : 1, respectively. They are mixed in the ratio 1 : 2. What is the ratio of acid and water in the resulting solution?
Explanation:
In 1 unit of vessel A, quantity of acid = × 10 7 1 = 10 7
Quantity of water = ×
10
3
1 =
10
3
Similarly, in 2 units of vessel B, quantity of acid = × 5 4 2 = 5 8
Quantity of water = × 5 1 2 = 5 2
=> Ratio of acid and water in the resulting solution = [( + 10 7 ) : 5 8 ( + 10 3 )] 5 2
=:
10
23
10
7
=23 : 7
=> Ans - (C)
Question 65
Let x be the least multiple of 29 which when divided by 20, 21, 22, 24 and 28 then the remainders are 13, 14, 15, 17 and 21 respectively. What is the sum of digits of x?
A18
B22
C 19
Answer: D
Explanation:
Since, the difference between the all the numbers are : (20-13), (21-14) = 7
Thus, L.C.M. (20,21,22,24,28) = 9240
multiple of 29 k
Hence, required number will be of the form = 9240 −7 =
By hit and trial, we see that satisfy above equation, thus required number = k = 2 (9240 × 2) −7 = 18473
=> Sum of digits =23
=> Ans - (D)
Question 66
At what percentage above the cost price must an article be marked so as to gain 38% after allowing a customer a discount of 8% on the marked price?
A48
B46
C
D
50
45
Answer: C
Explanation:
Let cost price = Rs. 100x
=> Profit % = 38%
=> Selling price = ×
100
138
100x=Rs. 138x
After discount of 8%, marked price = ×
92
138x
100 =Rs. 150x
20 SSC GD Mocks 117 (Latest Pattern)
Question 67
The numbers 6, 8, 11, 12, 2x - 8, 2x + 10, 35, 41, 42, 50 are written in ascending order. If their median is 25, then what is the mean of the numbers?
A24.8
B24.6
C
D
25.5
25.2
Answer: C
Explanation:
Numbers in ascending order : 6, 8, 11, 12, 2x - 8, 2x + 10, 35, 41, 42, 50
Median of 10 numbers is the mean of 5th and 6th numbers.
() ()
=>4x+ 2 = 50
=>x= =
4
48
12
Thus, sum of the numbers are = 6+8+11+12+16+34+35+41+42+50 = 255
Question 68
A takes 6 hours more than B to cover a distance of 60 km. But if A doubles his speed, he takes 3 hours less than B to cover the same distance. The speed (in km/hr) of A is:
A
3
3
1
B
4
C 4
D 5
Answer: A
Explanation:
Let speed of A = km/hr and speed of B = km/hr x y
=> Time taken by B to cover 60 km =
y
60
Thus, time taken by A = = x 60 6 + y 60
=>
-----------------(i)
−
1
x
1
=
y 10
1
Similarly, +
2x
60
3 =
y
=>
-----------------(ii)
−
y
=
2
1
x
1
20
1
Adding equations (i) and (ii), we get : = 2x 1 20 3
=>x= =
3
10
3
3
1
∴
Speed of A =
=> Ans - (A)
Question 69
Asum of ₹ 1518 is divided among A, B, and C, such that A receives 20% more than B and B receives 20% less than C. What is the share of C in the sum?
A ₹528
B
C
D
₹
₹
440
550
₹572
Answer: C
Explanation:
Let sum received by C = Rs. 100x
80
3
1
3 km/hr
60
2
3
=> Ans - (C)
SSC CPO Previous Question papers (download pdf)
Question 70
Study the following table, which shows the number of units of a product manufactured and sold by a company in five years, and answer questions.
In which year the number of units of the product sold is 19000 more than the average number of units manufactured per year?
A2016
B2015
C
D
2017
2014
Answer: C
Explanation:
Total number of units manufactured per year (in thousands) = 350 + 375 + 300 + 450 + 420 = 1895
=> Required average = ×
5
1895
1000 = 379, 000
Thus, year in which number of units sold = = 2017 379, 000 −19, 000 = 360, 000
=> Ans - (C)
Question 71
The simple interest on a certain sum is % of the sum and the number of years is equal to the rate percent per annum. What will be the simple interest on a sum of ₹ 12600 at the same rate for years? 11 9 1 2 5 4
A ₹1216
B ₹1224
C ₹1176
D ₹1164
Answer: C
Explanation:
1
Let sum = Rs. , => Simple interest = Rs. 9x × 9 1 9x = x
Simple interest = 100
P×r×t
=>
=
100
9x×r×r
x
=>r=
2
9
100
100
=>r= =
9
%
3
10
Simple interest on a sum of ₹ 12600 at the same rate for years ∴ 2 5 4
A can complete of a work in 8 days. B can complete of the same work in 12 days and C can complete of the same work in 8 days. A and B worked together for 5 days. How much time(in days) will C alone take to complete the remaining work? 3 2 5 3 9 4
A6
Answer: A
Explanation:
Let total work to be done be L.C.M.(3,5,9) = 45 units
Thus, A complete of the work in 8 days, => 30 units in 8 days 3 2
=> A's efficiency =
units/day
=
8
30
3.75
Similarly, B's efficiency =
units/day
=
12
27
2.25
and C's efficiency =
units/day
=
8
20
2.5
Now, work done by A and B in 5 days = units (3.75 + 2.25) × 5 = 30
∴
Remaining work done by C in =
days
=
2.5
(45−30)
6
=> Ans - (A)
SSC MTS Previous Question papers (download pdf)
Question 73
The ratios of efficiencies of A and B of doing a certain work is 5 : 8. Working together they can complete the work in 20 days, A alone will complete 25% of that work in:
Explanation:
Let total work to be done be L.C.M. (13,20) = 260 units
Let work done by A in 1 day = and by B = units 5xunits 8x
=> Total work done in 1 day by A and B = (5x+ 8x) = 13x
According to ques, =>13x× 20 = 260
Question 74
If 20% more would be gained by selling an article for ₹ 93 than selling it for ₹ 85, then the cost price of the article is:
D ₹60
Answer: B
Explanation:
Difference between the selling price = 93 - 85 = Rs. 8
Question 75
The value of
A
8
4
3
B
C
2
8
5
3
3
5
D
1
4
3
5
5
6
÷ 3
1
2
× 2
1
10
+
3
5 of7
1
2
÷
2
3
−
2
3
÷
8
15
×
units
1
1
5
=
=
4
14+27−6
=> Ans - (A)
35
4
= 8
3
4
Free SSC Study Material (18,000 Solved Questions)
English
Instructions For the following questions answer them individually
Question 76
Select the antonym of the given word.
GRANT
A Refuse
B Approve
C Reject
D Sanction
Answer: A
SSC CHSL Prevoius Papers (DOWNLOAD PDF)
Question 77
Select the most appropriate option to substitute the underlined segment in the given sentence. If there is no need to substitute it, select No improvement.
A team of doctors is focusing over treatment of cancer at an early age.
A is focusing on to treatment of cancer
B is focusing on treatment of cancer
C No improvement
D is focusing in treatment of cancer
Answer: B
Question 78
From the given options, identify the segment in the sentence which contains the grammatical error. As a painter he are good if not better than Suresh.
Question 79
Select the most appropriate option to substitute the underlined segment in the given sentence.If there is no need to substitute it, select No improvement.
He have been working on and off for two years to complete a book.
A has work
B have worked
C No improvement
D has been working
Answer: D
SSC Stenographer Previous Papers (Download PDF)
Question 80
Select the word which means the same as the group of words given. One who makesan eloquent public speech
A Leader
B Debater
C Speaker
D Orator
Answer: D
Question 81
Select the most appropriate option to substitute the underlined segment in the given sentence.If there is no need to substitute it, select No improvement.
Would you mind help me with these questions?
A Would you mind helping
B Would you mind for helping
C No improvement
DWould you mind to help
Answer: A
Question 82
Select the word which means the same as the group of words given. The absence of government in a country
A Bureaucracy
B Anarchy
C Autocracy
D Democracy
Answer:
B
SSC GD Constable Previous Papers
Question 83
Select the option that means the same as the given idiom. In black and white
A In writing
B In colour
CScanned
D Photocopied
Answer: A
Instructions
In the following passage some words have been deleted. Fill in the blanks with the help ofthe alternatives given. Passage:
In 1893, Lokmanya Tilak converted the Ganapatifestival ............(1) a national celebration. He campaigned for .............(2) wide celebration of this public festival throughout Maharashtra. It was ............(3) this festival that he ..............(4) mobilise public support for the nationalist ............(5)
Question 84
Select the most appropriate option that will fill in the blank number 1.
A with
Binto
Cfor
Dto
Answer: B
Question 85
Select the most appropriate option that will fill in the blank number 2.
Aa
Bsome
Cthe
Done
Answer: C
SSC MTS Previous Papers (DOWNLOAD PDF)
Question 86
Select the most appropriate option that will fill in the blank number 3.
A
with
Bthrough
Cwithout
Dthroughout
Answer: B
Question 87
Select the most appropriate option that will fill in the blank number 4.
Amay
Bcan
Cwill
Dcould
Answer: D
Question 88
Select the most appropriate option that will fill in the blank number 5.
Amovement
Bterm
Cseason
Dfestival
Answer: A
SSC GD Constable Previous Papers (DOWNLOAD PDF)
Instructions
For the following questions answer them individually
Question 89
Select the most appropriate optionto fill in the blank.
'Discovery of India' ......... by Jawaharlal Nehru.
Ahave been written
Bhas written
Chas been written
Dhave written
Answer: C
Question 90
Select the correctly spelt word.
A Aquaintance
B Acquantance
C Acquaintance
D Acquaintence
Answer: C
Question 91
From the given options, identify the segment in the sentence which contains the grammatical error. When I asked for directions, he gave me many wrong informations.
A When I asked
B for directions
C wrong informations
D gave me many
Answer: C
SSC CGL Previous Papers (DOWNLOAD PDF)
Question 92
Select the synonym of the given word. ZENITH
A Peak
B Border
C Brink
DEdge
Answer: A
Question 93
Select the option that means the same as the given idiom. Hit the nail on the head
A Accurately right
B Hit the nail exactly
C Use hammer and nail
D Use some tools
Answer: A
Question 94
Select the synonym of the given word. RESISTANCE
SSC CGL Free Mock Test (Latest Pattern)
Question 95
Select the antonym ofthe given word.
HUMILITY
ACruelty
BShyness
CObedience
D Modesty
Answer: D
Question 96
Select the most appropriate option to fill in the blank.
One should be careful to check the grease and oil in ........... car occasionally for it's smooth functioning
From the given options, identify the segment in the sentence which contains the grammatical error. Is the older person always more wiser than the younger one?
AIs the
Bmore wiser
C older person always
Dthan the younger one?
Answer: B
SSC CHSL Free Mock Test (Latest Pattern)
Question 98
Select the most appropriate word to fill in the blank.
Many tourists to India visit the beautiful valley of Kashmir .......... in spring and summer.
A generally
B rarely
C especially
Dfrequently
Answer: C
Question 99
Select the most appropriate word to fill in the blank.
Our society is .......... by the evil of corruption; the integrity of even senior officials is disputed.
A indicated
B endangered
C specified
D identified
Answer: B
Question 100
Select the correctly spelt word.
A Millennium
B Milennium
CMillenniam
D Millenium
Answer: A
SSC Stenographer Previous Papers (Latest Pattern)
SSC GD Free App
SSC GD Important Questions and Answers PDF
SSC GD Syllabus (Download PDF)
20 SSC GD Mocks 117 (Latest Pattern)
SSC CPO Previous Question papers (download pdf)
SSC MTS Previous Question papers (download pdf)
Free SSC Study Material (18,000 Solved Questions)
SSC CHSL Prevoius Papers (DOWNLOAD PDF)
SSC Stenographer Previous Papers (Download PDF)
SSC GD Constable Previous Papers
SSC MTS Previous Papers (DOWNLOAD PDF)
SSC GD Constable Previous Papers (DOWNLOAD PDF)
SSC CGL Previous Papers (DOWNLOAD PDF)
SSC CGL Free Mock Test (Latest Pattern)
SSC CHSL Free Mock Test (Latest Pattern)
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SSC GD Free Videos (Youtube)
|
Digital Video Encoder
Description
The CXD1910AQ is a digital video encoder designed for set top box, digital VCRs and other digital video applications. The device accepts ITUR601 compatible Y, Cb, Cr data, and the data are encoded to analog composite video and Y/C video (S-Video) signal.
Features
* NTSC and PAL encoding mode
* Composite video and separate Y/C video (SVideo) outputs
* Y, U, and V outputs
* 8/16-bit pixel data input mode
* 13.5 Mpps pixel rate
* 10-bit 3 channels DACs
* Supports I 2 C bus (400kHz) and SONY SIO
* Closed Caption (Line 21, Line 284) encoding
* Macrovision Pay-Per-View copy protection system ∗ Rev. 6.1
* Monolithic CMOS single 5.0V power supply
* 64-pin plastic QFP package
∗ This device is protected by U.S. patent numbers 4631603, 4577216 and 4819098 and other intellectual property rights. Use of the Macrovision anticopy process in the device is licensed by Macrovision for non-commercial home use only. Reverse engineering or disassembly is prohibited.
CXD1910AQ
Absolute Maximum Ratings
Recommended Operating Conditions
I/O Capacitance
Note) Test conditions: V
DD
= V
I
= 0V
f
M
= 1MHz
Pin Description
| Pin No. | Symbol | I/O | Description |
|---|---|---|---|
| 1 | PD7 | I | 8-bit pixel data input pins (PD0 to 7). When control register bit “PIF MODE” = “0”: These are inputs for multiplexed Y, Cb, and Cr signal. When control register bit “PIF MODE” = “1”: These are inputs for Y signal. |
| 2 | PD6 | I | |
| 3 | PD5 | I | |
| 4 | PD4 | I | |
| 5 | VSS | — | Digital ground |
| 6 | PD3 | I | 8-bit pixel data input pins (PD0 to 7). When control register bit “PIF MODE” = “0”: These are inputs for multiplexed Y, Cb, and Cr signal. When control register bit “PIF MODE” = “1” These are inputs for Y signal. |
| 7 | PD2 | I | |
| 8 | PD1 | I | |
| 9 | PD0 | I | |
| 10 | VDD | — | Digital power supply |
| 11 | PD15/TD7 | I/O | 8-bit pixel data input pins / Test data bus. When control register bit “PIF MODE” = “0”: These inputs are not used. When control register bit “PIF MODE” = “1”: These are inputs for multiplexed Cb and Cr signal. When test mode, it's used for internal circuit test data bus. Test mode is available only for device bender. |
| 12 | PD14/TD6 | I/O | |
| 13 | PD13/TD5 | I/O | |
| 14 | PD12/TD4 | I/O | |
| 15 | PD11/TD3 | I/O | |
| 16 | PD10/TD2 | I/O | |
| 17 | PD9/TD1 | I/O | |
| 18 | PD8/TD0 | I/O | |
| 19 | VSS | — | Digital ground |
| 20 | IREF | O | The reference current output pin. Connect resistance “16R” which is 16 times output resistance “R”. |
| 21 | VREF | I | The voltage reference input pin. Sets output full scale value. |
| 22 | AVDD1 | — | Analog power supply |
| 23 | AVSS1 | — | Analog ground |
| 24 | COMP-O/V | O | This is the output of 10-bit D/A converter. When control register bit “YC/YUV” = “1”: This pin outputs composite signal. When control register bit “YC/YUV” = “0”: This pin outputs color difference (V) signal. |
| 25 | VB | O | Connect to VSS with a capacitor of approximately 0.1µF. |
| 26 | VG | I | Connect to AVDD with a capacitor of approximately 0.1µF. |
| 27 | AVDD2 | — | Analog power supply |
| 28 | AVSS2 | — | Analog ground |
| 29 | Y-OUT/Y | O | This is the output of 10-bit D/A converter. This pin outputs luminance (Y) signal. |
| Pin No. | Symbol | I/O |
|---|---|---|
| 30 | AVDD3 | — |
| 31 | AVSS3 | — |
| 32 | C-OUT/U | O |
| 33 | TD10 | I/O |
| 34 | VDD | — |
| 35 | TD9 | I/O |
| 36 | TD8 | I/O |
| 37 | XTEST1 | I |
| 38 | XTEST2 | I |
| 39 | XTEST3 | I |
| 40 | VSS | — |
| 41 | TRST | I |
| 42 | VDD | — |
| 43 | TDI | I |
| 44 | TMS | I |
| 45 | TCK | I |
| 46 | TDO | O |
| 47 | VSS | — |
| 48 | SI/SDA | I |
| 49 | SCK/SCL | I |
| 50 | XCS/SA | I |
| 51 | XVRST | I |
| Pin No. | Symbol | I/O |
|---|---|---|
| 52 | F1 | I |
| 53 | VDD | — |
| 54 | XTEST4 | I |
| 55 | XRST | I |
| 56 | SYSCLK | I |
| 57 | PDCLK | O |
| 58 | VSS | — |
| 59 | VSYNC | O |
| 60 | HSYNC | O |
| 61 | SO | O |
| 62 | FID | O |
| 63 | VDD | — |
| 64 | XIICEN | I |
Electrical Characteristics
DC characteristics
(Ta = 0 to +70°C, Vss = 0V)
| Item | Symbol | Conditions | Min. | Typ. | Max. | Unit |
|---|---|---|---|---|---|---|
| Input high voltage | VIH | VDD = 5.0V ± 5% | 2.2 | | | V |
| Input low voltage | VIL | VDD = 5.0V ± 5% | | | 0.8 | V |
| Output high voltage | VOH1 | IOH = –2.4mA VDD =4.75 to 5.25V | VDD–0.8 | | | V |
| Output low voltage | VOL1 | IOL = 4.8mA VDD = 4.75 to 5.25V | | | 0.4 | V |
| Output high voltage | VOH2 | IOH = –1.2mA VDD = 4.75 to 5.25V | VDD–0.8 | | | V |
| Output low voltage | VOL2 | IOL = 2.4mA VDD = 4.75 to 5.25V | | | 0.4 | V |
| Input leak current | II1 | VI = 0 to 5.25V VDD = 4.75 to 5.25V | –10 | | 10 | µA |
| Input leak current | II2 | VI = 0V VDD = 5.0V ± 5% | –40 | –100 | –240 | µA |
| Supply current | IDD | VDD = 5.0V ± 5% | | | 70∗6 | mA |
∗1 PD0 to 15, TD8 to 10, XTEST1 to 4, TRST, TDI, TCK, SI/SDA, SCK/SCL, XCS/SA, XVRST, F1, XRST, SYSCLK, XIICEN
∗3 TDO, TD0 to 10
∗2 PDCLK, VSYNC, HSYNC, FID, SO
∗4 PD0 to 15, TD8 to 10, TCK, SI/SDA, SCK/SCL, F1, XRST, SYSCLK
∗6 Not include analog supply current
∗5 XTEST1 to 4, TRST, TDI, TMS, XCS/SA, XVRST, XIICEN
DAC characteristics 1
(AVDD = 5V, R = 200Ω, VREF = 1.35V, Ta = 25°C)
| Item | Symbol | Measurement conditions | Min. | Typ. | Max. |
|---|---|---|---|---|---|
| Resolution | n | | | 10 | |
| Linearity error | EL | | –2.5 | | 2.5 |
| Differential linearity error | ED | | –1.5 | | 1.5 |
| Output full-scale current | IFS | | 6.25 | 6.75 | 7.25 |
| Output offset voltage | VOS | | | | 1 |
| Output full-scale voltage | VFS | | 1.25 | 1.35 | 1.45 |
| Precision guaranteed output voltage range | VOC | | 1.25 | 1.35 | 1.45 |
DAC characteristics 2
(AVDD = 5V, R = 200Ω, VREF = 2.0V, Ta = 25°C)
| Item | Symbol | Measurement conditions | Min. | Typ. | Max. | Unit |
|---|---|---|---|---|---|---|
| Resolution | n | | | 10 | | bit |
| Linearity error | EL | | –2.0 | | 2.0 | LSB |
| Differential linearity error | ED | | –1.0 | | 1.0 | LSB |
| Output full-scale current | IFS | | 9.5 | 10.0 | 10.5 | mA |
| Output offset voltage | VOS | | | | 1 | mV |
| Output full-scale voltage | VFS | | 1.9 | 2.0 | 2.1 | V |
| Precision guaranteed output voltage range | VOC | | 1.9 | 2.0 | 2.1 | V |
AC characteristics
1. Pixel Data Interface
(1) 8-bit mode
(Ta = 0 to +70°C, VDD = 4.25 to 5.25V, Vss = 0V)
| Item | Symbol | Min. | Typ. | Max. |
|---|---|---|---|---|
| Pixel data setup time to SYSCLK | t PDS | 10 | | |
| Pixel data hold time to SYSCLK | t PDH | 3 | | |
(2) 16-bit mode
(Ta = 0 to +70°C, VDD = 4.75 to 5.25V, Vss = 0V)
| Item | Symbol | Min. | Typ. | Max. |
|---|---|---|---|---|
| Pixel data setup time to PDCLK | t PDS | 20 | | |
| Pixel data hold time to PDCLK | t PDH | 0 | | |
2. Serial Port Interface
(Ta = 0 to +70°C, VDD = 4.75 to 5.25V, Vss = 0V)
| Item | Symbol | Min. | Typ. | Max. |
|---|---|---|---|---|
| SCK clock rate | fSCK | DC | | 3 |
| SCK pulse width Low | t PWLSCK | 100 | | |
| SCK pulse width High | t PWHSCK | 100 | | |
| Chip select setup time to SCK | t CSS | 150 | | |
| Chip select hold time to SCK | t CSH | 150 | | |
| Serial input setup time to SCK | t SIS | 50 | | |
| Serial input hold time to SCK | t SIH | 10 | | |
| Serial output delay time from SCK | t SOD | | | 30 |
| Serial output hold time from SCK | t SOH | 3 | | |
3. XVRST, F1
(Ta = 0 to +70°C, VDD = 4.75 to 5.25V, Vss = 0V)
| Item | Symbol | Min. | Typ. | Max. |
|---|---|---|---|---|
| XVRST, F1 setup time to PDCLK | t VS | 20 | | |
4. SYSCLK, PDCLK, VSYNC, HSYNC, FID
(Ta = 0 to +70°C, VDD = 4.75 to 5.25V, Vss = 0V)
| Item | Symbol | Min. | Typ. | Max. |
|---|---|---|---|---|
| SYSCLK clock rate | fSYSCLK | | 27 | |
| SYSCLK pulse width Low | t PWLCLK | 11 | | |
| SYSCLK pulse width High | t PWHCLK | 11 | | |
| PDCLK delay time from SYSCLK | t PDCLKD | | | 20 |
| Control output delay time from SYSCLK | t COD | | | 25 |
| Control output hold time from SYSCLK | t COH | 3 | | |
Description of Functions
The CXD1910AQ converts digital parallel data (ITU-R601 Y, Cb, Cr) into analog TV signals in NTSC (RS170A) or PAL (ITU-R624; B, G, H, I) format.
The CXD1910AQ first receives image data in 8-bit parallel form (multiplexed Y, Cb, and Cr data), or in 16-bit parallel form (8-bit Y and 8-bit multiplexed Cb and Cr data). After demultiplexing, it converts Cb and Cr signals into U and V signals respectively, interpolates 4:2:2 to 4:4:4, and modulates the signals with the subcarrier generated by digital subcarrier generator.
Y signal and modulated chroma signal are oversampled (at double) to reduce sin (x)/(x) rolloff.
10-bit DACs are used for converting digital composite and Y/C signals into analog signals.
1. Pixel Input Format
Pixel input format is determined by bit 4 (PIF MODE) of control register address 01H, as shown in Table 1-1. When PIF MODE is "0", the image data (Y, Cb, Cr) input from PD0 to PD7 is sampled at the rising edge of SYSCLK.
When PIF MODE is "1", Y data is input into PD0 to 7, multiplexed Cb and Cr data are input into PD8 to 15, and these respective data are sampled at the rising edge of PDCLK.
Table 1-1
| PIF MODE | PD15 to 8 |
|---|---|
| 0 (8-bit mode) | NA |
| 1 (16-bit mode) | Cb/Cr |
Pixel Data Input Timing
PD0
PD1:
PD7
PD8
PD9:
PD15
Pixel data 0 (LSB)
Pixel data 1:
Pixel data 7 (MSB)
Pixel data 0 (LSB)
Pixel data 1:
Pixel data 7 (MSB)
2. Serial Interface
The CXD1910AQ supports both I 2 C-BUS (high-speed mode) and SONY's serial interface. These modes can be selected by XIICEN input pin as shown in Table 2-1 below.
Table 2-1
| XIICEN | H | L |
|---|---|---|
| | SONY SIO mode | I2C mode |
| SI/SDA | SI | SDA |
| SCK/SCL | SCK | SCL |
| XCS/SA | XCS | SA |
| SO | SO | High-Z |
2-1. I 2 C-BUS interface
The CXD1910AQ becomes a slave transceiver of I 2 C-BUS, and supports the 7-bit slave address and the highspeed mode (400K bit/s).
2-1-1. Slave address
Two kinds of slave address (88H, 8CH) are selectable by the SA signal, as shown in Table 2-2 below.
Table 2-2
2-1-2. Write cycle
AAAAAA
AAA
AA AAAA AAA
AAA
AA
AA
AAAA
AAAA
AAAA
AAAA
AAA
AAA
AA AAAA A "0"
AAA
AAAA
AAAA
AA
AAA
"0"
AA from master to slave
AA from slave to master
After the slave address is supplied from the master, the data in the next transfer cycle is set up inside the start address register of this IC as start address of the control register. In subsequent cycles, the data supplied from the master is written in the addresses indicated by the control register address. The set control register address is automatically incremented with the completed transfer of each byte of data.
2-1-3. Read cycle
AAAAAA
AAA
AA
AA AAAA AAA AAAAA
AAA AA
AA
AAA
AAA AA A AAA "1"
AA
S
AA
slave address R
AAA
read data
A
A
AAA
read data A P
AA from slave to master
AA from master to slave
After the slave address is supplied from the master, subsequent cycles change immediately to read cycles and only ID code (address 09H, 0AH) is read out. During the read cycle, the start address is automatically set to 09H.
Note) In the SONY SIO mode, addresses from 00H to 0AH can be read out.
2-1-4. Handling of general call address (00H)
General call address is neglected and there is no ACK response.
2-2. SONY serial interface
SONY serial interface uses SCK, XCS, SI and SO signals.
Serial interface is activated when XCS signal is "Low", and samples serial input data at the rising edge of SCK. The first one byte after XCS activation is set up as a serial control command. The data includes a start control register address and direction of the serial interface. The control register address is automatically incremented with the transfer of each byte of data. In the write mode, the data of second byte and after are written in the addresses indicated by the address generated by the address generator of the CXD1910AQ. In the read mode, the serial input data is neglected and writing is not done.
Serial Interface Timing
Serial Interface Sequence
2-1. Serial control command format
WR: Direction for serial interface
When this bit is "1":
The serial interface is write mode.
Incoming serial data is set up inside the control register according to the control register address.
When this bit is "0":
The serial interface is read mode.
The control register data is output to SO according to the control register address.
ADR [4 : 0] : Start control register address
3. XVRST, F1
XVRST and F1 signals are used to synchronize with external V. sync.
XVRST and F1 signals are sampled at the rising edge of PDCLK, and F1 signal is sampled when XVRST is Low. When F1 is High, the internal sync generator is reset to the 1st field, and when F1 is Low, it is reset to the 2nd field. When XVRST is set at High, digital sync generator starts operation, and the sequence of 1st or 2nd field starts.
XVRST Timing (1st Field)
XVRST Timing (2nd Field)
4. Closed Caption
The CXD1910AQ supports closed caption encoding.
ASCII data for closed caption encodes line 21 and line 284 by adding parity bit to ASCII data (data #1 and data #2 for line 21, data #1 and data #2 for line 284) which is set up for control registers 03H, 04H, 05H and 06H. Control registers 03H to 06H are double-buffered and ASCII data which is set up by serial interface is synchronized with VSYNC.
Double Buffer for Closed Caption
Closed Caption Data Renewal Timing
Closed Caption Signal Waveform
– 17 –
Vertical Synchronization Timing
Control Register Map
Note) For the bit which is not assigned, use it by setting "0".
BIT
Function Selection #1
ENC MODE Encoding mode
0 : PAL encoding mode
1 : NTSC encoding mode (Default)
SET UP
Set up enable
0 : Non set up level, black = blanking level
1 : 7.5 IRE set up level insertion (Default)
BF
Burst flag enable
0 : Disable burst flag
1 : Enable burst flag (Default)
Color burst exists or not can be selected.
YC/YUV
DAC output function select
0 : Y, U, V output mode
1 : Video signal (Comp, Y, C) output mode (Default)
PIX EN
Pixel data enable
0 : Disable input pixel data
1 : Enable input pixel data (Default)
When input pixel data is disabled, output becomes blanking level or black level regardless of input PD0 to PD15.
MASK EN
FIDS
Mask enable
0 : When V-blanking, pixel data through
1 : When V-blanking, pixel data reject (Default)
When MASK EN = "0", input pixel data during V-blanking interval are valid, and output obeys input pixel data.
When MASK EN = "1", input pixel data during V-blanking interval are all invalid, and output becomes blanking level.
As for this mode, input pixel data under 16 (0 to 16) is limited to 16; input pixel data more than 235 (235 to 255) is limited to 235.
FID polarity select
0 : 1st field "H", 2nd field "L"
1 : 1st field "L", 2nd field "H" (Default)
BIT
Function Selection #2
PIF MODE Pixel input format
0 : 8-bit mode Multiplexed Y, Cb, Cr (4:2:2) (Default)
1 : 16-bit mode Y and multiplexed Cb, Cr
DAC MODE DAC output activity
0 0 : Non-active
0 1 : Y-OUT and C-OUT active
1 0 : Comp-out active
1 1 : Both active (Default)
BIT
0 0 : Disable closed caption encoding (Default)
0 1 : Enable encoding in 1st field (Line 21)
1 0 : Enable encoding in 2nd field (Line 284)
1 1 : Enable encoding in both fields
ZERO
Use it by setting "0".
BIT
Closed Caption Character #1 for 21H
Closed Caption Character #2 for 21H
Closed Caption Character #1 for 284H
Closed Caption Character #2 for 284H
Video Timing
NTSC Y (Luminance) Video Output Waveform 7.5 IRE SETUP
Video Timing
NTSC Y (Luminance) Video Output Waveform No SETUP
Video Timing
PAL Y (Luminance) Video Output Waveform
Video Timing
Internal Filter Characteristics
Interpolation Filter Characteristic
Chrominance Filter Characteristics
Application Circuit 1
Application Circuit 2
Application circuits shown are typical examples illustrating the operation of the devices. Sony cannot assume responsibility for any problems arising out of the use of these circuits or for any infringement of third party patent and other right due to same.
Package Outline
Unit: mm
64PIN QFP(PLASTIC)
23.9 ± 0.4
PACKAGE STRUCTURE
| SONY CODE | QFP–64P–L01 |
|---|---|
| EIAJ CODE | ∗QFP064–P–1420 |
| PACKAGE MATERIAL | EPOXY RESIN |
|---|---|
| LEAD TREATMENT | SOLDER/PALLADIUM PLATING |
| LEAD MATERIAL | COPPER /42 ALLOY |
| PACKAGE WEIGHT | 1.5g |
|
Beef Industry "Reality"
Gavin Hill
Beef Specialist and Assistant Regional Manager SAC Consulting
Breeding herds
| | Cow Numbers 2011 | Cow Numbers 2014 | % Reduction |
|---|---|---|---|
| England | 759,000 | 710,000 | 6% |
| Scotland | 471,000 | 437,000 | 7% |
| Northern Ireland | 269,000 | 255,000 | 9% |
2
How is the herd distributed? (14% Holdings with 50% Cows)
| Herd Size | Holdings | | |
|---|---|---|---|
| 1-19 | 4214 | 45% | 28114 |
| 20-49 | 2076 | 22% | 68101 |
| 50-99 | 1798 | 19% | 126967 |
| 100-149 | 703 | 8% | 84277 |
| 150+ | 557 | 6% | 129067 |
| Total | 9348 | | 436526 |
3
Suckler Herds Calving 2014 (Weaning )
| Calf Sales | 593.25 | 641.60 | 697.75 |
|---|---|---|---|
| Calf Payments | 45.44 | 46.31 | 49.11 |
| Gross Output | 638.69 | 687.91 | 746.86 |
| Less Replacement | 76.29 | 87.78 | 78.68 |
| Net Output | 562.4 | 600.13 | 668.16 |
| Variable Costs | 344.25 | 287.23 | 246.01 |
| Gross Margin | 218.16 | 312.90 | 422.17 |
| Fixed Costs | 396.94 | 422.48 | 400.49 |
| Net Margin | -178.79 | -109.58 | 21.69 |
| Number Reared | 86% | 88% | 91% 44 |
Past Direct Support
| Suckler Cow Premium | £135.43 |
|---|---|
| Beef National Envelope | £25.39 |
| Beef Special Premium (7 to 20 mths) | £101.57 |
| Beef Special Premium (20 mths plus ) | £101.57 |
| Extensification | £54.17 |
| Slaughter Premium | £54.17 |
| Total | £472.30 Cow/Calf |
| Less Favoured Area | £13/Ha |
5
Current Direct Support
| | 2015 |
|---|---|
| Scottish Beef Calf Scheme | £74 per Calf or £110(Islands) ish |
| Less Favoured Area | ?????? |
6
Suckler Herds
* It is simple to reduce numbers but the question must be asked
– "If I sell 50 cows down the road does 50 cows worth of fixed costs go down the road at the same time".
* Result could be that you increase the fixed cost per livestock unit if no action is taken
7
Gavin Hill
Beef Specialist
Markets
Deadweight (Steers / Heifers )
| | Scotland p/kg DW | Northern Ireland p/kg DW | England /Wales p/kg DW |
|---|---|---|---|
| Feb 2014 | 373/376 | 357 | 361/370 |
| June 2015 | 338/340 | 312 | 315/330 |
| Nov 2015 | 368 | 325/330 | 343/350 |
| April 2016 | 325 | | |
| June 2016 | 340/343 | 315 | 326/338 |
| July 2016 | 354/358 | 329 | 334/340 |
| Sept 16 | 378/380 | 334 | 354/367 99 |
Cattle Trade
* Since April price up 50p/kg DW = £160 to £200
* Angus Premium – 25p/40p/kg DW more (Aldi )
* Scotch Beef Price = 23p above England
* Young Bulls – 365/368p/kg DW
*
* Others – Shorthorn (+25p) or / and -50p/kg DW
Retail price movements 2010-2015
11
Beef – retail share
* Whilst retail share improved in the rising market – as prices have flattened out and started to fall market share has decreased to below 50%
Store Cattle - thoughts
* Finished Cattle Price = 380p/kg DW
* If put to Liveweight at 56% Kill out = 212p/kg LW
* Store Cattle selling for about 225p/kg LW
* Negative 13 pence live kilo out before majority finishers starts unless selling direct to butchers or live market.
* Could have paid more for them anyway
– 420kg store = £55
13
Selling Stores
* Year old stores = 20p back currently.= £80 plus. Average trade 225p/kg - heavy stores taking the hit .
* Weaned Calves . Increased prices received as usual and increased demand as finishers seek to take them early. Plenty at 250p 300p.
– Steers average 273p (up 17.5p)
– Heifers average 263p (up 23p)
Finishing Costings – 200 days
| | | | Forage Based | By Products |
|---|---|---|---|---|
| Sales | 400kg DW | £3.50kg/DW | £1400 | £1400 |
| Purchase | 430kg LW | £2.35 kg /LW | £1010 | £1010 |
| Return | | | £390 | £390 |
| Conc. | 6kg/day | £160/t | £180 | |
| Silage | 16kg/day | £30/t | £96 | |
| Potatoes,Draff | | | | £200 |
| Others | Vet, Market etc. | | £100 | £100 |
| Variable Costs | | | £376 | £300 |
| Gross Margin | | | £14 | £90 |
| Fixed Costs | | | £80 | £80 |
| Net Margin | | | -£66 | £10 |
Market Specification
* Deadweight Limits now moving to 380/400 kg DW
* Liveweight equivalent = 680 to 720kg
* Need to set these in stone and no fluctuation which distorts clear market signals
*
17
Deadweight Payments
Result
* 380kg Beast will now return £1406 Based on 370p/kg DW
* 450kg Beast will now return £1462 based on 325p/kg DW
380kg beast is now returning the same as a 450kg = 70kg deadweight (125 kg liveweight ) with no return to the finisher
Threat is now maximum paid weight at 400kg DW
Store Production
* Store producers are being made more aware that they need to look at selling stores at the optimum time (earlier for many) and at a time when the finishers can take them and then finish at the right stage.
* The majority of finishers want cattle at weaned stage up to 12 to 14 months at the 420 kg plus stage.
* This policy is certainly true with Continental types, whereas many of the maternal type cattle will continue to be kept longer so as to maximise weight and return to the producer. Weaned cattle trade still remains strong and the best policy for many.
19
Store Markets
* If steer slaughtered at 16- 18 months which will be the main drive by many then there will be an average gain per day throughout lifetime of 1.36 kg per day.
* If broken down it will be assumed to be 1.1 kg to weaning and then 1.55kg to slaughter at 700kg liveweight (380kg deadweight). If spring born then many of these calves will not be put back to grass the following Spring
Finishing Cattle
* Continuing issue with Heifers in still too many falling into over fat categories and the impact with grade penalties. Many finishers are chasing weight with heifers but often its not weight that goes on them in the final stages but fat. Putting no these extra kilos with Heifers is not paying for many
* It is expensive as 3 times as much energy goes into putting a kilo of fat compared to kilo of lean tissue. Heifers need to be on their own diet and stretched on more so keeping protein up and starch down till later stages of finishing.
21
Future
* Will VIA dominate
* Then will the type of beast change to paying where the top cuts are –Strip Loin
* Is this length wanted and so less emphasis on the back end
Breed Movements (400day Bulls)
| | Charolais | Angus |
|---|---|---|
| 1980’s | 620kg | 470kg |
| 1990’s | 650kg | 520kg |
| 2000’s | 675kg | 570kg |
23
Market Specification
* However Genetic progress over last few years has created cattle which get to very high weight and weight gains
* Terminal Bulls have been created with little fat which then leads to commercial cattle from terminal type cows going again to very high weights with little if any fat on them so producers keep feeding on
Bull 1
(born 28
th
June 1996)
25
Bull 1 —176 CALVINGS
Fat Depth
* Slaughter industry has commented that Charolais sired cattle were becoming too lean and late maturing.
* Also heifers were lean leading to later maturity and having adverse effects on fertility and age of puberty.
* Instead of leaner being "good" , the bar is reversed so leaner is more undesirable.
27
Breeding Programme
* Now we have to develop a type of cow that suits the environment , is fertile and is capable of producing a calf(product) wanted in the market place ex.
– Luing Dam
– Shorthorn Dam
– Saler Dam
– Stabiliser Dam
– Hereford
– Blue Grey
Abattoir Issues
* Following are areas that the abattoirs would like to keep reminding cattle finishers of
* Use of Scottish Potential Eligibility Cattle Checker for assurance (SPECC), before animals leave farm. Farmers should check status on purchase of stores. Use www.scoteid.com/qms/specc
* Clean wagons (must clean / disinfect within 24 hrs of delivery by LAW), as this is being audited.
* Now extensive use of CCTV to monitor welfare at unloading etc.
* Cattle which are in calf should not be sent to an abattoir. This has become an increasing issue, and Trading Standards are acting on it. It is illegal to transport heavily pregnant females where more than 90% of the expected gestation period has passed.
29
Abattoir Issues
* Correct paperwork , food chain information (FCI) and passports. FCI must include any notes such as lameness, and have a licence to travel if required.
* Passport "gender" issues should be checked and corrected prior to leaving farm.
* Passports must be filled in correctly with all dates on /off completed, and signed.
* Correct individual identification of Steers / Heifers / Young Bulls on the movement document.
|
Group Lease Public Company Limited Review report and interim financial statements For the three-month and nine-month periods ended 30 September 2011 and 2010
Review report of Independent Auditor
To the Shareholders of Group Lease Public Company Limited
I have reviewed the accompanying statement of financial position of Group Lease Public Company Limited as at 30 September 2011, the related statements of comprehensive income for the three-month and nine-month periods ended 30 September 2011 and 2010, and the statements of changes in shareholders' equity and cash flows for the nine-month periods ended 30 September 2011 and 2010. These financial statements are the responsibility of the Company's management as to their correctness and the completeness of the presentation. My responsibility is to issue a report on these financial statements based on my reviews.
I conducted my reviews in accordance with the auditing standard applicable to review engagements. This standard requires that I plan and perform the review to obtain moderate assurance as to whether the financial statements are free of material misstatement. A review is limited primarily to inquiries of company personnel and analytical procedures applied to financial data and thus provides less assurance than an audit. I have not performed an audit and, accordingly, I do not express an audit opinion.
Based on my reviews, nothing has come to my attention that causes me to believe that the accompanying financial statements are not presented fairly, in all material respects, in accordance with generally accepted accounting principles.
I have previously audited the financial statements of Group Lease Public Company Limited for the year ended 31 December 2010 in accordance with generally accepted auditing standards, and expressed an unqualified opinion on those statements under my report dated 7 February 2011. The statement of financial position as at 31 December 2010, as presented herein for comparative purposes, formed an integral part of the financial statements which I audited and reported on. I have not performed any other audit procedures subsequent to the date of the above report. In addition, as described in Note 1.4 to the financial statements, during the current period, the Company adopted the revised and new accounting standards issued by the Federation of Accounting Professions, and applied these in its preparation and presentation of the interim financial statements.
Pimjai Manitkajohnkit
Certified Public Accountant (Thailand) No. 4521
Ernst & Young Office Limited
Bangkok: 10 November 2011
Group Lease Public Company Limited
Statements of financial position As at 30 September 2011 and 31 December 2010
(Unit: Thousand Baht)
The accompanying notes are an integral part of the financial statements.
Group Lease Public Company Limited Statements of financial position (continued) As at 30 September 2011 and 31 December 2010
(Unit: Thousand Baht)
The accompanying notes are an integral part of the financial statements.
Group Lease Public Company Limited
Statements of financial position (continued) As at 30 September 2011 and 31 December 2010
(Unit: Thousand Baht)
The accompanying notes are an integral part of the financial statements.
Directors
Group Lease Public Company Limited Statements of comprehensive income For the three-month periods ended 30 September 2011 and 2010
(Unit: Thousand Baht)
The accompanying notes are an integral part of the financial statements.
Group Lease Public Company Limited Statements of comprehensive income
For the nine-month periods ended 30 September 2011 and 2010
The accompanying notes are an integral part of the financial statements.
Group Lease Public Company Limited
Statements of cash flows
For the nine-month periods ended 30 September 2011 and 2010
(Unit: Thousand Baht)
The accompanying notes are an integral part of the financial statements.
Group Lease Public Company Limited
Cash flow statements (continued)
For the nine-month periods ended 30 September 2011 and 2010
The accompanying notes are an integral part of the financial statements.
Group Lease Public Company Limited
Notes to interim financial statements
For the three-month and nine-month periods ended 30 September 2011 and 2010
1. General information
1.1 Corporate information
Group Lease Public Company Limited ("the Company") is a public company incorporated and domiciled in Thailand. The Company is principally engaged in the hire purchase of motorcycles and its registered address is 63 Soi 1, Tesabalnimitretai Road, Ladyao, Chatujak, Bangkok and there are also 4 branches in Rayong, Chonburi, Nakhonratchasrima and Ayutthaya.
The major shareholders of the Company are Engine Holdings Asia Pte. Ltd. (incorporated in Singapore) and A.P.F Holding Company Limited (incorporated in Thailand), which owns 43.98% and 22.70% of the Company's share capital, respectively. The parent company of the group is Wedge Holdings Company Limited (incorporated in Japan).
On 20 April 2011, a meeting of the Board of Directors passed a resolution to accept the resignation of the Managing Director, effective from 20 April 2011. The Board also passed a resolution appointing a person to the position of General Manager, to replace the Managing Director who resigned, effective from 25 April 2011.
1.2 Basis for the preparation of interim financial statements
These interim financial statements are prepared in accordance with Thai Accounting Standard No. 34 (revised 2009) "Interim Financial Reporting", with the Company choosing to present condensed interim financial statements. However, the Company has presented the statements of financial position, comprehensive income, changes in shareholders' equity, and cash flows in the same format as that used for the annual financial statements.
The interim financial statements are intended to provide information additional to that included in the latest annual financial statements. Accordingly, they focus on new activities, events and circumstances so as not to duplicate information previously reported. These interim financial statements should therefore be read in conjunction with the latest annual financial statements.
The interim financial statements in Thai language are the official statutory financial statements of the Company. The interim financial statements in English language have been translated from the Thai language financial statements.
1.3 Application of new accounting standards during the period
During the current period, the Company adopted a number of revised and new accounting standards, issued by the Federation of Accounting Professions, as listed below.
Accounting standards:
Financial reporting standards:
Financial Reporting Standard Interpretations:
TFRIC 15
Agreements for the Construction of Real Estate
Accounting Standard Interpretations:
SIC 31
Revenue-Barter Transactions Involving Advertising Services
These accounting standards will not have any significant impact on the financial statements for the current period, except for the below accounting standard.
TAS 19 Employee Benefits
This accounting standard requires employee benefits to be recognised as expense in the period in which the service is performed by the employee. In particular, an entity has to evaluate and make a provision for post-employment benefits using actuarial techniques. The Company previously accounted for such employee benefits when they were incurred. The management uses judgement and estimates the amounts to be paid based on reasonable assumptions, using rates consistent with the provisions of the Labour Law.
1.4 Significant accounting policies
The interim financial statements are prepared using the same accounting policies and methods of computation as were used for the financial statements for the year ended 31 December 2010, except for the changes in the below accounting policy due to the adoption of new accounting standards.
Employee benefits
Post-employment benefits(Defined contribution plans)
The Company and its employees have jointly established a provident fund. The fund is monthly contributed by employees and by the Company. The fund's assets are held in a separate trust fund and the Company's contributions are recognised as expenses when incurred.
3
(Unaudited but reviewed)
Post-employment benefits (Defined benefit plans)
The Company has obligations in respect of the severance payments it must make to employees upon retirement under labor law. The Company treats these severance payment obligations as a defined benefit plan.
The obligation under the defined benefit plan is determined by management, using the projected unit credit method. Such determination is made based on various assumptions, including discount rate, future salary increase rate, staff turnover rate, mortality rate, and inflation rates.
Actuarial gains and losses arising from post-employment benefits are recognised immediately in profit or loss.
For the purposes of first time adoption to comply with TAS 19 "Employee benefits", the Company has immediately recognised the difference between liablities estimation in accordance with TAS19 and the prior provision made by management as an expense in profit or loss for the current period. The effect of this change is immaterial to the Company's financial statements.
2. New accounting standards issued during the period not yet effective
During the current period, the Federation of Accounting Professions issued the below listed new accounting standards that are effective for fiscal years beginning on or after 1 January 2013.
Accounting Standard Interpretations:
3. Cash and cash equivalents
(Unit: Thousand Baht)
As at 30 September 2011, bank deposits in saving accounts carried interest at 0.75% per annum (31 December 2010: 0.25% per annum).
4. Hire purchase and installment sales receivables
4.1 As at 30 September 2011 and 31 December 2010, the balances of hire purchase and installment sales receivables are as follows:
(Unit: Thousand Baht)
4.2 As at 30 September 2011 and 31 December 2010, the balances of hire purchase and installment sales receivables (net of unearned hire purchase income) and allowance for doubtful accounts aged on the basis of due dates, are summarised below.
(Unaudited but reviewed)
(Unit: Thousand Baht)
4.3 As at 30 September 2011 and 31 December 2010, the future minimum lease payments receivable under hire purchase agreements together with the present value of the net minimum lease payments receivable are as follows:
(Unit: Thousand Baht)
30 September 2011
31 December 2010
4.4 The Company's hire purchase agreements have terms of 1 - 3 years and require settlement in equal installments.
4.5 As at 30 September 2011, the Company had transferred rights of claim under hire purchase agreements with outstanding balances (before net of unearned hire purchase interest income) of Baht 3,178 million (31 December 2010: Baht 4,109 million), in order to secure credit facilities granted by commercial banks, as discussed in Notes 10 and 12.
4.6 On 30 April 2004, the Institute of Certified Accountants and Auditors of Thailand, with the approval of the Office of the Securities and Exchange Commission, stipulated an accounting guideline for the consumer finance business, whereby recognition of revenue is to cease for accounts receivable which are overdue by more than 3 installments. However, this accounting guideline provides an alternative whereby, in cases where a company believes that the guideline would not be appropriate, it is to disclose the method it uses, together with the reasons. The Company has a policy to cease recognising revenue from hire purchase receivables which are overdue by more than 4 installments. If the Company had followed this accounting guideline, the amount of revenue recognised for the three-month and nine-month periods ended 30 September 2011 would be reduced by Baht 0.89 million and Baht 2.98 million, respectively (2010: decreased by Baht 0.10 million and Baht 1.76 million, respectively). However, allowance is fully provided for accounts receivable which are overdue by more than 3 installments and the cessation of recognising revenue only from hire purchase receivables which are overdue by more than 4 installments therefore has no significant effect to the Company's profit and loss for the periods.
As at 30 September 2011, there are outstanding hire purchase receivable amounting to approximately Baht 97.49 million for which installment payments are more than 3 installments overdue but for which revenue is still being recognised (31 December 2010: Baht 82.69 million).
5. Assets foreclosed
As at 30 September 2011 and 31 December 2010, assets foreclosed are presented as follows:
(Unit: Thousand Baht)
6. Other current assets
(Unit: Thousand Baht)
7. Pledged fixed deposit at financial institution
This represents fixed deposit pledged with bank for the issuance of letter of bank guarantees for the Company, as discussed in Note 18.2.
8. Property, plant and equipment
Movements of the property, plant and equipment account during the nine-month period ended 30 September 2011 are summarised below.
(Unit: Thousand Baht)
As at 30 September 2011 and 31 December 2010, certain equipment items of the Company has been fully depreciated but are still in use. The original cost of those assets amounted to approximately Baht 29.09 million and Baht 30.02 million, respectively.
The Company has mortgaged land and construction thereon with a total net book value as at 30 September 2011 of Baht 25.59 million (31 December 2010: Baht 27.06 million) as collateral for bank overdrafts and short-term loans from financial institutions and long-term credit facilities as discussed in Notes 10 and 12.
9. Corporate income tax and deferred tax assets/liabilities
Corporate income tax for the three-month and nine-month periods ended 30 September 2011 and 2010, have been calculated at the rate of 30%, on the income after adding back certain provisions and expenses which are disallowable for tax computation purposes.
Corporate income tax of the Company for the three-month and nine-month periods ended 30 September 2011 and 2010 are as follow:
(Unit: Thousand Baht)
The components of deferred tax assets/liabilities as presented in the statements of financial position as at 30 September 2011 and 31 December 2010 consist of:
(Unit: Thousand Baht)
10. Bank overdrafts and short-term loans from financial institutions
(Unit: Thousand Baht)
As at 31 December 2010, bank overdrafts and short-term loans from financial institutions are secured by the transfer of rights of claim under hire purchase agreements, the mortgage of land and the construction thereon and/or to be constructed thereon in the future and motorcycle registrations as requested by the lender.
The Company had repaid the loans balances during the period.
11. Related party transactions
During the periods, the Company had significant business transactions with related parties, which are summarised below, arose in the ordinary course of businesses and were concluded on commercial terms and based agree upon between the Company and those parties.
(Unit: Thousand Baht)
As at 30 September 2011 and 31 December 2010, the Company had no outstanding balances with the related party.
During the current period, the Company had loan from a related party. The movement of loan from a related party was as follows:
Directors and management's benefits
During the nine-month period ended 30 September 2011, the Company paid salaries, bonus, meeting allowance, gratuities and reserve for short-term and long-term employee benefits to its directors and management totaling Baht 11.67 million (2010: Baht 8.16 million).
Warrants for directors and management
On 20 May 2008, the Company issued 206,300 warrants (GL-WA) to subscribe to the Company's ordinary shares, to be allotted to 11 directors and management. This represents 20.6% of the Company's warrants. On 19 May 2011, 112,100 GL-WA warrants which had not been exercised by the warrantholders expired.
On 4 February 2009, the Company issued 2,412,996 warrants (GL-W1) to subscribe to the Company's ordinary shares, to be allotted to 6 existing shareholders who are directors and management. This represents 9.9% of the Company's warrants.
On 10 May 2009, the Company issued 118,100 warrants (GL-WB) to subscribe to the Company's ordinary shares, to be allotted to 11 directors and management. This represents 23.6% of the Company's warrants.
On 10 May 2010, the Company issued 104,700 warrants (GL-WC) to subscribe to the Company's ordinary shares, to be alloted to 10 directors and management. This represents 20.9% of the Company's warrants.
As at 30 September 2011, there are outstanding warrants (GL-WB, GL-WC) to subscribe to the Company's ordinary shares, to be allotted to existing directors and management totaling 53,500 units and 48,600 units, respectively.
12. Long-term loans
The long-term loans, which the Company obtained from local financial institutions, are as detailed below.
(Unit: Thousand Baht)
Movements in the long-term loans account during the nine-month period ended 30 September 2011 are summarised below.
On 28 April 2008, the Company entered into a loan agreement with three commercial banks, as co-lenders, to obtain long-term loan facilities of Baht 1,000 million. The purposes of such loans are to repay the existing short-term loan and for use in the expansion of business. In order to reduce the fluctuation of interest rate risk, the Company has proportionately entered into an interest rate swap agreement, whereby a floating interest rate is to be swapped for a fixed interest rate at 6.75% per annum.
On 29 January 2009, the Company entered into a loan agreement with another commercial bank to obtain long-term loan facilities of Baht 400 million. The purposes of such loan are to repay the existing short-term loan and for use in the expansion of business.
On 22 October 2009, the Company entered into a loan agreement with three commercial banks, as co-lenders, to obtain long-term loan facilities of Baht 1,000 million. The purposes of such loans are to repay the existing short-term loan and for use in the expansion of business of the Company.
On 25 August 2010, the Company entered into a loan agreement with three commercial banks, as co-lenders, to obtain long-term loan facilities of Baht 1,000 million. The purposes of such loans are to repay the existing short-term loan and for use in the expansion of business of the Company.
On 26 May 2011, the Company entered into a loan agreement with another commercial bank obtain long-term loan facilities of Baht 500 million. The purposes of such loan are to repay the existing short-term loan and for use in the expansion of business.
The loan agreements contains covenants regarding, among other things, the maintenance of the proportion of shareholding of the major shareholders, dividend payment, and maintenance of a certain debt to equity ratio, ratio of hire purchase receivables more than three months' past due to total hire purchase receivables, ratio of total hire purchase receivables to loans, prohibition of disposal of assets or rights of claim under hire purchase agreements and prohibition of entering into new loan agreements.
The loans are secured by the transfer of rights of claim under hire purchase agreements, the mortgage of land and construction thereon and/or to be constructed thereon in the future, and motorcycle registrations as requested by the commercial banks.
As at 30 September 2011, the long-term credit facilities of the Company which have not yet drawn down amount to Baht 565 million.
13. Reserve for employee benefits
As at 31 December 2010, the Company has separately recorded reserve for employee benefits relating for employees taking early retirement in the account "Provision for employee compensation", which is presented as current liabilities in the statement of financial position. This reserve is the provision made by management using judgement and estimates of the amounts to be paid based on reasonable assumptions, and rates consistent with the provisions of the Labour Law. The reserve for long-term employee benefits as discussed in Notes 1.3 and 1.4 recorded in the account "Reserve for long-term employee benefits" was calculated using actuarial techniques and is presented as liabilities in the statement of financial position.
During the current period, the Company recorded reserve for employee benefits, amounting to Baht 3.3 million as an expense in the statement of comprehensive income.
On 19 April 2011 and 30 May 2011, The Company made payment totaling of Baht 18.7 million and Baht 4.3 million, respectively, under its Early Retirement Program, to employees who were entitled to join this program and early retired during this year.
14. Share capital
14.1 Additional share subscription received from the exercise of warrants
During the current period, the Company received additional share subscription totaling Baht 129.92 million from the exercise of warrants, as detailed below.
The Company registered the increase in its paid up share capital from the exercise of GL-W1 to Baht 311.61 million with the Ministry of Commerce on 3 October 2011.
As at 30 September 2011, the Company had share premium amounting to Baht 245.07 million (31 December 2010: Baht 192.19 million) as a result of the capital increases.
As at 30 September 2011, the Company had share subscription received in advance amounting Baht 61.94 million in its paid up share capital from the exercise of GL-WA totaling 2,669,800 units.
14.2 Reconciliation of number of ordinary shares
(Unit: Shares) For the nine-month periods ended
30 September
15. Warrants
As at 30 September 2011, details of the warrants, which were issued by the Company, are as follows:
During the current period, the movements of warrants of the Company are as follows:
On 19 May 2011, 465,300 GL-WA warrants which had not been exercised by the warrantholders expired.
Up to 30 September 2011, the Company cancelled a total of 526,700 warrants (GLWB and GL-WC) to purchase ordinary shares of the Company that had been allocated to the directors and management of the Company, because the directors and management who held those warrants had resigned, thus breaching the conditions under which the warrants were received.
16. Earnings per share
Basic earnings per share is calculated by dividing profit for the period attributable to equity holders of the Company (excluding other comprehensive income) by the weighted average number of ordinary shares in issue during the period.
Diluted earnings per share is calculated by dividing profit for the period attributable to the equity holders of the Company by the sum of the weighted average number of ordinary shares outstanding during the period and the weighted average number of ordinary shares to be issued for conversion of all dilutive potential ordinary shares into ordinary shares and potential ordinary shares are cancelled or expire during the period. The calculation assumes that the conversion took place either at the beginning of the period or on the date the potential ordinary shares were issued.
The following table sets forth the computation of basic earnings per share and diluted earnings per share.
For the three-month periods ended 30 September
Basic earnings per share
Profit for the period
Effect of dilutive potential ordinary shares
GL-WA
GL-W1
GL-WB
GL-WC
Diluted earnings per share
Profit of ordinary shareholders assuming
the conversion of dilutive potential ordinary shares
(Unaudited but reviewed)
For the nine-month periods ended 30 September
17. Dividends
Dividends declared in 2011 consist of the following:
18. Commitments
18.1 Service commitments
As at 30 September 2011, the Company has the outstanding service commitments which are to be repaid within one year amounting to Baht 0.9 million (31 December 2010: Baht 0.39 million).
18.2 Guarantees
As at 30 September 2011, there was outstanding bank guarantee of approximately Baht 282,700 issued by the bank on behalf of the Company in respect of electricity and use of post services guarantees.
19. Financial information by segment
The majority of the operations of the Company involves the single business segment of hire purchase of motorcycles, and is carried on in a single geographic area, Thailand. As a result, all revenues, operating income and assets as reflected in these financial statements pertain to the aforementioned industry and geographic area.
20. Reclassification
Certain amounts in the financial statements for the year ended 31 December 2010 have been reclassified to conform to the current period's classification but with no effect to previously reported profit or shareholders' equity. The reclassifications are as follow:
(Unit: Thousand Baht)
21. Subsequent events
Dividend payment
The Board of Directors' Meeting of the Company No. 11/2011 held on 14 September 2011, approved a dividend payment totaling Baht 94.2 million from profit for the six-month period ended 30 June 2011 for ordinary shareholders, at Baht 1.67 per share. Such dividend payment will be made on 13 October 2011.
Change in corporate income tax rate
As at 30 September 2011, the Company has deferred tax assets of Baht 98.16 million and deferred tax liabilities of Baht 16.36 million, which were recorded based on the applicable corporate income tax rate of 30% that was in effect at the end of the reporting period. However, on 11 October 2011, the cabinet passed a resolution to reduce the corporate income tax rate from 30% to 23% in 2012, and then to 20% from 2013. If the Company were to apply these new rates in its tax calculation, its deferred tax assets and deferred tax liabilities outstanding as at 30 September 2011 would be reduced by approximately Baht 27.64 million and Baht 4.23 million, respectively.
The Company will recognise the above tax effect in its financial statements when the law governing income tax rate reduction is enacted.
22. Approval of interim financial statements
These interim financial statements were authorised for issue by the authorised directors of the Company on 10 November 2011.
|
KC
Keel Cottrelle LLP Barristers & Solicitors
Toronto 36 Toronto St. Suite 920 Toronto ON M5C 2C5 416-367-2900 fax: 416-367-2791
Mississauga
100 Matheson Blvd. E. Suite 104 Mississauga ON L4Z 2G7
905-890-7700 fax: 905-890-8006
Public Sector
Procurement Law Newsletter
November 2011
IN THIS ISSUE
CITT considers principles applicable to loss of profit
CITT reviews national security exception
10
11
Court confirms principles of transparency and fairness in public procurement
In Metercor Inc. v. Kamloops (City) , [2011] B.C.J. No. 543, the British Columbia Supreme Court dealt with a petition from Metercor Inc., formerly known as CMI (CMI) to set aside the decision of the City of Kamloops to hire Neptune Technology Group (Canada) Ltd. (Neptune). Neptune was hired to both install and supply residential water meters. The City's decision was made based on their evaluation process of examining requests for proposals, a process which CMI
claimed gave preferential treatment to Neptune.
The City's water meter committee established a process for reviewing each request for proposal (RFP), which was broken into various stages. Only proponents who passed the mandatory and review stages would have their price proposals considered. CMI claimed that the City's RFP evaluation process ran contrary to their policies which stated that both price and quality were major considerations in purchasing. CMI argued the City was in breach of its duty of fairness, transparency, openness and equality to all proponents.
Both parties agreed that the City's procurement procedures needed to be transparent, open and fair to all proponents, and that their selection process was subject to judicial review under the Judicial Review Procedure Act . Furthermore it was agreed upon that the standard of review for this decision was "reasonableness " and that "the City had a duty to treat all proponents fairly and equally " under common law and the relevant jurisprudence. The City's purchasing policy was also deemed appropriate for consideration in a judicial review matter.
The Court concluded that the City did not breach its duty of fairness and that its evaluation process was open and transparent. The City's water meter committee evaluated all proposals as per their duty of fairness owed not only to all proponents, but to the City of Kamloops as well. The water meter committee was entitled to evaluate each proposal and make conclusions as they saw necessary based on their established criteria. The Court stated that it was not entitled to interfere with the decision-making, regardless of whether or not the Court would have reached a similar conclusion.
The Court also noted that the City's familiarity with Neptune may have resulted in an advantage for the proponent, but it did not make the process unfair for CMI or any other proponents. Furthermore, the City's analysis of given items in the evaluation process did not result in preferential treatment given to Neptune.
In assessing the reasonableness of the outcome, the Court stated that the City's decision not to consider price unless a given proposal had met the final stage of an evaluation was not reasonable. While the Court noted it "should not interfere with the autonomy of the municipality ", it noted the City's process could result in an unreasonable result. For example, a proponent would not have its price considered even if it received a mark that fell slightly below the 75% requirement in the evaluation process. This would be the case even if another proponent received a mark only slightly above the 75% requirement. The Court noted that eliminating the consideration of price in the multi-stage process was significant with respect to this project, which not only involved millions of dollars but also affected how the City was spending tax payers' money.
The Court stated that the City would have to reconsider the price in addition to the evaluation scores of each RFP, but did not
require the City to begin the process all over again. The Court reiterated that it would still be the water meter committee's choice as to who they wished to contract with and that they were not bound to enter into negotiations with any particular party.
The Court left it to the parties to make submissions on costs if they were unable to come to an agreement.
The decision supports a single process where all requirements are considered. The rejection of the allegation of unfair advantage is important since a contrary finding might suggest it would be difficult for existing vendors to bid.
—
Court determines tender not compliant
In Maple Reinders Inc. v. Cerco Developments Ltd. , [2011] B.C.J. No. 1313, the British Columbia Supreme Court dismissed an action for breach of contract by Maple Reinders on the basis that no contract arose between Maple Reinders and Cerco.
The plaintiff, Maple Reinders, was an unsuccessful bidder following a tender process relating to the construction of an apartment building. Maple Reinders commenced an action for breach of contract against Cerco alleging the construction contract was improperly awarded to another bidder.
In dismissing the action, the Court considered only whether an initial contract had been formed between Maple Reinders and Cerco as a result of Maple Reinder's submitted tender. The Court stated that in order for a contract to be formed on the basis of a tender submission, the tender bid must be materially compliant with the terms set out in the tender documents.
At the conclusion of the tender process, Cerco had received three bids for the construction process. On its face, Maple Reinder's bid was the lowest. However, Maple Reinder failed to include in their documents both the mandatory and voluntary alternate prices requested by Cerco. Following adjustment based on the alternate prices provided by another bidder, Cerco awarded the other bidder the contract stating that their bid was lower than that of Maple Reinders.
The Court held that Maple Reinders knew of and understood both the mandatory and voluntary requirements in the tender documents for alternative pricing, yet failed to produce such pricing even after it was requested from Cerco. The mandatory nature of the alternative pricing information in the tender documents implied that it was required information that played an important role in Cerco's consideration of the bids submitted.
The Court concluded that there was a failure to address an important requirement of the tender documents and that there was a substantial likelihood the omission of the alternative pricing information would have significantly impacted Cerco's deliberations in deciding which bid to select. Since Maple Reinder's tender bid was missing required information, it was therefore materially noncompliant and constituted only a counter offer.
Again, the Court reinforces the requirement that a tender be compliant in order for a bidder to be able to insist on contracted rights.
—
Court confirms reasonable expectations for contractor knowledge and work
In Penner v. 1000232 Ontario Ltd. (c.o.b.) Winmar , [2011] O.J. No. 3661, the Ontario Superior Court of Justice awarded judgment against the defendant restoration company, Winmar, for deficient workmanship on a fire restoration project on the plaintiff, Penner's home.
Winmar was contracted to perform a full interior restoration following a fire at the plaintiff's 80 year old home. The restoration work was to include mechanical, electrical, plumbing, finishes and insulation. Winmar warranted that all restoration work on the home would be performed in a good and workmanlike manner and would be free from defect under normal use and service for a period of 12 months from the date of installation.
In reaching a decision, the Court held that based on the warranty and the nature of the relationship between the parties, Penner expected his house to be restored to its pre-fire state and relied on Winmar to carry out the necessary work in that regard. This was particularly so since Penner was aware that his insurer had authorized and was paying for Winmar's restoration work.
During the course of the restoration work, Winmar's contractor observed the foundation of the house via a crawl space beneath the house and noted that in his opinion to restore the house properly it would have had to be jacked up and resupported. This did not occur.
The Court held that Winmar was aware of the location in which the fire started and the amount of water used in suppressing the fire, and that Winmar failed to investigate the effect of the water on the surrounding areas of the house, which included the crawl space and foundation. However, Winmar neither raised the foundation issue with Penner nor took any action to correct it. As a result, Winmar was held liable for damages in the amount required to fulfil their duty of bringing the house in line with its pre-fire state.
This case confirms that there is a reasonable expectation that a contractor will have and use the necessary experience and/or expertise to do the work.
—
Court rules against intervenor judicial review
In Canada (Attorney General) v. Siemens Enterprises Communications Inc. , [2011] F.C.J. No. 1214, the Federal Court dismissed a motion by West Atlantic Systems (WAS) for leave to intervene in a judicial review proceeding.
The judicial review proceeding and intervention motion at issue came after a lengthy chronology of events. In summary, the Attorney General sought judicial review of a decision of the Canadian International Trade Tribunal finding that the conduct of the Department of Public Works and
Government Services in carrying out a procurement process was deficient and not compliant with the North American Free Trade Agreement (NAFTA). Following the release of the Court's decision in Entersays Networks of Canada Ltd. , 2011 FCA 207, a case raising similar procurement issues to those at issue in this matter, the Crown requested this judicial review application be disposed of without an oral hearing. It was only at that time that WAS sought an opportunity to file a motion for intervener status.
In reaching its decision to dismiss the motion, the Court discussed the purpose of the rules of intervention, noting: "The rules permitting interventions are intended to provide a means by which persons who are not parties to the proceedings may nevertheless assist the Court in the determination of a factual or legal issue related to the proceedings. These rules are not to be used in order to replace a respondent by an intervener, nor are they a mechanism which allows a person to correct its failure to protect its own position in a timely fashion ".
The Court held that the motion by WAS for leave to intervene was merely an attempt by WAS to substitute itself for Siemens as the respondent in the judicial review application. Further, WAS was aware of these proceedings and chose to wait until only one week before the date originally set for oral hearing of the judicial review to make its motion. Therefore, WAS had not met its duty to indicate its intention to intervene at the earliest possible opportunity.
This decision demonstrates the complexity of procurement litigation.
—
Court deals with implications for Fair Wages Legislation
In Ocean Steel & Construction Ltd. v. Arseneault , [2011] F.C.J. No. 819, the Federal Court dismissed an application for judicial review of a decision of a fair wage officer and inspector of Human Resources and Skills Development Canada (the inspector) that the applicant Ocean Steel had not paid the respondent workers appropriate wages.
The Court held that the appropriate wage rate for the respondent workers was that established by Human Resources and Skills Development Canada (HRSDC)'s Regional Director, Atlantic Region, found in the Fair Wage Schedule for New Brunswick-East, made pursuant to the Fair Wages and Hours of Labour Act , RSC 1985, c L-4 (the Act) and the Fair Wages and Hours of Labour Regulations , CRC c 1015 (the Regulations).
Ocean Steel fabricates, supplies and installs reinforcing steel for construction projects. They entered into a subcontract for the supply and installation of concrete reinforcing steel at the Canadian Forces Base (CFB) in Gagetown, New Brunswick which incorporated the Fair Wage Schedule. The Labour Conditions of this contract stipulated that all persons employed by the subcontractor were required to be paid wages in accordance
with the attached Fair Wage Schedule of New Brunswick – East .
The inspector conducted a fair wage inspection of the wages paid to the applicant's employees from January to March 2010 and found that there were wages owing for fifteen "rodman" employees. Ocean Steel commenced this application for judicial review as a result of the inspector's finding.
In reviewing the inspector's finding, the Court concluded the appropriate standard of review was that of reasonableness since the inspector's decision was based on an entirely factual question. The Court noted that the role of the inspector was to determine into which category of the Fair Wage Schedule for New Brunswick – East the respondent employees fell and whether they had been paid in accordance with the rates for that category. These were purely factual issues which therefore attracted review on a reasonableness standard.
The Court held that once approved by the regional director, the Fair Wage Schedule was applicable to federal construction contracts, including Ocean Steel's subcontract for the concrete work at CFB Gagetown. The inspector did not have any discretion in determining whether or not to apply the applicable Fair Wage Schedule.
Finally, the Court held that despite the position of "rodman and rodsetter" not appearing in the Fair Wage Schedule for New Brunswick – East, the respondent employees were entitled to be paid wages at a rate not less than that established for an equivalent character or class of work.
This decision demonstrates the complexity of public procurement with the added issue of fair wages at the Federal level.
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CITT confirms procurement is not required to accommodate particular supplier
In Daigen Communications (Re) , [2011] C.I.T.T. No. 78, The Canadian International Trade Tribunal rejected a complaint by Daigen Communications that the Request for Proposal (RFP) requirements imposed by the Canadian Food Inspection Agency (CFIA) were unfairly discriminatory.
The CFIA issued an RFP for the provision of scientific translation services on an asand-when-required basis. Included in the RFP was a requirement that the successful supplier provide both English-to-French and French-to-English translation services. Daigen Communications alleged this requirement unfairly discriminated against an entire category of translation service providers dedicated exclusively to translation from French into English.
Daigen Communications sent a memo to the CFIA suggesting that in addition to being discriminatory, the requirement also militated against the CFIA securing the best quality French-to-English translations. A request was made by Daigen that the requirement be revised to
allow only French-to-English scientific translators to compete.
In rejecting the complaint, the Tribunal reviewed the jurisdiction of government in defining and satisfying the parameters of its procurement solicitation so long as the process is reasonable and without conditions that are impossible to meet. The Tribunal confirmed that a government institution need not structure a procurement to accommodate any particular supplier.
The Tribunal noted that as long as a procurement is not deliberately constructed to preclude certain suppliers or to direct the procurement to a favoured supplier, a government institution may choose to procure a combination of services by way of a single solicitation, even though this might have the effect of excluding some suppliers. Further, the fact that certain bidders have competitive advantages regarding a particular tendering process is simply part of the ordinary ebb and flow of business; if a bidder is at a disadvantage, it does not necessarily follow that the procurement process is discriminatory.
The Tribunal found no evidence suggesting the CFIA structured the procurement with the intent of excluding particular suppliers and held that it was logical to require translation services to and from both languages be bundled into a single procurement.
Finally, the Tribunal rejected Daigen's argument that bundling translation services together might have a negative impact on the quality of the services provided, stating that this was of little relevance as the CFIA was entitled to balance quality considerations against its cost constraints when conducting its procurement solicitation.
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CITT reiterates principle that procurement need not accommodate particular supplier
In 723186 Alberta Ltd. v. Canada (Public Health Agency) , [2011] C.I.T.T. No. 86, the Canadian International Trade Tribunal rejected the complaint of 723186 Alberta Ltd - an unsuccessful bidder who claimed the Public Health Agency of Canada (PHAC) unfairly shut out small translation businesses and individual suppliers from the competition as a result of the requirements of the subject Request for a Standing Offer (RFSO).
The PHAC issued an RFSO for the provision of translation services on an asand-when-required basis. Specific mandatory requirements of the successful supplier included that they provide both English-to-French and French-to-English translation services, that they possess a facility security clearance and that they possess a "Secret" security clearance. 723186 Alberta Ltd. made an objection to the PHAC arguing that the requirements imposed barriers to competition. They proposed that PHAC break up the translation requirements so allow bidders to bid on a single stream and that the security requirements be removed for outsourced translations. The PHAC replied
that they would not be modifying the requirements.
The Tribunal followed the Reasons established in Daigen Communications , namely that a government institution need not structure a procurement to accommodate any particular supplier; that as long as a procurement is not deliberately constructed to preclude certain suppliers or to direct the procurement to a favoured supplier, a government institution may choose to procure a combination of services by way of a single solicitation, even though this might have the effect of excluding some suppliers; and that simply because a bidder is at a disadvantage does not necessarily mean that the procurement process is discriminatory.
In this case, the complaint of 723185 Alberta Limited did not disclose any evidence that the procurement was structured with intent to exclude particular suppliers. The requirements did not appear to be overly restrictive.
The Tribunal found it entirely reasonable to assume that dealing with a single supplier for translation services in both language directions would be more efficient than for only one language direction and found no reason to interfere with the security requirements imposed by the PHAC.
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CITT confirms onus on bidder to ensure proposal compliant
In PA Consulting Group v. Canada (Department of Public Works and Government Services) , [2011] C.I.T.T. No. 87, the Canadian International Trade Tribunal rejected the complaint of PA Consulting Group (PA Consulting) that its proposal was improperly rejected in relation to a procurement by the Department of Public Works and Government Services (PWGSC) on behalf of the Department of Citizenship and Immigration (CIC) for the provision of visa program advisory services.
The complainant, PA Consulting, admittedly sent its proposal to the wrong address. However, PA Consulting alleged that despite being sent to the wrong address, its proposal was improperly rejected because it cooperated with the spirit of the procurement process.
The Request for Proposal (RFP) issued by PWGSC for the provision of visa program advisory services contained a specific clause that indicated where bids were to be returned. The RFP also contained address information relating to the recipient of the services. PA Consulting sent their RFP to the address of the proposed services rather than to the return address for bids. They argued that the layout of the RFP made such a mistake very easy to make, and that the receipt of a courier signature confirming delivery of the RFP resulted in a reasonable expectation that the RFP was in fact being acted upon.
The Tribunal held that since PA Consulting is located in London, England and has no Canadian place of business, its only
possibility for recourse would be under the Agreement on Government Procurement (AGP). In order to be eligible for recourse under the AGP, the tender must conform to the essential requirements of the notices or tender documentation at the time of opening. PWGSC had made the RFP requirements clear and had clearly expressed there was no flexibility in the rules. The responsibility for ensuring a proposal is compliant with all essential elements, including its delivery to the appropriate address, rests with the bidder.
This case reminds us that some simple mistakes will invalidate an RFP.
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CITT confirms negotiations do not equal contract
In Valley Associates Inc. v. Canadian Commercial Corp. , [2011] C.I.T.T. No. 84, the Canadian International Trade Tribunal rejected the complaint of Valley Associates in relation to a procurement by the Canadian Commercial Corporation (CCC), acting in conjunction with the Department of Foreign Affairs and International Trade (DFAIT).
The procurement by the CCC and DFAIT was for the provision of X-ray inspection kits in support of Canada's commitment to provide assistance, as part of its Counter-Terrorism Capacity Building (CTCB) Program, to four countries in Southeast Asia. Valley Associates alleged that the CCC engaged in unfair and prejudicial treatment of the complainant throughout the process of attempting to negotiate the final terms and conditions of a directed contract for the supply of XRay inspection kits. Valley Associates further alleged that the failure of the CCC to award the contract to Valley caused considerable harm to its fiscal performance and business reputation.
Valley Associates and the CCC engaged in ongoing discussions for several months on several issues surrounding the price, contents, technical specifications and timelines for completion of the X-ray inspection kits. A draft contract was eventually sent from the CCC to Valley. Valley replied with its comments as well as a revised quote. Further discussions ensued regarding the proposed contract and a meeting was ultimately held between the parties to discuss the current status. Following the meeting, the CCC notified Valley that it would not be accepting Valley's submission and was therefore not awarding Valley the contract.
The Tribunal stated the limit on its jurisdiction to hear complaints as set out in subsection 30.11(1) of the Canadian International Trade Tribunal Act such that the complaint must be "concerning any aspect of the procurement process that relates to a designated contract ". The Tribunal considered whether a designated contract existed in this case as between the CCC and Valley Associates.
A designated contract was defined by the tribunal as "a contract that has been awarded or is proposed to be awarded by a government institution ". The Tribunal held that the evidence provided in Valley's complaint does not indicate such a contract existed in this case. The CCC clearly communicated its decision to no longer pursue a contract with Valley, a
strong indication that no contract had been awarded, or was any longer proposed to be awarded, to Valley for the provision of the X-ray inspection kits. Since Valley Associates' complaint did not relate to a designated contract, the Tribunal concluded it did not have jurisdiction to conduct an inquiry into the complaint.
However, the Tribunal continued its analysis noting that, even it if had found a contract to have been awarded or proposed to be awarded between the CCC and Valley Associates, the contract would not have met the definition of a designated contract as required for the Tribunal to have jurisdiction. The Tribunal held that the X-ray inspection kits were intended to be delivered to foreign recipients as in-kind contributions of goods. As a result, the purpose of the procurement was to provide assistance to other countries under the CTCB Program and therefore Valley Associates' complaint was not related to a designated contract.
Ultimately, the Tribunal summarized the situation succinctly by stating "the fact that a party may have invested much time and energy in working with the other party does not, in any way, guarantee that it will be awarded a contract ".
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CITT considers principles applicable to loss of profit
In Almon Equipment Ltd. v. Canada (Department of Public Works and Government Services) , [2011] C.I.T.T. No. 92, the Canadian International Trade
Tribunal considered a complaint for compensation filed by Almon Equipment Ltd. (Almon). The Tribunal had previously decided to award Almon one-third of the profit it would have reasonably earned had it been a successful bidder on a contract to remove snow and ice from the aircraft at the Canadian Forces Base (CFB). The contract was written for the disposal and reclamation of glycol and glycolcontaminated materials from the snow and ice removal. The Tribunal had reserved jurisdiction to determine what the final amount of compensation would be, but recommended that Almon and the Department of Public Works and Government Services (PWGSC) try to negotiate an appropriate amount.
The parties were unable to reach an agreement and, as such, Almon filed a submission with the Tribunal estimating a given amount of compensation. The Tribunal heard both parties' submissions and requested that the parties re-examine their submissions and provide additional detailed financial information. The parties filed their submissions and Almon wrote to the Tribunal, questioning the details PWGSC had provided regarding the amount of glycol used and removed during the contract period. PWGSC responded and slightly increased its compensation offer.
In determining the final amount of compensation, the Tribunal reviewed its Procurement Compensation Guidelines (Guidelines) and stated that the compensation should be reflective of the actual loss suffered by Almon as a result of the breach of contract. The Tribunal then looked at two proposed methods to
determine the amount of profit lost. One method, favoured by Almon, was the "revenue-less-cost approach". This involved determining the profit by subtracting costs associated with generating revenue from the actual total revenue. The other method, preferred by PWGSC, was the "profit-margin approach" and involved applying a profit percentage to a total revenue figure. The Tribunal decided to use the "profit-margin approach" on the basis that it did not feel Almon adequately demonstrated the costs it would have incurred in performing the work, if PWGSC had awarded Almon the contract.
In determining the revenue, the Tribunal heard Almon's argument that PWGSC failed to consider additional amounts of glycol that had been sprayed and reclaimed. PWGSC stated that the recovery of the particular type of glycol in question was not covered by the contract at issue, nor actually recovered. The Tribunal, in reviewing the contract, determined that PWGSC had submitted invoices based on the appropriate type of glycol reclaimed and also properly demonstrated the quantity of this type of glycol that was reclaimed.
In determining a reasonable profit margin, the Tribunal reiterated that it was not able to determine the costs that Almon would have incurred if it had been awarded the contract (based on the information Almon provided). However, it was able to take information submitted by both parties throughout the compensation process. The Tribunal accepted Almon's argument that superior courts have recognized a profit premium in cases involving breach of contract for specialized services on the basis that competition is limited and that these services "are not readily available". The Tribunal noted that the courts have identified a premium at a rate of 15% 20%, and considered 20% to be the appropriate amount in this case. This rate was reflective of the specialized services of de-icing and anti-icing, as well as the requirements to properly handle chemicals and store them for disposal.
The Tribunal calculated that Almon would have realized a profit margin of 21.9% on revenues of $1,372,891, coming to a total of $300,663.00. The Tribunal stated that Almon should receive $100,221.00, or one-third of the profit it would have earned on the basis of it being awarded the contract. Almon also argued for legal fees and undue hardship caused through litigation of the matter. The Tribunal determined that Almon's legal fees would not be considered in the decision, as the issue had not been considered in the Tribunal's previous decision.
This decision confirms that loss of profit claims are subject to a number of principles and considerations.
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CITT reviews national security exception
In Opsis, Gestion d'infrastructures Inc. v. Canada (Department of Public Works and Government Services) , [2011] C.I.T.T. No. 53, the Canadian International Trade Tribunal dismissed a complaint by Opsis, Gestion d'infrastructures Inc. (Opsis),
holding that it did not have jurisdiction to continue its inquiry.
Opsis filed a complaint with the Tribunal concerning a procurement by the Department of Public Works and Government Services (PWGSC) on behalf of the Department of the Environment (EC) for the maintenance and operation of the mechanical and electrical systems at the Canadian Meteorological Centre in Dorval, Quebec and alleging that PWGSC evaluated its proposal improperly.
The Tribunal accepted the complaint for inquiry, following which the contract in question was awarded to Cofely Services Inc. (Cofely). Cofely subsequently requested the Tribunal grant it intervener status, which was so granted. PWGSC then filed a motion with the Tribunal for an order dismissing the complaint on the basis that the Tribunal did not have jurisdiction to inquire into the complaint since the Government of Canada had invoked the national security exception in relation to the subject procurement. The national security exception is found at Article 1804 of the Agreement on International Trade (AIT) and provides for exceptions to the provisions of the trade agreements where national security is involved.
The Tribunal does not have jurisdiction with respect to the federal government's determination that a particular matter relates to national security. This determination rests solely with the Government of Canada. The Tribunal stated its role in national security exemptions is therefore limited to determining the issue of whether the exception was actually and validly invoked in the context of a particular complaint.
The issue before the Tribunal was thus whether, in this case, the national security exception in Article 1804 of the AIT was invoked properly and in a timely fashion by the Government of Canada.
In analyzing this issue, the Tribunal noted there are no rules prescribing exactly when the exception must be invoked. The Tribunal held that the national security exception need not be referred to in the procurement solicitation documents in order for its invocation to be valid. Rather, the exception may be invoked at any time before the end of the procurement process, and parties can be informed only after the filing of a complaint with the Tribunal.
In this case, the exception was invoked broadly and in a general context such that it was reasonable for the exception to concern and include future procurements relating to the facilities in question at the Canadian Meteorological Centre in Dorval, Quebec. As a result, the exception necessarily applied to the procurement of labour for the operation, maintenance and performances of repairs at those facilities. Since the complaint under inquiry related to the facilities in Dorval, the exception was found to apply and the Tribunal no longer held jurisdiction to continue the inquiry.
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|
plans to
be
PREPAID LEGAL
treated as
SERVICES
insurance, if
AND
the
HAWAII
insurance
sioner so interprets the insurance statutes.
The position of the National Association of Insurance
Commissioners (NAIC) is that prepaid legal service plans
should be treated as insurance whether or not sold by insur-
ance companies.
2
The argument of the NAIC is that all
persons in the field should be treated alike and plans sold
by companies other than insurance companies should not be
given an advantage over plans sold by insurance companies.
Why this argument should be adopted for prepaid legal
service plans, while itis not true of prepaid medical plans
is not explained; nor does itseem persuasive since medical
plans are sold by insurance companies subject to insurance
regulation and by nonprofit companies (Kaiser) which are not
subject to insurance regulation.
3
Consumer organizations
and unions are against the NAIC proposed Model Act. 4
This alternative does have several advantages. The
problems which may be caused by a third party administrator
are covered by the insurance statutes or the NAIC Model Act.
State tax problems are obviated, since insurance companies
pay a premium tax and are exempt from the state income and
general excise tax.
5
The disadvantages of this alternative are the high
capital requirements--$300,000 paid-in capital stock or
surplus ifthe plans are treated as general casualty insur-
ance. Increased costs would also result from premium taxes
and administrative costs.
Application of this alternative to a plan such as that
of the Amalgamated Clothing Workers of America of Chicago
would stifle such a plan. In that plan there are approxi-
mately 6,000 union members paying $24 a year or approximately
a total of $204,000 a year directly to the law firm. Almost
all of the funds are used for benefits, while the costs of
administration are apparently shared by the union and the
law firm and not charged to the plan.
Since prepaid legal services is still in the develop-
ment and experimentation stage, this alternative does not
appear to allow free growth of such services. Secondly,
since prepaid legal service plans in many forms are not
clearly insurance, the insurance commissioner might rule
that some or all are not subject to regulation. Finally,
any such ruling could be subject to court challenge. The
last two objections could, of course, be overcome by speci-
fically applying insurance statutes to prepaid legal service
plans or by adopting the NAIC Model Act.
66
commisFINDINGS AND RECOMMENDATIONS
THREE: The third and recommended alternative is to provide enough regulation to protect the consumer, but to allow continued growth and experimentation with prepaid legal service plans.
This alternative would exempt the plans sponsored by organizations other than insurance companies from insurance regulation. These plans should, however, be subject to the following requirements:
(1) All plan documentation should be filed with. the Department of Regulatory Agencies prior to implementation of the plan.
(2) All plans should be specifically subject to chapter 480, Monopolies; Restraint of Trade; chapter 481, part I, Unfair Practices Act; chapter 48lA, Uniform Deceptive Trade Practices Act; and chapter 48lB Unfair and Deceptive Practices, Hawaii Revised Statutes.
(3) Protection should be given to any accumulation of funds made under a plan.
(4) The Department of Regulatory Agencies should be allowed to inspect the books and documents of any plan and required to do so every three years or the plans should be required to submit a statement of a certified public accountant that their books have been audited.
This alternative would not add appreciably to the cost of administering a plan, it would provide protection to the consumer while allowing for growth and experimentation in the field, and it would clarify any doubts concerning the application of insurance statutes to plans sponsored by organizations other than insurance companies.
Code of Professional Responsibility
The Hawaii Code of ProfessionaZ ResponsibiZity is based on the Code recommended by the American Bar Association in 1969. None of the amendments concerning prepaid legal services have been adopted, although they are being studied by the Special Committee on Prepaid Legal Services of the Hawaii Bar Association.
The failure to adopt the most recent amendments suggested by the American Bar Association would hinder the
growth of prepaid legal services in Hawaii. Because the Code of Professional Responsibility is adopted and amended by the Hawaii Supreme Court, a legislative resolution requesting early consideration and adoption of proper amendments and encouraging early action by the Hawaii Bar Association and the Hawaii Supreme Court would expedite the implementation of prepaid legal services in Hawaii.
Consumer Education
Prepaid plans providing legal services at a lower cost may meet one of the two reasons why it is difficult to determine whether a need for legal services exists; that is, the cost of such services is either known or believed to be excessive and this discourages their use.
The second reason, however, i.e. the failure to recognize legal problems when they occur will only be partially met by prepaid legal services. Groups will be educated by the plans to use the preventative aspect of law instead of waiting until a court case arises. Plans will also educate groups on the benefits offered and their use.
Both recognition of legal problems and prepaid legal services, however, could be furthered by consumer education programs undertaken by the Hawaii Bar Association and the Department of Education. As one paper has pointed out:
It is astounding that in as legalistic a country as the united States, nowhere in the educational system does one get a working knowledge of the law as part of a general education. 6
This failure could be overcome by directing the Department of Education to expand the subject matter of required courses to include information concerning at least the problems most often faced by citizens, such as landlord-tenant, consumer, and domestic problems and to provide an understanding of the functioning of the court system.
The Hawaii Bar Association should undertake a program of public education concerning prepaid legal services, the law, the use of attorneys, the court system and the services offered by the Hawaii Bar to the citizens of the State. To quote an ethical consideration of the Hawaii Bar contained in the Code of Professional Responsibility:
The need of members of the public for legal services is met only if they recognize their
FINDINGS AND RECOMMENDATIONS
legal problems, appreciate the importance of seeking assistance, and are able to obtain the services of acceptable legal counsel. Hence, important functions of the legal profession are to educate laymen to recognize their legal problems, to facilitate the process of intelligent selection of lawyers, and to assist in making legal services fully available. 7
FOOTNOTES
Chapter 1
3. Bartosic and Bernstein, pp. 428-29.
1. Florian Bartosic and Jules Bernstein, "Group Legal Services as a Fringe Benefit: Lawyers for Forgotten Clients Through Collective Bargaining," 59 Va. L. Rev. 410, 416.
Definitions of GLS are many and varied. The ABA Special Co~ittee on Availability of Legal Services has offered the following:
Plans by which legal services are rendered:
(1) To individual members of a group identifiable in terms of some common interest,
(2) By a lawyer provided, secured, recommended, or otherwise selected by:
(a) The group, its organization, or its officers; or by
(b) Some other agency having an interest in obtaining legal services for members of the group.
ABA SPECIAL COMM. ON AVAILABILITY OF LEGAL SERVICES, REPORT TO ABA HOUSE OF DELEGATES (1968).
The Group Legal Services Committee of the California State Bar has defined GLS as:
Legal services performed by an attorney for a group of individuals who have a common problem or problems, or who have joined together as a means of best bargaining for a predetermined position, or who have voluntarily formed, or become members of an association with the aim that such association shall perform a service to its members in a particular field or activity, or through common interest it appears that the organization can gain a benefit to the members as a whole.
Examples of such organizations are labor unions, employer organizations, trade associations, teachers' groups, civil service employees or any body politic, members of a social club or of an automobile club, fraternal organizations, and numerous other such associations. Included also may be groups who associate themselves for the purpose of establishing a plan of prepaid legal services to be rendered to individual members thereof, whether or not the members have a common interest in a certain field of activity.
1964 Progress Report, California State Bar Group Legal Services Committee, 39 Cal. St. B.J. 639, 661 (1964).
2. Beverly C. Moore, "Prepaid Legal Services in Perspective: An Overview" in CoZZeated Materials on Prepaid Legal Serviaes (Virginia: Special Committee on Prepaid Legal Services of the Virginia State Bar, January 1973), p. 1.
4. "Revised Handbook on Prepaid Legal Services," ABA Speaial Committee on Prepaid Legal Serviaes (Chicago: American Bar Association, 1972) (hereinafter Revised Handbook). Recommendation of the ABA Special Committee on Prepaid Cost Insurance that the name of the committee be changed to the Special Committee on Prepaid Legal Services.
5. James Wu, Prepaid Legal Serviaes: Perspeative for Conneatiaut (Connecticut: Connecticut General Assembly, 1974), p. 1.
6. In re Gill, 104 Wash. 160, 176 P. 11 (1918); State ex. rel. Lundin v. Merahants Proteative Corporation, 105 Wash. 12, 177 P. 694 (1919); People ex. rel. Lawyers' Institute of San Diego v. Merahants Proteative Corp., 189 Cal. 531, 209 P. 363 (1922).
7. People ex. rel. Chiaago Bar Assoaiation v. Motorists Assoaiation of Illinois, 354 Ill. 595, 188 N.E. 827 (1933); Rhode Island Bar Assoaiation v. Automobile Serviae Assoaiation, 55 R.I. 122, 179 A. 139 (1935); see Bulleit, "The Automobile Clubs and the Courts," 5 Law and Contemp. Prob. 22 (1938); contra In Re Thebodeau, 295 Mass. 374, 3 N.E. 2d 749 (1936).
8. Ryan v. PennsyZvania Railroad Company, 268 Ill. App. 364 (1932); In Re Petition of the Committee on Rule 28 of the Cleveland Bar Assoaiation, 15 Ohio L. Abs. 106 (Ct. App. 1933); In Re O'Neill, 5 F. Supp. 465 (E.D.N.Y. 1933); Hildebrand v. State Bar of California, 18 Cal. 2d. 816, 117 P. 2d 860 (1941); Hildebrand v. State Bar of California, 36 Cal. 2d 504, 225 P. 2d 508 (1950); Doughty v. Gills, 37 Tenn. App. 63, 260 S.W. 2d 379 (Ct. App. 1952); In Re Brotherhood of Railroad Trainmen, 13 Ill. 2d 391, 150 N.E. 2d 163 (1958).
9. 371 U.S. at 429.
10. 377 U.S. at 8.
11. Brief of the American Bar Association as amiaus auriae in support of petition for rehearing at 12, petition denied, 377 U.S. 960.
12. 401 U.S. at 585-86.
13. "Committee Report--Group Legal Services," 39 J. St. Bar Cal. 639, 652 (1964).
14. Revised Handbook, pp. 1-5.
15. See e.g., Frederick G. Fisher, Jr., "Future Options of the Private Bar in the Field of Prepaid Legal Services," 58 Mass. L.Q. 243, 255 (1973).
16. For an excellant comparison of open versus closed panels see, Edwin L. Gasperini and Max Schorr, "Prepaid Group Legal Services-Where We Are," 45 N.Y.S.B. 69, 75 (1973).
17. Id.
18. Charles H. Baron and Garrick F. Cole, "Real Freedom of Choice for the Consumer of Legal Services," 58 Mass. L.Q. 253, 256 (1973).
19. Id.
20. Id.
21. Bartosic and Bernstein, p. 427.
22. Barlow F. Christensen, Lawyers for People of Moderate Means: Some Problems of Availability of Legal Services (Chicago: American Bar Foundation, 1970), p. 134.
23. Baron and Cole, p. 259.
24. Bartosic and Bernstein, p. 428; Baron and Cole, p. 257.
25. Baron and Cole, p. 257.
26. Bartosic and Bernstein, pp. 432-33.
27. Gasperine and Schorr, p. 75.
28. Baron and Cole, p. 258.
29. For an extended discussion, see Lyman M. Tondel, Jr., "The New ABA Ethic," and Robert J. Connerton, "The New ABA Ethic: Comments," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), pp. 64-75.
30. Robert J. Connerton, "The New ABA Ethic: Comments," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), p. 72.
31. Trends in Legal Services, Sept. 1974, p. 1.
32. u.S. Congress, Senate Committee on Judiciary, Subcommittee on Representation of Citizen Interest, Hearings on Recent Developments in Prepaid Legal Serviae Plans, 93d Cong., 2nd Sess., 1974, p. 2.
33. Group Legal Review, Feb. 1975, p. 1.
34. Trends in Legal Services, Mar. 1975, p. 1. In particular new Disciplinary Rule 2-l03(D) reads:
A lawyer shall not knowingly assist a person or organization that furnishes or pays fOL legal services to others to promote the use of his services or those of his partner or associate or any other lawyer affiliated with him or his firm except as permitted in DR 2-l0l(B). However, this does not prohibit a lawyer or his partner or associate or any other lawyer affiliated with him or his firm from being recommended, employed, or paid by, or co-operating with, one of the following offices or organizations that promote the use of his services or those of his partner or associate or any other lawyer affiliated with him or his firm if there is no interference with the exercise of independent professional judgment in behalf of his client:
(1) A legal aid office or public defender office:
(a) Operated or sponsored by a duly accredited law school.
(b) Operated or sponsored by a bona fide nonprofit community organization.
(c) Operated, or sponsored by a governmental agency.
(d) Operated, sponsored, or approved by a bar association.
(2) A military legal assistance office.
(3) A lawyer referral service operated, sponsored, or approved by a bar association.
(4) Any bona fide organization that recommends, furnishes, or pays for legal services to its members or beneficiaries provided the following conditions are satisfied:
(a) Such organization, including any affiliate, is so organized and operated that no profit is derived by it from the rendition of legal services by lawyers, and that, if the organization is organized for profit, the legal services are not rendered by lawyers employed, directed, supervised, or selected by it except in connection wi th matters where such organization bears ultimate liability of its member or beneficiary.
(b) Nei ther the lawyer, nor his partner, nor associate, nor any other lawyer affiliated with him or his firm, nor any nonlawyer, shall have initiated or promoted such organization for the primary purpose of providing financial or other benefit to such lawyer, partner, associate, or affiliated lawyer.
(c) Such organization is not operated for the purpose of procuring legal work or financial benefit for any lawyer as a private practitioner outside of the legal services program of the organization.
(d) The member or beneficiary to whom the legal services are furnished, and not such organization, is recognized as the client of the lawyer in the matter.
,
~(er;rny;;ember or beneficiary / is enti tIed to have legal services furnished or paid for by the organization may, if such member or beneficiary so desires, select counsel other than that furnished, selected, or approved by the organization for the particular matter involved; and the legal service plan of such organization provides appropriate relief for any member or beneficiary who asserts a claim that representation by counsel furnished, selected, or approved would be unethical, improper, or inadequate under the circumstances of the matter involved and the plan provides an appropriate procedure for '~Seeking such relief. _
<~~--.---.~"-<~-
(f) The lawyer does not know or have cause to know that such organization is in violation of applicable
laws, rules of court, and other legal requirements that govern its legal service operations.
(g) Such organization has filed with the appropriate disciplinary authority at least annually a report with respect to its legal service plan, if any, showing its terms, its schedule of benefits, its subscription charges, agreements with counsel, and financial results of its legal service activities or, if it has failed to do so, the lawyer does not know or have cause to know of such failure.
A New Ethical Consideration 2-33 was adopted which reads:
As a part of the legal profession's commitment to the principle that high quality legal services should be available to all, attorneys are encouraged to co-operate with qualified legal assistance organizations providing prepaid legal services. Such participation should at all times be in accordance with the basic tenets of the profession: independence, integrity, competence, and devotion to the interests of individual clients. An attorney so participating should make certain that his relationship with a qualified legal assistance organization in no way interferes with his independent, professional representation of the interests of the individual client. An attorney should avoid situations in which officials of the organization who are not lawyers attempt to direct attorneys concerning the manner in which legal services are performed for individual members, and should also avoid situations in which considerations of economy are given undue weight in determining the attorneys employed by an organization or the legal services to be performed for the member or beneficiary rather than competence and quality of service. An attorney interested in maintaining the historic traditions of the profession and preserving the function of a lawyer as a trusted and independent advisor to individual members of society should carefully assess such factors when accepting employment by, or otherwise participating in, a particular qualified legal assistance organization, and while so participating should adhere to the highest professional standards of effort and competence.
35. "House passes revised prepaid Code amendments-ending a year long debate," American Ba:r News, Apr. 1975, p. 4.
36. Danny Jones, "The Necessity for the General Practitioner to Reorganize for Group Practice," Prepaid Services and Beyond (Chicago: American Bar Association, 1974), pp. 80, 82.
37. 29 U.S.C. 302(c).
38. A mandatory bargaining item means that the employer is required to bargain over the item once it is placed on the bargaining table. If there is a failure to reach an
agreement, the union is free to strike over that issue. Robert J. Connerton, "Legislation at the National Level," Prepaid LegaZ Services (Chicago: American Bar Association, 1973), pp. 89-90.
It is not clear at this time whether legal services will be a mandatory item of bargaining. Connerton states it is at p. 92. The United States Senate Committee on Labor and Public Welfare, however, indicates in Senate Report No. 93-139 on S. 1423, 1973, that whether or not an item is mandatory is decided by the courts or the National Labor Relations Board unless otherwise stated in the law as is the case with child care centers.
To date no decisions regarding legal services has been found; therefore, it is unknown whether or not legal services will be a mandatory bargaining item.
39. The text of the amendment reads:
The provision of the section shall not be applicable . . • with respect to money or any other thing of value paid by any employer to a trust fund established by such representative for the purpose of defraying the costs of legal services for employees, their families, and dependents for counselor plan of their choice: Provided, That the requirements of clause (B) of the proviso to clause (B) of this subsection shall apply to such trust funds: Provided further, That no such legal service shall be furnished: (A) to ini tiate any proceeding directed (i) against any such employer or its officers or agents except in workman's compensation cases, or (ii) against such labor organization, or its parent or subordinate bodies, or their officers or agents, or (iii) against any other employer or labor organization, or their officers or agents, in any matter arising under subchapter II of this chapter or this chapter; and (B) in any proceeding where a labor organization would be prohibiting from defraying the costs of legal services by the provisions of the Labor-Management Reporting and Disclosure Act of 1959.
40. Public Law 93-406; 29 U.S.C. 1001 et. seq.
41. 29 U.S.C. 1002(1).
42. 29 U.S.C. 1003.
43. 29 U.S.C. 1144.
44. Trends in LegaZ Services, Sept. 1974, p. 4.
45. For an extended discussion of ERISA, see "The Effect of ERISA on Prepaid Legal Services," 27 Baylor L. Rev. 566 (1975).
While the coverage of ERISA is extensive, some employer/employee plans may not be covered thereunder. For example, proposed regulations provide that a plan with less than 100 participants which provides benefits in a specified manner is exempt from certain provisions of ERISA. In addition to this partial exemption, the
proposed regulations provide for the total exemption of certain plans. The extent of preemption may also be questioned in areas not regulated by ERISA. ERISA specifically deals with reporting, disclosure, and fiduciary responsibility and administration and enforcement. ERISA does not appear to cover participation, vesting, and funding for prepaid plans. Certain plans are also excepted from the coverage of ERISA, such as governmental plans, church plans, plans maintained solely for the purpose of complying with applicable worker's compensation and unemployment compensation laws or disability insurance laws, and excess benefit plans.
Chapter 2
1. Trends in LegaZ Services, Nov. 1974, p. 3.
2. Philip J. Murphy, "A Vision of the Future," TriaZ, The NationaZ LegaZ Magazine, Mar./Apr. 1975, p. 13.
3. Much of the discussion in this section regarding the formation of plans has been taken from: The Futures Group and The National Consumer Center for Legal Services, Prepaid LegaZ Services: How to Start a PZan (Washington, D.C.: 1975), pp. 19-34.
4. The ABA's Special Committee on Availability of Legal Services developed a checklist of basic points to consider when formulating a prepaid-legal-service program. This checklist applies to an open-panel system.
I. Purposes and Objectives of the Program
B. To preserve a free choice of lawyers
A. To improve the availability of all lawyers to that,section of the public which is between the poverty group and the weal thy
by the public
II.
III.
IV.
D. To improve the prospect of obtaining quality legal services economically Legal Services
C. To develop the relation of lawyerclient in a non-crisis or non-litigation situation; i.e., preventive law
Who will Receive A. Single individuals
C. MUlti-unit groups; e.g., employees of all local bottlers, credit unions, trade associations
B. Local groups with a single common interest; e.g., local union, lodge, association
D. Nationwide groups; e.g., all employees of the Federal Postal Corporation, all employees of General Motors, all members of Consumers Union Who will Provide the Services
B. All lawyers within a given jurisdiction
A. All lawyers who enroll in a panel
C. Any lawyer of law firm anywhere
A. Legal counsel
Expert Services
Needed to
Develop Program
B. Program designers and administrators
2. Administrator
1. Actuary/consultant
a. OWn salaried employee
V.
b.
Administration firm
Establishing contract
hired on
basis
Benefits the
Program
1. Scope or limitation
b. All individual legal problems
A.
a. Matters related to employment or common interest of the group
c. Exclusions and deductibles
(2) Contingent fee cases
(1) Suits against employer
(3) Specific areas of law (probate, divorce, etc.)
(5) Business matters
(4) Status of plaintiff or defendant
(6) Matters covered by insurance or other means (group plan)
(8) "Shopping"*
(7) Filling out tax returns
B. Method of financing
2. By third party out of member's funds
1. By direct remittance from individual member
3. By third party on behalf of member
C. Structure of operating entity
a. As fringe benefit contributed directly by employer to prepaid plan administrator
1. Nonprofit corporation
3.
2. A charitable trust
4. An insurance company
A
bar association
D. Data requirements
a. Calendar year
1.
Plan identifica
tion b.
Plan identification
number a.
2. Insured member information
b. Social Security number
Name
c. Birth date
e. Employment date
c. Birth da te
f. Plan membership date
h. Status code (end of year)
g. Status code (beginning of year)
i. Compensation
k.
j. Type of member; e.g., union, hourly, salaried
1. Place of employment
Employer code
m. Residence
o. Family data (names of children, sex, birth date)
n. Marital status (name of spouse, Social Security number, birth date)
3. Claim information
b. Nature of practice
a. Name of attorney
c. Size of firm
e. Date claim initiated
d. Claimant identification number
f. Type of claim
h. Duration of claim
g. Source of claim
i. Status of claim at beginning of year
k. Procedures utilized
j. Status of claim at end of year
(1) Consultation
(3) Document work
(2) Investigation-research
(4) Motions filed
(5) Court appearance
m. Amount of claim
1. Resolution of claim
n. Amount covered by plan
*I.e., duplication of the same services or advice--so called because the individual is seen as "shopping around. "
5. American Bar Association, Code of Professional Responsibility, Disciplinary Rule 2-l03(D)(4) (e), (hereinafter Code, DR).
6. Murphy, p. 13.
7. Code, DR 2-l03(D)(4)(d).
8. Code, DR 2-103 (D) (4) (e).
9. Code, DR 2-l03(D)(4)(a).
10. David Weinstein, "The Future of the Legal Profession--Part 2," Juris Doctor, Sept. 1975, pp. 19, 22.
11. Id. at 21.
12. u.S. Congress, Senate, Committee on Judiciary, Subcommittee on Representation of Citizen Interest, Hearings on Recent Developments in Prepaid Legal Service PZans, 93d Cong., 2nd Sess., 1974, p. 2.
13. Except as noted discussion of the Shreveport Plan was taken from Shreveport Bar Association, Laborers Local Union 229; Prepaid Legal Service Plan, A Compilation of the Basic Documents, p. 22. For other sources of information on Shreveport see, F. MarIes, R. Hallauer, and R. Clifton, The Shreveport Plan: An EXperiment in the Delivery of Legal Services (Chicago: American Bar Association, 1974); R. Hallauer, "The Shreveport Experiment in Prepaid Legal Services," 2 J. of Legal Studies 223 (1973); J. Getman, "A Critique of the Shreveport Experiment," 3 J. of Legal Studies 487 (1974).
14. Ralph W. Jackson, "A Brief Review of Existing Data of Legal Needs Among Middle Income Americans," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), p. 9.
15.· F. MarIes, R. Hallauer, and R. Clifton, The Shreveport PZan: An Experiment in the Delivery of Legal Services (Chicago: American Bar Foundation, 1974), pp. 91-95.
16. Henry A. Politz, "Laborer's Local 229, Shreveport, Louisiana," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), p. 57. Average family unit is used due to the constant change in union personnel and those covered by the plan.
17. Id. at 58.
18. Id.
19. Julius G. Getman, "A Critique of the Shreveport Experiment," 3 J. of Legal Studies 487 (1974).
20. Discussion taken from: Charles Harris, "Utah Prepaid Legal Services Plan," Prepaid Legal
Services and Beyond (Chicago: American Bar Association, 1974), pp. 32-39; Joseph Novak, "How the Utah Prepaid Legal Services Plan Operates," 60 A.B.A.J. 1081; the Utah Prepaid Legal Services Plan.
21. Discussion taken from: the Michigan Education Association Legal Services Corporation Prepaid Legal Services Plan and summarization prepared by the State Bar of Michigan.
22. Discussion taken from: Avrum R. Dannen, "The Plan of the Chicago Joint Board of the Amalgamated Clothing Workers," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), pp. 48-55; the Group Legal Service Plan (Revised) of the Amalgamated Clothing Workers; Letter from Eugene Crane to Richard F. Kahle, Jr., August 5, 1975; Letter from Eugene Crane to the American Bar Association, December 17, 1974.
23. Discussion taken from: David Clayman and Victor Smedstad, "Laborers Local 423", Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), pp. 20-31; the plan of the Laborers Local 423, Legal Service.
24. Discussion taken from: Legal Services and Expenses Indemnification Insurance Policy, Stonewall Insurance Company, filed with the Hawaii Department of Regulatory Agencies, approved April 30, 1973 and Supplemental Schedules of Benefits LS13 and LS14 filed and approved April 6, 1974.
25. Robert J. Conner ton , "Legislation Affecting Prepaid Legal Services, Legislation at the National Level," Prepaid Legal Services (Chicago: American Bar Association, 1973), p. 92.
26. Ralph N. Jackson, "A Brief Review of Existing Data on the Extent of Legal Needs Among Middle Income Americans," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), p. 8.
27. Florian Bartosic and Jules Bernstein, "Group Legal Services as a Fringe Benefit: Lawyers for Forgotten Clients Through Collective Bargaining," 59 Va. L. Rev. 410, 430. The computations for the table were made as follows:
First, estimates of the average time of both the attorney, and the other personnel involved were obtained from program directors and/or administrators. The dollar value of this time was computed on the basis of average annual salaries (within each program), using the assumption that the lawyer's work-week is a 35 hour week, despite the fact that staff attorneys in these programs often put in ten or more hours beyond this. To the resulting figures were added the cost of filing fees and court costs, where they are paid by the program, and a prorated figure representing indirect costs. Thus, the formula is: the cost of professional and nonprofessional time plus fees plus indirect costs.
28. Id., at 430, 431.
29. Peter H. Schuck, "The Possibility of Effecting Institutional Changes," Prepaid LegaZ Serviaes and Beyond (Chicago: American Bar Association, 1974), p. 109.
30. Id. at 112-113.
31. Id. at 113.
32. Clara Ann Bowler, "Prepaid Legal Services and the Alternative Practice of Law," 51 Chi.-Kent L. Rev. 41, 53-54.
33. Trends in LegaZ Sertliaes, Mar. 1975, p. 6.
34. Id.
35. For a comparison of such differences, see Garrick F. Cole, "Will the History of Health Plans on Cost and on Quality Controls Repeat Itself in Legal Services," Prepaid LegaZ Serviaes and Beyond (Chicago: American Bar Association, 1974), p. 135.
36. Id. at 141.
37. Id.
3B. David Weinstein, "The Future of the Legal Profession--Part 2," Juris Doator, Sept. 1975, p. 19.
Chapter 3
1. Ralph N. Jackson, "A Brief Review of Existing Data on the Extent of Legal Needs Among Middle Income Americans," Prepaid Lega Z Serviaes and Beyond (Chicago: American Bar Association, 1974), p. B.
2. The American Bar Association Special Committee on Prepaid Legal Services, A Primer of Prepaid LegaZ Serviaes, ed. Philip J. Murphy (Chicago: 1974), p. 7 (hereinafter cited as Primer).
3. Florian Bartosic and Jules Bernstein, "Group Legal Services as a Fringe Benefit: Lawyers for Forgotten Clients Through Collective Bargaining," 59 Va. L. Rev. 410, 417 (1973).
4. See Preble Stolz, .The LegaZ Needs of the PubZia: A Survey AnaZysis (Chicago: American Bar Foundation, 196B).
5. Barbara A. Curran and Francis O. Spalding, The LegaZ Needs of the PubZia (Chicago: American Bar Foundation, 1974).
6. Id. at 6B.
7. Id. at 6B-72.
B. Id. at 79-9B.
9. Id.
10. Id. at 91.
11. Id.
12. Id. at 92.
13. "Quintet: The Usage and Cost of Five Operating Plans," Prepaid LegaZ Serviaes and Beyond (Chicago: American Bar Association, 1974), pp. 19-62.
14. Trends in LegaZ Serviaes, Jun. 1974, p. 9.
15. Primer at B.
16. Trends in LegaZ Serviaes, Jun. 1974, p. 9.
17. Group LegaZ Review, Sept. 1975, p. 3.
lB. AZternatives: LegaZ Serviaes and the PubZia, Dec. 1974, p. B.
19. Trends in LegaZ Serviaes published by Editorial Services, 1523 L Street, N.W., Washington, D.C. 20005 for $50 a year and Group LegaZ Review published by the National Consumer Center for Legal Services, 1302 IBth Street, N.W., Washington, D.C. 20036 for $15 a year for individuals and $100 a year for organizations. Organization members receive a special bulletin which consists of complete copies and text of the latest publications, studies, court decisions, plan reports, and limited technical advice in establishing prepaid plans.
20. Group LegaZ Review, Aug. 1975, p. 3.
21. Group LegaZ Review, Jun. 1975, p. 3.
22. Estimated from Hawaii, Department of Taxation, Hawaii Inaome Patterns, 1972, IndividuaZs (Honolulu, 1975), p. 16.
23. Id.
24. The plan is funded by a 2 cents an hour contribution by the employer. The plan is collecting funds, but has not been activated pending an opinion from the Internal Revenue Service concerning the tax aspects of the plan. See also, advertisement for an in-house attorney to provide certain legal services under a Taft-Hartley Prepaid Legal Fund. HonoZuZu Advertiser, Sept. IB, 1975, p. D-7.
25. Legal Services and Expenses Indemnification Insurance Policy, Stonewall Insurance Company, filed with the Hawaii Department of Regulatory Agencies, approved April 30, 1973.
26. University of Hawaii contract no. HC-I073 between the Associated Students of the University of Hawaii and Ian L. Mattoch, Attorney at Law, July 3, 1974.
27. Report submitted to the Associated Students of the University of Hawaii by Ian L. Mattoch, Attorney at Law pursuant to University of Hawaii contract no. HC-l073, 1974.
2B. Pacific Business News, Oct. 20, 1975, p. 27.
29. Statistics submitted by the Legal Aid Society of Hawaii to the Legislative Reference Bureau, Sept. 22, 1975.
Chapter 4
1. Trends in LegaL Serviaes, Oct. 1974, p. 3.
2. American Bar Association, Code of ProfessionaL ResponsibiLity, sec. DR 2-103 (D) (4) (g).
3. James Wu, Prepaid LegaL Serviaes: Perspeative for Conneatiaut (Connecticut: Office of Legislative Research, 1974), p. 13.
4. William B. Pugh, "Insurance Regulation, Problems of Regulation," Prepaid LegaL Serviaes (Chicago: American Bar Association, 1973), p. Ill.
5. CaLif. Copp. Code, sec. 9201.2.
6. Georgia, Act 684, 1975 legislative session.
7. Minn. Stat. Ann., sec. 60A.06, subdivision 1(15); 60A.07, subdivisions 5a, 5b, and 5c; 60A.08, subdivision 10.
8. Wis. Stat. Ann., sec. 201.04.
9. Oregon Laws, 1973, Act 97.
10. Texas, Act 582, 1973 legislative session.
11. Texas, S.B. No. 28, 1975 legislative session.
12. Conneatiaut, substitute H.B. No. 5141, 1975 legislative session, allowing the sale of prepaid insurance by nonprofit corporations and insurance companies; ILLinois, S.B. No. 558, 1975 legislative session, providing that legal expenses are a class of insurable risk which may be written by insurers; Massaahusetts, H.B. No. 2503, 1975 legislative session, similar to Georgia Act 684; New Jersey, S.B. No. 726, 1974 legislative session, allowing formation of nonprofit corporations to sell legal services; New York, S. 1001-D, 1975 legislative session, allowing the sale of legal service insurance; North Carolina, H.B. No. 996, 1975 legislative session, allowing formation of a nonprofit corporation to sell prepaid legal service?
13. MaryLand, H.B. No. 1110 and S.B. No. 980, 1975 legislative session.
14. Trends in LegaL Serviaes, Mar. 1975, p. 1.
15. South CaroLina, H.B. No. 2059, 1975 legislative session.
16. Garrick F. Cole, "An Act to Regulate Group Legal Service Plans," 11 Harv. J. Legis. 68 (1973).
17. Trends in LegaL Serviaes, Jul. 1974, pp. 5-8.
18. Id. at 1.
Chapter 5
1. For further treatment, see "Antitrust Questions in Prepaid Legal Plans," Prepaid LegaL Serviaes (Chicago: American Bar Association,
1973), pp. 138-155; Richard K. Decker, "The Federal Finger of the Antitrust DiviSion," Prepaid LegaL Serviaes and Beyond (Chicago: American Bar Association, 1974), pp. 123-12.8; L.M. Cornish Jr. and Craig M. Cornish, "Group Legal Services Today," 14 Washburn L.J. 31, 37-42 (1975).
2. GoLdfarb v. Virginia State Bar Assoaiation, 43 U.S.L.W. 4723 (1975).
3. L.M. Cornish Jr. and Craig M. Cornish, "Group Legal Services Today," 14 Washburn L.J. 31, 42.
4. Id.
5. 15 U.S.C. secs. 1-7.
6. Id., sec. 12 et. seq.
7. Cornish and Cornish at 38. For example, the California Lawyers Service, an open panel plan, has requested and received a business review letter from the Department of Justice. The letter raised serious antitrust questions about both the fee schedule and the state bar.rules, Trends in LegaL Serviaes, Sept. 1974, p. 3.
8. For further treatment, see Stephen J. Martin, "Federal Taxation Problems of Prepaid Legal Services," Prepaid LegaL Serviaes (Chicago: American Bar Association, 1973), pp. 128-137; Florian Bartosic and Jules Bernstein, "Group Legal Services," 59 Va. L. Rev. 410, 450-459 (1973).
9. Florian Bartosic and Jules Bernstein, "Group Legal Services," 59 Va. L. Rev. 410, 455.
10. Group LegaL Review, Dec. 1974, p. 1.
11. Bartosic and Bernstein at 454.
12. Group LegaL Review, Dec. 1974, p. 2.
13. HR 14894, 93d Congo 2d Sess. (1974); HR 3025, 94th Congo 1st Sess. (1975).
14. 12 U.S.C. 1751 et. seq. While there is a State enabling law, Hawaii Rev. Stat., ch. 410, no state credit unions have been chartered.
15. 12 CFR sec. 721.2.
16. Trends in LegaL Serviaes, Jun. 1975, p. 8.
17. The California Lawyers Service decision may be an anomaly, but the Internal Revenue Service has not to date been receptive to the exemption of any prepaid plans.
18. 29 U.S.C. sec. 101 et. seq.
19. 29 U.S.C. sec. 1144.
20. Even in the regulation of insurance companies and the effect of ERISA thereon is not totally clear, see Trends in LegaL Serviaes, May 1975, p. 3. Clarification may occur upon the issuance of regulations by the United States Department of Labor.
21. 29 U.S.C. secs. 1001(32), 1003. ERISA does not cover government plans which include a
r Ii
plan established by a state government for its employees. ERISA also does not cover employer or employee organizations not engaged in commerce or industry.
22. The Random House Dictionary of the Eng~ish Language, Co~~ege Edition (New York: Random House, 1969), p. 676.
23. Group Legal Review, Mar. 1975, p. 4, May 1975, p. 1.
24. James Wu, Prepaid Lega~ Services: Perspective for Connecticut (Connecticut: Office of Legislative Research, 1974), pp. 13-18.
25. Hawaii Rev. Stat., sec. 431-11(13).
26. Hawaii Rev. Stat., sec. 431-88.
27. Compare in particular Hawaii Code provisions DR 2-101(B) , 2-103(B), 2-103(C), 2-103(D), 2-l04(A)(2) and (3), with the 1975 version of the Code adopted by the American Bar Association. The most important provision of the Hawaii Code 2-103(D) is set forth below and may be compared with the 1975 Code provision at footnote 34 of chapter 1.
(D) A lawyer shall not knowingly assist a person or organization that recommends, furnishes, or pays for legal services to promote the use of his services or those of his partners or associates. However, he may cooperate in a dignified manner with the legal service activities of any of the following, provided that his independent professional judgment is exercised in behalf of his client without interference or control by any organization or other person:
(1) A legal aid office or public defender office:
(A) Operated or sponsored by a bona fide non-profit community organization.
(B) Operated or sponsored by a governmental agency.
(2) A military legal assistance office.
(3) A lawyer referral service operated, sponsored, or approved by a bar association representative of the general bar of the geographical area in which the association exists. the general bar of the geographical the general bar of the geographical area in which the association exists.
(5) Any other non-profit organization that recommends, furnishes, or pays for legal services to its members or beneficiaries, but only if the following conditions are met:
(A) The primary purposes of such organization do not include the rendition of legal services.
(B) The recommending, furnishing, or paying for legal services to its members is incidental and reasonably related to the primary purposes of such organization.
(C) Such organization does not derive a financial benefit from the rendition of legal services by the lawyer.
(D) The member or beneficiary for whom the legal services are rendered, and not such organization, is recognized as the client of the lawyer in that matter.
Chapter 6
1. Hawaii, Senate Concurrent Resolution No. 54, House Draft No.1, Regular Session of 1975.
2. William B. Pugh, "The State Insurance Commissioners," Prepaid Legal Services and Beyond (Chicago: American Bar Association, 1974), pp. 129-134.
3. Hawaii Rev. Stat., sec. 431-3.
4. Trends in Lega~ Services, Jul. 1974, p. 1.
5. Hawaii Rev. Stat., secs. 237-23(a)(4), 431-318, 431-320, 431-338.
6. Laura Nader and Linda R. Singer, Law in the Future: What·are the Choices? Papers prepared for Conference Sponsored by the State Bar of California, Hotel Del Coronado, San Diego, California, Sept. 12-14, 1975, p. 35.
7. Ethical Consideration 2-1, Hawaii, Code of Professional Responsibility, sec. EC 2-1.
Appendix A
SHREVEPORT PLAN
FOUR YEAR CLAIMS SUMMARY
January 1971 - January 1975
Per Cent
Appendix B LABORERS' LEGAL SERVICE STATISTICAL REPORT
Appendix C
STONEWALL INSURANCE COMPANY
SCHEDULE OF BENEFITS
(Endorsement to Legal Services and Expenses Indemnification Insurance Policy Form LS1P)
The Company will indemnify the payments of the following actually incurred expenses for the legal services indicated. The amounts indicated are the maximum amounts (in the aggregate) applicable to the specified type of service that may be incurred during the limitation period specified below on this endorsement.
MAXIMUM BENEFITS
(Policy Limits)
With respect to each named Insured inclusive of the Insureds included by definition with such person, the maximum total benefits payable under this insurance during any 12 months period commencing with the date of the event of consultation or use of legal services giving rise to the first eligible claim by an Insured hereunder, shall be $2,500.00.
LIMITATION PERIOD
Each of the coverages provided herein is limited as to maximum benefits payable therefor during any 12 months period, which is referred to as the "Limitation Period". Such period for each coverage shall be measured from the date of the event of consultation or other use of legal services giving rise to the first eligible claim under the specified coverage by an Insured.
Appendix D
The following are addresses of groups particularly interested in prepaid or group plans and who will give assistance or advice.
National Consumer Center for Legal Services 1302 18th Street, N.W. Washington, D.C. 20036
The Resource Center for Consumers of Legal Services 1302 18th Street, N.W. Washington, D.C. 20036
Philip J. Murphy, Staff Director Special Committee on Prepaid Legal Services 205 East Carrillo Street Santa Barbara, California 93101
William T. Kirby, President American Prepaid Legal Services Institute 3220 Prudential Plaza Chicago, Illinois 60601
The Futures Group 124 Hobron Avenue Glastonbury, Connecticut 06033
Labor Unions (38 of 61 Replying)
Appendix E
LEGISLATIVE REFERENCE BUREAU State of Hawaii State Capitol, Room 004 Honolulu, Hawaii 96813
PREPAID LEGAL SERVICES QUESTIONNAIRE
(Please Circle One Answer, except as otherwise directed)
1. Was your organization aware of prepaid legal services prior to this letter?
YES~ (74.3%)
NO 6 (17.1%)
No Reply __ 3 __ (8.6%)
2. Has your organization looked into prepaid legal services?
YES~
(40.0%)
NO-.ll (48.6%)
No Reply __ 4 __ (11.4%)
If yes, please check one or more (all applicable).
a. The executi"p board has discussed prepaid legal service plans at board meetinp,s.
b. The organization has corresponded with other organizations concerning such plans.
c. The organization has had people talk to the membership about creating a plan.
d. The organization has contacted a consulting firm regarding the establishment of a plan.
e. The organization has contacted an attorney to discuss the furnishing of legal services under a plan.
f. The organization has taken a membership vote on establishing a plan.
g. Other (please specify) Exploratory discussion; Negotiating; Talk with InternationaZ Affiliate; Prepaid Legal Fund established August 15, 1975
3. In your opinion, the interest of the members of your organization in prepaid legal service plans is;
4. In your opinion, the need of the members of your organization for prepaid legal services is a:
5. Does your organization plan to implement a prepaid legal service plan within the next 1 2 3 4 or more years?
```
Very interested 12 (34.3%) Don't know 12 (34.3%) Slightly interested 6 (17.1%) No reply __ 3 __ (8.6%) Uninterested 2 (5.7%)
```
```
Necessity 8 No reply (22.9%) Luxury 3 (8.6%) 2 (5.7%) Convenience 11 (31.4%) Don't know 11 (31.4%)
```
```
1 year 3 (8.6%) 2 years Don't know 11 (31.4%) 1 (2.9%) 3 years 2 (5.6%) 4 or more years No 3 (8.6%) No reply 10 (28.6%) 5 (14.3%)
```
LRB-PLSQl 7/22/75
Helps take the financial worry out of legal fees
It's estimated that 70% of all Americans are either underrepresented or are not represented at all by a lawyer. Cost is probably the main reason this majority does without legal counsel. However, the wrong advice, or no advice can be a lot more costly in the long run. Especially when people end up losing their cases because they weren't represented. Maybe you know someone that happened to.
A helping plan.
Your credit union realizes the problem. That's why we're sponsoring a plan which will provide legal services to our members at prices you can afford. Today you can purchase coverage for legal protection that will give you the same type of security and protection you get by buyi ng health coverage.
, ___1'I"l
_~_MI:!!:-.
The cost. It stands to reason that by pooling the risk, you end up with a lower cost per person. You pay only $54 a year for the Single Plan or $66 a year for the Family Plan. The latter covers the member, spouse, and all unmarried, dependent children under 18 years of age. For that fee, you can receive over $1,700 worth of legal help a year. Quite a return on your investment. The following explains the coverages you get for your money.
Coverage A: GENERAL COVERAGE
Maximum Payable Per Covered Family Group is $250 per Contract Year
(1) One-half hour advice and consultation (Rate is per visit with three visits per year covered) ................................................ $20.00 (2) Drafting or review of residential or apartment lease ................................................. 30.00 (3) Simple will including execution . . _.AO.OO (4) Reciprocal simple will including execution. .................... .................... __ ._ .... 60.00 (5) Preparing and filing creditor's claim in ban kruptcy . . .......................... 20.00 (6) Representation of the Buyer or Seller of residential property, (including examination of Title Insurance Company's commitment or Torrens certificate of title) ................. _.130.00 (7) Name change ................................ 75.00 (8) Will with trust provisions including exe.c~tion, not including marital deduction provIsions. . ........................... __ . __ .. _ ........ __ ._ .... 1 00.00 (9) Reciprocal will with trust provisions, including execution, not including marital deductions .... _ ............. _...... . _ ...... 150.00 (10) Preparation and supervising execution of intervivos trusts, not including marital deduction provisions ... _................ . .. 100.00 (11) Adoption including adoption through placement agency. . .. 200.00 * (12) Uncontested divorce; separate maintenance; annulment; (no action regarding alimony, child support, property division, etc.) ..... _._ ...... _ ............ _ '" ........................... 250.00 'Coverage A(12) shall not become effective until one year after the Effective Daie of Individual Coverage.
CoverageB: GENERAL COVERAGE
Maximum Payable Per Covered Family Group is $250 Per Contract Year
(1) Document drafting or review of contracts, settlements or releases ............. $35.00 *(2) Separation agreements: ir.lcludes initial conferences, negotiations, explanation of applicable law, drafting of agreement, and final conference re-execution ......... __ ............ $1 00.00
<Xl
-....J
* (3) Contested divorce; separate maintenance; annulment; (where action is required relative to maintenance, child support, property division, etc., including trial time). 250.00 'Coverages 8(2) and 8(3) shall not become effective until one year after the Effective Date of Individual Coverage.
JUDICIAL PROCEEDING FOR DEFENDANT OR RESPONDENT
Coverage C: CIVIL MATTERS
(1) District Court or Circuit Court (State) and Federal Court (non-bankruptcy)
(b) From $500.01 to $1,000.00
(a) From $00.01 to $500.00 .. Plan Pays 100%
Plan Pays 60%
(2)
All other
courts (State)
(c) From $1,000.01 up .... Plan Pays Nothing
$200.00 Maximum
CRIMINAL MATTERS
and Federal Court ......
(3) District Court or Circuit Court (State)
(4) All other courts (State)
TRAFFIC OFFENSES
. $140.00 Maximum
$100.00 Maximum
(5) Moving violations where conviction of the alleged offenses may lead to an assessment of points which will directly result in license revocation... . ... $100.00 Maximum
OTHER
(a)
(6) Court costs, witness fees, deposition costs, expert fees and examinations
eral Court ... .
District Court or
Circuit Court and Fed-
...
............ $100.00 Maximum
Free
(b) All other courts ..... .
$30.00 Maximum attorney licensed to practice law. The choice
choice of counsel. You can hire any
is yours.
These participating lawyers guarantee to charge only the fees stipulated under Plan A. For Plans Band C, these lawyers agree to charge reasonable rates which these plans mayor may not cover in total.
In addition, a number of area lawyers have agreed to participate in this plan. You'll get a list of those lawyers when you sign up for this coverage.
When hiring participating or non-participating lawyers, you should find out from your attorney if there will be any additional charge beyond the maximum provided by this program.
If you use a participating lawyer, the administrator will pay the amount of his fee covered under this plan at the conclusion of your case. In the event you choose a nonparticipating lawyer, you'll personally receive the amount covered to pay him.
Filing a claim. When you enroll, you'll receive a claim form. Simply take it along when you have business with your attorney. He will then complete the form and return it to the plan's administrator.
Exclusions.
Pending legal matters or controversies which existed prior to the effective date of coverage.
This contract excludes payment for the following: Claims against the employer, labor union, credit union, or the underwriting insurance company of the insured.
Disputes between two or more insureds within the covered family group.
Fines, assessments, damages, and penalties.
Court costs, expenses, and fees for services not performed by attorneys.
Filling out and filing income tax returns.
Cases where insurance is payable to the insured for legal actions, services, or advice when they involve a duplication of the same services or advice previously obtained.
Class actions, interventions, or amicus curiae filings.
Contingent fee cases and domestic relations matters not included in the Schedule of Benefits.
No coverage for corporate work, business pursuits, partnerships, patents, copyrights, motor vehicle torts, bankruptcies, decedents' estates, or traffic violations -which will not directly cause the loss of the covered member's drivers license.
Sign up for this valuable coverage now
Until now, you probably have had no way to protect yourself financially against expensive legal matters. Today you do.
Simply complete the Legal Services Application Form. Your coverage will start the first day of the month following receipt of the premium. Then you can rest easier.
How to enroll.
Certificate and policy controlling.
Eligibility, terms, and exclusions may vary from state to state. When you enroll, you'll receive a certificate. It and the policy will be controlling in all cases. Please read it over and retain it in your insurance portfolio.
|
March 2021
LOS ANGELES SUPERIOR COURT
March 2021 May 2020 March 2021
Mindfulness in the face of trauma
THE WORLD IS EXPERIENCING A COLLECTIVE AND DEVASTATING TRAUMA, TRAUMA THAT CAN AFFECT OUR ABILITY TO COMPETENTLY DISCHARGE OUR DUTIES
What were you doing a year ago? This article is being published in March, so odds are you were adjusting to working from home, perhaps supervising children learning remotely, and searching for hand sanitizer, masks and toilet paper. Most of us thought that reality would be temporary. Little did we know, we were experiencing the beginning of a long-term transition.
causing a person to withdraw from activities with others.
* 51.9% of respondents age 25-44 reported at least one adverse mental or behavioral health symptom
This year has been one of the most traumatic in recent memory – from the toll the COVID-19 pandemic has had on our lives to the events at the capitol on January 6, 2021.
symptoms of anxiety disorder or depressive disorder
* 13.3 % reported starting or increased substance use to cope with stress or emotions related to COVID-19
* 10.7% reported having seriously considered suicide in the preceding 30 days (Ibid.)
Justice and trauma
The justice system only functions as well as its participants. And lawyers and judges are principal actors in that system. We are human and are affected by trauma just like everyone else. And that is a fact which must be acknowledged and accepted. But that is not the end of the analysis. If we are not emotionally healthy, Lady Justice is not healthy. Enter the rules
The American Psychological Association defines trauma as an emotional response to a terrible event. It can cause a person to feel anxious, nervous, overwhelmed, irritable or moody. Trauma can make it difficult to concentrate or make decisions. And it can result in a strain on interpersonal relationships, resulting in conflict or
Qualtrics and the Human Research Ethics Committee of Monash University (Melbourne, Australia) conducted a survey in June 2020 of adults residing in the United States and found:
It is no secret the COVID-19 pandemic has been associated with mental health challenges. "Symptoms of anxiety disorder and depressive disorder increased considerably in the United States during April-June of 2020, compared with the same period in 2019." (Czeisler MÉ, Lane RI, Petrosky E, et al. Mental Health, Substance Use, and Suicidal Ideation During the COVID-19 Pandemic – United States, June 24-30, 2020. MMWR Morb Mortal Wkly Rep 2020; 69:1049-1057. DOI: http://dx.doi.org/ 10.15585/mmwr.mm6932a1external icon.)
* 40.9% reported an adverse mental or behavioral health condition such as
of ethics and professional responsibility.
Trauma can affect our ability to function at our best to the detriment of the public trust. So how do we counteract trauma?
In recognition of the important roles we play, we are subject to ethical rules and standards to safeguard the health of our system of justice. Rules governing the conduct of lawyers and judges are comprehensive, at times are complex and interconnected, and are essential to upholding the rule of law and ensuring access to justice.
Mindfulness
Mindfulness is not easy. It requires reflection and being intensely aware of what we are sensing and feeling in the moment. And it requires a willingness to step back, accept the force of trauma on our actions, and to take steps necessary to ensure it does not impair our ability to act within our ethical responsibilities.
The practice of law can be mentally challenging under ordinary circumstances – the long hours, demanding and difficult clients and colleagues, multiple time demands. The resulting stress is expected and understood. When trauma is added to stress, mindfulness of our behavior is the key to wandering onto the perilous path of unethical conduct.
We are all living in bubbles. Lawyers are working from home, yet technologically tethered to their offices and clients while simultaneously tending to household responsibilities. Judges are also tethered to work yet physically isolated from colleagues, counsel, and the parties. Judges and lawyers alike are frustrated by imperfect technology and challenges to engaging in fundamental litigation activities like depositions, mediations and trial. While technology goes a long way in keeping us connected, when our bubbles intersect, the effects of the trauma surface and can trigger responses running counter to our professional responsibilities.
Judges and lawyers are subject to intersecting professional rules of conduct designed to facilitate equal access to justice and efficient administration of justice. There is a reason lawyers are often referred to as "officers of the court." We are all in this together.
A lawyer must not "engage in conduct that is prejudicial to the administration of justice." (Rule of Professional Conduct 8.4(d).) Lawyers "also are obligated to maintain the respect due to the courts of justice and judicial officers." (Bus. & Prof. Code, § 6068, subd. (b).)
"A judge shall require order and decorum in proceedings before the judge." (Cal. Code Jud. Ethics, canon 3B(3).) Judges are required to "dispose of all judicial matters fairly, promptly, and efficiently" and "shall manage the courtroom in a manner that provides all litigants the opportunity to have their matters fairly adjudicated in accordance with the law." In doing so, judges must require lawyers to "be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, and others" and to "refrain from manifesting, by words or conduct, bias, prejudice, or harassment." (Ibid.)
These are perhaps the most fundamental pillars of our collective professional responsibilities. They intersect and are dependent on each other. And when we falter in stressful times, the resulting toll on mental health can have ethical consequences for judges and lawyers alike.
"A judge shall be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, and others with whom the judge deals in an official capacity, and shall require similar conduct of lawyers and of all staff and court personnel under the judge's direction and control." (Cal. Code Jud. Ethics, Canon 3B(4) (emphasis added).) The canons of judicial ethics, judicial ethics handbooks, and judicial educational courses are replete with directions,
suggestions, and tips for maintaining decorum and exhibiting good judicial temperament. And each year, the Commission on Judicial Performance publishes its Annual Report – a powerful illustration of the consequences of failing to heed the call.
The duty to be patient, dignified, and courteous
While there is no corresponding California rule of professional responsibility that states an attorney's duty to be patient, dignified, and courteous in such stark terms, that is not to say such a duty does not exist.
The duty to be patient, dignified and courteous manifests itself in other ways as well.
"The law, like boxing, prohibits hitting below the belt." (Martinez v. Department of Transportation (2015) 238 Cal.App.4th 559, 566.) In Martinez, counsel asked improper questions of a witness in a jury trial despite the judge's repeated rulings and admonitions. The court found this questioning to be "directly disrespectful, almost as if [counsel] were daring the trial judge to take some action to stop [it]." The court reversed the jury verdict and remanded the case, finding that counsel took "advantage of this judge's good nature" and the judge "took no corrective action whatsoever." Moreover, the Court of Appeal instructed the clerk to send a copy of the opinion to the state bar, "notifying it the reversal of the judgment is based solely on prejudicial attorney misconduct." (Id.; see Bus. & Prof. Code, § 6086.7; Cal. Code Jud. Ethics, Canon 3D(2).)
"In representing a client, a lawyer shall not use means that have no substantial purpose other than to delay or prolong the proceeding or to cause needless expense." (Rule of Professional Conduct 3.2.) Lawyers are encouraged to grant first requests for reasonable extensions of time to respond to litigation deadlines and should not seek extensions or continuances for the
purpose of harassment or prolonging litigation. They should not attach to extensions unfair and extraneous conditions. As with all advocates, lawyers should at all times be civil and courteous in communicating with adversaries, whether in writing or orally. When conducting discovery, attorneys should give reasonable consideration to accommodating schedules when setting depositions where it is possible to do so without prejudicing the client's rights, and should engage in a meaningful meet and confer prior to filing any motion. And finally, lawyers should not attempt to delay a deposition for dilatory purposes but only if necessary to meet real scheduling problems. (Los Angeles County Superior Court Local Rules, App. 3.A.)
Don't make COVID your excuse
Resist the temptation to use the COVID-19 pandemic as grounds to justify refusing to participate in a deposition even using remote technology, failing to timely respond to discovery requests because you are working from home, refusing to meet and confer over discovery and other disputes, refusing to stipulate to reasonable requests for extensions or other accommodations necessitated by the pandemic, or making litigation demands made excessively difficult or impossible demands in light of travel restrictions and/or the need to socially distance. Doing so not only implicates the attorney's ethical responsibilities but triggers the ethical responsibility of the judge to take appropriate remedial action against the attorney.
We all experience frustration and even anger in connection with work. When experiencing feelings of anger or frustration, it is important to be mindful of the source of those emotions, both for personal emotional health and for
Operating within the bounds of professional advocacy is not the only potential casualty of unaddressed stress due to trauma.
reasons of professional responsibility. We can use some of the tools we use in ordinary life to avoid unfortunate professional consequences – know your triggers and never argue when angry or with someone else who is angry.
The world is experiencing a collective and devastating trauma. As officers of the court, that trauma can affect our ability to competently discharge our duties. We must remain aware and vigilant and take steps to safeguard against it. We meet our ethical responsibilities when we are mindful and take steps to mitigate against the harmful impact the resulting stress has on our emotional health.
Do not let fear steer you in the direction of violating your responsibility to avoid delaying or prolonging the proceedings or causing needless expense. This is the time to be creative. If you are working on a case deep in litigation and/or headed quickly to trial, explore ways to leverage technology to support your practice. While imperfect, several online platforms can effectively facilitate depositions, evidentiary hearings, and bench trials. Explore remote ADR offerings. Now is the time to learn the technology and invest in the infrastructure needed to support it. Many of the innovations and changes in the way we interact as a society due to the need to socially distance will likely become permanent fixtures in the future practice of law. And investing in them now will only serve to enhance the ability of attorneys to serve their clients and the court in the administration of justice.
Trauma and the resulting stress can have a direct impact on an attorney's professional competency. "Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation." (ABA Model Rule 1.1; see Rule of Professional Conduct 1.1.) Competence "in any legal service shall mean to apply the (i) learning and skill, and (ii) mental, emotional, and physical
ability reasonably necessary for the performance of such service. (Rule of Professional Conduct 1.1(b).) In the work-from-home framework of our new normal, it is imperative for attorneys to practice set boundaries – limit the number of times you check email, use the "do not disturb" settings on your devices, and take breaks away from your devices.
For more information, resources and support, please visit:
Because the practice of law is stressful even under ordinary circumstances, it may be hard to recognize the impact the reality of living in these times is having on our ability to do our jobs. But it is imperative that we do so in the interest of justice and the integrity of the profession.
American Bar Association Coronavirus (COVID-19) Taskforce: https://www.americanbar.org/advocacy/ the-aba-task-force-on-legal-needsarising-out-of-the-2020-pandem/
Centers for Disease Control: https://www.cdc.gov/coronavirus/ 2019ncov/daily-life-coping/managing-stressanxiety.html
California Lawyers Association: https://calawyers.org/covid-19-attorneyresources/
Consumer Attorneys of Los Angeles: https://www.caala.org/?pg CAALAWellnessPlatform https://www.caoc.org/?pg=Coronavirus
Consumer Attorneys of California:
World Health Organization: https:// www.who.int/teams/mental-health-andsubstance-use/covid-19
Los Angeles County Coronavirus/ COVID-19 Mental Health Resources: https://dmh.lacounty.gov/covid-19information/
Hon. Michelle Williams Court is an Assistant Supervising Judge of the Civil Division of the Los Angeles Superior Court and a Chair of the Court's Technology Committee.
|
Skill Development Promotion Act
B.E. 2545 (A.D. 2002)
"This document is for publ ici ty only.It has not been approved by the Office of the Council of State"
Division of Legal Affairs Department of Skill Development
*
Skill Development Promotion Act
B.E. 2545 (A.D. 2002)
"This document is for publicity only. It has not been approved by the Office of the Council of State"
Division of Legal Affairs Department of Skill Development
h BHUMIBOL ADULYADEJ, REX. Given on 22"d Day of September B.E. 2545 Being the 57 1 Year of the Present Reign
I Its Majesty King Bhumibol AdulyadeJ ts graciously pleased to proclaim that: whereas it is expedient to promulgate Skill Development Promotion Act to replace Vocational Training Promotion Act.
Contents of this Act include the limitation of the people's rights and freedom permitted under Articl es 29, 31 and 35 of the Thai Constitution.
Be It, therefore, enacted by the Kmg, by and wtth the advice and consent of the National Assembly as follows:
Section I This Act shall be called "Sktll Development Promotion Act, B. E. 2545"
Section 2 This Act shall be in effect after one hundred and twenty days from date of announcement in the Government Gazette.
Section 3 The Vocational Training PromotiOn Act, B. E. 2537 shall be repealed.
Section 4 The ministries, government bureaus, departments, and government agencies are not governed under thts Act.
Section 5 ln this Act, the followmg terms shall mean,
"Skill Development" means a process whlch enables trainees and the working age people to gain access to dexterity, knowledge and ability, career ethics and good working attitude by skill training, establishing skill standards, and other relating activities.
"Skill Training" means the pre-employment training, skill upgrading training and training for job change.
"Pre-employment Training" means skill trammg prior to employment to enable the workers to work according to the skill standards
"Skill up-grading Training" means an additional training activity provided by the employer to his employees to enable them to have more and better knowledge and skill.
"Training for the job change " means an additional trammg activity provided by the employer to his employees to have knowledge and skills in other jobs or trades.
"Curriculum" means subjects, contents and skill training delivery method.
" Training Provider" means an authorized person who arranges a skill training activity in accordance with the curriculum and the details for training as shall be seen appropriate to the registrar under this Act.
"Trainee" means a person who receives training offered by the training provider.
"Training Instructor" means a person who delivers training instruction to the trainee.
"Training Site" means a place where the training provider arranges training activity for the trainee.
"Skill Training Center" means a training center aside from that arranged by the training provider.
"Skill Standards" means technical regulations used to determine the level of expertise and the working attitude of the employees in various trades under this Act.
"Skill Standard Test" means a test used to determine skills , knowledge, abilities and the working attitude of the employee according to the established standards.
"Skill Standard Testing Provider" means an authorized person who arranges the skill standard test under this Act.
"Skill Standard Testing Examiner" means a person who examines the test performed by those requesting for the test.
"Business Operator" means a person who engages in industrial, commercial or other businesses either he is or is not the employer of the trainee.
Law. "Employer" means an employer under the Labour Protection
Law. "Employee" means an employee under the Labour Protection
"Fund" means Skill Development Fund.
"Committee" means Skill Development Promotion Committee.
"Member" means member of Skill Development Promotion Committee.
"Officials" means persons appointed to act according to this Act.
" Registrar" means the D1rector General or any person appointed by him.
..Director General" means the D1rector General of the Department of Sk1ll Development.
Act. ..M1mster" means the M1mster m charge of the execution of this
Secuon 6 The Mm1ster of Labour and Social Welfare shall be in change of the execuuon of th1s Act and 1s empowered to appoint the offic1als to issue M1mstcrial Regulauons. regulations ands announcements m accordance wllh th1s Act.
Such Mm1stenal Regulauons, and regulat1ons announcements shall come mto effect upon the date of announcement in the Government Gazette.
Section 7 The Mmister has an authority to prescribe trades for skill development promouon accordmg to th1s Act.
CH APTER 1
A rran gemen t for Skill Training
Part 1
Pre-em ploym ent Training
Section 8 To obtain the rights and the benefits according to this Act, the pre-employment training provider shall prepare a detailed training program for the trades prescribed by the Minister as per Section 7 and proposed to the registrar for approval. Such program must include:
( l) curriculum
(2) place or center for training
(3) name and qualification of the training instructor.
(4) period of training
(5) list of equipment necessary for training either still in use or to be acquired in the future.
(6) method and standards used for evaluating the training
(7) others as to be prescribed by the Committee.
The consideration for approval given by the registrar shall be in accordance with the standard, method and conditions prescribed by the Committee.
Any alteration or amendment to the sub-clause (I), (2), (4), or (6) after these sub-clauses have been approved cannot be made without the consent of the registrar.
Section 9 The qualification of the training instructor must comply with the Committee prescription.
Section I 0 The training provider shall prepare the regulations for training in Thai language and must contain at least these information.
( I ) training period
(2) date and time of training and breaks
(3) holidays
(4) l eave and rules of taking leave
(5) allowance during training session
(6) conditions required for canceling training agreement
(7) rules for compensation in case of any accident or sickness arising from training
(8) others as to be prescribed by the Committee.
Section II A written agreement must be made by and between the training provider and the trainee and must cover clauses as prescribed by the Committee.
Section 1 2 The training provider must follow the regulations concerning the protection of trainee as prescribed by the Minister. Also must prepare and keep record or bio-data of trainee.
Section 13 Upon completion of the training course as per Section 8 (6), the provider shall issue a certificate to the trainee in 15 days from the date of achievement and then notify the registrar.
Section 14 In case the training provider wishes to transfer his business to other person, he would notify the registrar in writing not later than 15 days prior to such transfer and indicate that the transferee wishes or does not wish to continue the pre-employment training activity. In such case both the former and the new providers must jointly sign in an agreement.
In case transferee wishes to take over the pre-employment training activities, the registrar would record down and shall regard the transferee as the registered training provider under Section 8 from the date of transfer with the same rights and duties that the former provider originally had.
If the transferee wants to stop the pre-employment training activities, then the registrar shall arrange and send the trainees who still have unfinished training to another training provider or to the government training institute in the same trade. In doing so, the former training provider must be responsible for all the remaining training cost.
Section 15 The training provider is not allowed to demand or receive any kind of training fees or remuneration from the trainee.
Section 16 The training provider may arrange for the trainee to receive training at the government educational or training institute or other training institutions accepted by the registrar.
The curriculum and expenses for such training as per Paragraph l must be approved by the registrar.
Section 17 If the training provider close down his business or has other reason that he can no longer provide further training activities, he shall send a letter informing the registrar not later than15 days prior to date of such closure. In case it is Pre-employment training, Paragraph 3 of Section 14 shall be applied to the trainees mutatis mutandis, who have not completed their training at the date of such closure. Except that with the consent of the Committee, the former training provider may not be responsible for the remaining training cost.
Section 18 For the benefit of the ski II development, the training provider may admit students from schools or universities to receive training with the curriculum of the institutes, of the training provider or of which is jointly prepared by the institute and the provider. In doing so, the provider must submit the prepared curriculum to the registrar prior to the commencement of training session, or except that the curriculum has already been submitted to the registrar. In this case Section II, 12, 13, 15, 33,34,35,36 and 37 shall be applied accordingly mutatis mutandis.
Persons sent by the government to attend such training are also covered under Paragraph I .
Section 19 The establishment of skill trammg centers must conform to the standard, method, and condition as prescri bed by the Committee.
Part 2
Skill up-grading Training and Training for Job Change.
Section 20 To obtain the rights and benefits according to this Act, the training provider must submit the curriculum, a ll related details and list of expenses to be spent in arranging training activities to the registrar for approval.
Action taken for approva l by the registrar must be in accordance with the standard, method and conditions as stipulated by the Committee.
ln providing training activities as per Paragraph I , Section 15, I 6, 17 and I 9 shall be applied mutatis mutandis.
Section 2 I During the training course, the training provider who is also the employer still has to abide by the law, rules and employment contract.
In case the training activity is held with the request of the employee and in written agreement, the employer may arrange training after the employee's regular working hours or on holidays with wages paid not less than the regular wage rate according to the actual number Gf hours spent in such training.
CHAPTER 2
Skill Standard
s
Section 22 To promote skill development, the Committee shall stipulate the National Skill Standards for various trades and present to the Minister for approval.
Following the approval and announcement of skill standards in the Government Gazette, the Department of Skill Development shall arrange a skill standard test in certain trades as per Section 23, or the skill standard testing provider shall conduct such test according to Section 24.
The qualification of applicants, the testing method and issuance of achievement certificates shall be as prescribed by the Committee.
Section 23 The Department of Skill Development shall hold the skill standard test and promote people to participate in such event.
Section 24 Any person wishing to conduct skill standard test can apply for permission to the registrar.
The application for the permit, the permit 1ssuance, the qualification of skill standard examiner, the permit suspension and revocation shall be in accordance with the standard, method and conditions as stipulated by the Committee.
Section 25 In conducting skill standard test, fees shall be collected from the applicants not higher than the rate prescribed by the Committee.
Section 26 Any person requiring his skill standard to be cenified may apply to the registrar.
The quest for skill standard certification, sk1ll standard certification. approval of conduction testing for approved skill standards and the issuance of cert1fied lener to a person passmg skill test as per Paragraph I shall comply with standard, method and conditions prescribed by the Comm1ttee.
CHAPTER3
Skill Development Fund
Section 27 A Fund called "Skill Development Fund" shall be set up in the Department of Skill Development, Ministry of Labor and Social Welfare.The Fund is intended to be used as a revolving fund for all the expenditures involving skill development promotion.
The Fund shall include:
(I) Fund transferred from the Skill Development Fund set up in the year B. E. 2539 (A. D. 1996) at the resolution of the cabinet and managed according to the regulations of the Ministry of Labour and Social Welfare.
(2) Subsidy allocated by the government
(3) Money contributed by the business operators towards the Fund
(4) Money and/or property donated to the Fund
(5) Interest or benefit from the Fund
(6) Money and/or property which become the property of the Fund, except those listed in sub-clause (I) to (5).
The Fund will not be remitted to Ministry of Finance according to the law governing reserve and budgeting.
. -----· _ ___.. _ - = -
The receipt, payment, safe-keeping and management of the Fund shall be in accordance with the regulations prescnbed by the Committee wtth the approval of the Finance Mtmstry.
The Depanment of Skill Development shall keep and disburse the Fund accordmg to thts Act.
Sectton 28 The Fund shall be used for the followmg activities:
Act. (I) loan granted to trainee involving trammg activity under thts
(2) training providers, skill standard testing providers and business operators can loan money from the Fund for expenses of providing skill training or skill testing according to this Act.
(3) atd or suppon in any acttvity mvolving skill development promotton as sttpulated by the Committee.
(4) the Fund management
Lendmg must be m accordance wtth the regulattons prescribed by the Committee wtth the approval of the Finance Mtntstry.
The Commtttee may allocate the Fund not exceeding five percent of each year fund for managing cost.
Section 29 The business operator engaging in the business where the type, size, number of employees, the proportion of trainees and employees in the area as stipulated by the Minister with the recommendation of the Committee must make contributions towards the Fund at the rate fixed as per Section 30, except in the case the operator is already the training provider under Chapter I.
Sectton 30 In collecting the contnbutton from the business operator under Section 29, the Minister wtth the recommendation of the Committee has power to prescribe the rate of contributions of not higher than one percent of the wage paid tn the year prior to the year the contribution stans, and the procedure of payment.
*·--- -·
*
The mmimum and the maximum wage used as the base for calculation of contribution as per paragraph I shall be prescribed by the M1mster wuh the recommendation of the Committee.
Section 31 If any business operator fa1ls to make the contribution w1thin time, or has not contributed m full amount according to the prescribed proportion of trainees and employees, the business operator must pay a surcharge at the rate of 1.5 percent per month of the amount of contribution not delivered or of the remammg portion in the next due date. A fraction of a month from date of default, if more than 15 days shall be counted as I month, and if less, it shall be disregarded.
In case the Director General has i&sued an order to the business operator to pay his contribution or surcharge as Paragraph I, and if he fa1ls to do so, the provisions relating the admmlstrative law shall be apphed. In case there is no official to enforce the order for this case, the Department of Skills Development has power to bring it to the Admm1strative Court to force him for payment of overdue unpaid amount.
Section 32 Within 6 months after end of the fiscal year, the Committee shall submit the balance sheet and the statement of account for the past year which has been audited and certified by the office of the Auditor General to the cabinet.
The Mm1stry shall submit the balance sheet and the statement of account to the Pnme Minister who shall submit further to the House of Representatives and the Senate before announcmg m the Government Gazette.
CHAPTER4
Rights and Benefits of the Training Provider
Section 33 The training provider who arranges skill development training activity in certain trades stipulated by the Minister under Section 7 shall have the following privileges.
(I) income tax exemption on the percentage of training expenses as prescribed in the Royal Decree according to the Revenue Code.
(2) assistance granted by the Department of Skill Development in providing the training of training personnel, skill standard testing provider, supervisors and others as well as on curriculum and equipment development.
(3) Consultation service from the Department of Skill Development involving skill development activities.
(4) other privileges as shall be granted in Ministerial Regulations.
Section 34 In addition to Section 33, the trammg provider providing training activities in the skill development center established under Section 19 shall have the following additional privileges.
(I) exemption on import duty and Value Added Tax (VAT) for tools and machinery brought into the kingdom for training purpose as prescribed in Ministerial Regulations regarding tariff law which will be enacted in the Royal Decree under the Revenue Code.
In this case, a person requesting tax exemption must list items of equipment and machinery which have been granted exemption and submit to the Committee for consideration.
(2) deductions on utility charges for electricity and pipe water bills in the amount of two times of the training expenses as prescribed in the Royal Decree according to the Revenue Code.
(3) other privileges as shall be prescribed by the Ministerial Regulation.
Section 35 Application for privileges under Section 33 (2), (3), (4) and Section 34(4) must be submitted to the registrar in accordance with the standard, method and conditions prescribed by the Committee.
Section 36 Under the immigration law, the training provider may bring in foreign experts, instructors, their spouses and dependents. The number of experts and the conditions as well as period of stay shall be decided by the Committee. However, the length of their stay must not beyond the permitted time according to the immigration law.
Section 37 The training provider is excluded from the Jaw governing private schools.
CHAPTERS
Skill Development Promotion Committee
Section 38 There shall be a Skill Development Promotion Committee comprising the Permanent Secretary of the Ministry of Labour and Social Welfare as Chairman, the representatives of Finance Ministry, the Science, Technology and Environment Ministry, the Education Ministry, the Industrial Ministry, the Budget Bureau, the Board of Investment, the Tourism Authority of Thailand, Thai Chamber of Commerce, the Industrial Federation of Thailand, the Thai Bankers Association, the Travel industrial Council of Thailand as Members and four other members appointed by the Prime Minister of which two are experts, and other two are representatives of employers and employees. The Director General of the Department of Skill Development shall be a member and secretary.
The Committee is authorized to appoint the official of the Department of Skill Development to act as the assistant secretary.
The Committee members of two experts appointed by the Minis . ter, are skill development experts with at least I0 years expenence.
Committee members representing employers and employees shall be appointed by the Minister in accordance with the standard, and method prescribed in the Ministerial of the Ministry of Labour and Social Wei fare.
Section 39 The Committee shall have the following authority:
(I) Propose to the Minister the policy regarding skill development activities and skill development fund.
(2) Propose and give advice to the Minister in issuing Ministerial Regulations, regulations, or announcement according to this Act.
(3) Issue regulations or announcements for the execution of this Act.
(4) provide national skill standards for mentioned in Section 22. . var10us trades
(5) Set up criteria for skill development promotion.
(6) promote the business operator to employ those who have passed skill standard test to work in their trade according to the type, size and job characteristic as prescribed by the Committee.
(7) promote the establishment of skill training centers and skill standard test centers.
(8) promote skill contest events.
(9) promote the coordination between the government and private sectors involving skill development and the common use of resources.
(I 0) Follow up the result of skill development activities.
(II) consider and investigate an appeal to revoke the permit of training provider as per paragraph 2 of and Section 48 an order to suspension or withdraw the permit of skill standard testing provider as per Paragraph 2 of Section 49.
(12) Perform other duties as prescribed in this Act or in other law written specifically to be the Committee's duties.
m (13) perform other duties as assigned by the Minister. Section 40 The Committee members appointed shall office for two years term. remam .
The terminated members may be re-appointed to the Committee for another term.
Section 41 In addition to vacating office at the end of term, members appointed by the Minister shall vacate the office upon following cases.
(I) death
(2) resignation
(3) being removed by the Minister for tarnished conduct malfeasance and
(4) incompetency or quasi-incompetency
(5) bankruptcy
(6) imprisonment by the court's final verdict except in careless or light penalty
Upon termination before the term of office ends, the Minister may appoint a new member to replace the vacant post. In this case, the new Committee member shall hold the office for the remaining term left by the former members.
Section 42 Quorum for the Committee's meeting must have not less than half of the entire number of the Committee's members.
The Committee meeting shall be chaired by the chairman of the Committee. When he is not present or cannot proceed the meeting, the attending members shall elect one member to chair the meeting.
The resolution of the meeting shall be decided by the majority. One member has one vote. In case of an equality of votes, the deciding vote shall be from the chairman of the meeting.
Section 43 The Committee shall appoint sub-committees to work as directed by the Committee.
The meeting of the sub-committee shall be as outlined in Section 42.
Section 44 The Department of Skill Development shall be the administration unit of the Committee and shall follow up any person who gets the privileges from this Act to strictly follow the Act and then report to the Committee.
CHAPTER6
The Registrar and the Officials
Section 45 The registrar and the officials shall be empowered to :
(I) issue a letter inviting training providers, instructors, trainees, skill standard testing provider, ski II standard testing examiner, and business operators or persons involved to give statement or issue an order to them to submit document or other supporting document for consideration.
(2) enter the training site, centers or enterprises during working hours to inspect and give advice to the training provider, skill standard testing provider or the business operator to perform according to this Act.
Section 46 In performing the duty under Section 45 (2), the registrar or the officials may request the training provider or the business operator or persons involved to facilitate their visits as appropriate.
Section 47 In performing the duty, the registrar and the officials must show their identity cards which must conform to the format prescribed by the Minister.
CHAPTER 7
Revocation of the status of training provider, the suspension and the revocation of permit
Section 48 In case the provider violates or fails to follow this Act or Ministerial Regulation, Regulation or announcement, issued under this Act, the registrar shall have a written notice to the provider for correction within time specified.
If failure to do so or not take a remedy action within a period given in the paragraph I, the registrar have authority to revoke the status of the training provider.
Such the notice of the revocation shall be made in writing and deliver to that provider. If he cannot be located or if he refuses to receive the notice, such notice shall be posted in an open place easy to be seen at the training site or training center as the ease may be. In doing so, it shall be assumed that the provider had already received the notice from the date of posting it. Except in the case the provider cannot be located, then tt shall be regarded as havmg received the notice after fifteen days from date of posting the notice.
ln case of the revocation as described in paragraph 2,if it is Preemployment training Paragraph 3 of Secllon 14 shall be applied to the trainees having not completed their trammg, Mutatis Mwandis,
Section 49 If the skill standard trainmg provider fails to comply with the provisions given in this Act, or Ministerial Regulation, regulation or announcement, issued under this Act, the registrar shall order the provider to abide by the law or to correct within time specified.
If the provider still ignores to do so as in Paragraph I, then the registrar shall suspend or withdraw his permit as the case may be.
The order to suspend or withdraw the permit shall be in written notice, if the provider cannot be located or refuses to accept, such order shall be posted up in an open place and can be seen clearly at the training site or centers and shall assume that the provider has had known such notice. Except when the provtder cannot be located, then tt shall be assumed that the provider has received the order after 15 days from date of posting the notice.
During suspension or revocation of permtt, the provtder must not be allowed to engage in any traming acllvtty
CHAPTERS
Appeal
Section 50 The provider whose permit is withdrawn as Section 48 bas the nght to appeal to the Committee within 15 days from the
l------------------- - -
-------------------- date of receiving the notice. The Committee shall notify the result of dec1sion in 30 days from the date of accepting the appeal.
Decision of the Committee shall be final.
During the time of appeal, it shall be assumed that the person making the appeal sti ll has the rights and benefits under this Act unti I the appeal is turned down.
Failure to appeal within time specified in Paragraph I or if the Committee acquits the case, the nghts and benefits under this Act shall be ceased from date of withdrawal notice ISSued by the registrar or from the date of acquittal 1ssued by the Committee as the case may be.
Section 51 Skill standard testing provider whose permit has been suspended or withdrawn under Section 49 has the right to appeal to the Committee within 15 days from the date of receiving the notice. The Committee shall notify the result of decision in 30 days from the date of receiving appeal.
The verdict of the Committee shall be final.
Section 52 The appeal and the decision of the appeal shall be m accordance with the regulation stipulated by the Committee.
CHAPTER9
Penalty
Section 53 Any person refuses to give information or refuses to abide by the order of the registrar or of the officials, obstruct or does not facilitate to the registrar or to the officials who are performing their duty under Secuon 45 or 46 shall be fined not more than Bath 5,000.
Transitory Provisions
Section 54 The training provider under Vocational Training Promotion Act. B.E. 2537 shall be the Provider under this Act.
Section 55 The Vocational Training Promotion Committee who still remain in position under B.E. 2537 Act shall be the Skill Training Promotion Committee under the new Act until the new Committee is appointed under this Act.
Section 56 Ministerial Regulations, regulations or announcement issued under Vocational Training Promotion Act, B.E. 2537 and still in force, shall be still effective if they do not oppose to this Act, until the Ministerial Regulation, other regulations or announcement according to this Act shall be issued and come into force.
Person receiving the King's Command:
Pol. Lt. Col. Thaksin Shinawatra, Prime Minister
Note:Reason to enact this Act is that the old Vocational Training Promotion Act, B.E. 2537 was unsuitable for the present skill training development situation. Therefore, in order to promote skill development activity efficiently and suitably, it is appropriate to revise the Act that shall include encouragement of the employer or the business operator to participate more in skill development activities and setting up the skill development fund.
|
VAT GROUP AG
ANNUAL REPORT 2021
CONSOLIDATED FINANCIAL STATEMENTS
Due to rounding, numbers presented throughout this report may not add up precisely to the totals provided.
VAT GROUP AG
ANNUAL REPORT 2021
CONSOLIDATED FINANCIAL STATEMENTS
Consolidated financial statements for the financial year from January 1 to December 31, 2021
Consolidated income statement
| Note | 2021 |
|---|---|
| 2.1, 2.2 | 901,159 |
| | –362,337 |
| | 31,648 |
| 4.1 | –201,162 |
| 2.3 | 11,486 |
| 2.4 | –72,874 |
| | 307,920 |
| | –43,058 |
| | 264,862 |
| 5.1 | 239 |
| 5.1 | –7,366 |
| | 257,735 |
| 6.1 | –40,295 |
| | 217,440 |
| 5.4 | 7.25 |
| 5.4 | 7.24 |
1 Interest includes other items as reported in the financial results
2Refer to note 1, section Changes in accounting policies
Consolidated statement of comprehensive income
| Note | 2021 |
|---|---|
| | 217,440 |
| 4.3 | 12,533 |
| 6.1 | –1,817 |
| | 10,716 |
| | –1,948 |
| 6.1 | 282 |
| | –327 |
| | –1,993 |
| | 8,723 |
| | 226,163 |
1Refer to note 1, section Changes in accounting policies
The above consolidated income statement and consolidated statement of comprehensive income should be read in conjunction with the accompanying notes, which can be found in the VAT annual report page 82 ff.
ANNUAL REPORT 2021
CONSOLIDATED FINANCIAL STATEMENTS
Consolidated balance sheet
| Note | Dec 31, 2021 | Dec 31, 2020 Restated1 |
|---|---|---|
| | 127,152 | 137,871 |
| 3.1 | 124,548 | 94,679 |
| 5.5 | 4,610 | 6,871 |
| | 4,047 | 1,982 |
| 3.2 | 152,763 | 104,749 |
| | 563 | 233 |
| | 413,684 | 346,385 |
| 3.3 | 158,538 | 146,468 |
| | 1,723 | 1,773 |
| 3.4 | 482,746 | 485,778 |
| 3.1 | 1,968 | 1,825 |
| | 861 | 846 |
| 6.1 | 5,347 | 5,982 |
| | 651,183 | 642,672 |
| | 1,064,867 | 989,057 |
1 Refer to note 1, section Changes in accounting policies
VAT GROUP AG
ANNUAL REPORT 2021
CONSOLIDATED FINANCIAL STATEMENTS
79
1
| Note | Dec 31, 2021 | Dec 31, 2020 Restated1 |
|---|---|---|
| 3.5 | 79,769 | 48,981 |
| 5.3 | 2,105 | 61,522 |
| 3.7 | 2,520 | 2,615 |
| 5.2 | 932 | 26 |
| 3.6 | 43,954 | 32,105 |
| | 30,145 | 22,793 |
| | 159,425 | 168,042 |
| 5.3 | 204,837 | 204,817 |
| | 2,619 | 265 |
| 6.1 | 49,821 | 45,809 |
| 4.3 | 13,796 | 25,552 |
| | 271,072 | 276,443 |
| | 430,497 | 444,484 |
| 5.4 | 3,000 | 3,000 |
| 5.4 | 6,479 | 73,969 |
| | 4,606 | 6,598 |
| 5.4 | –4,501 | –414 |
| | 624,786 | 461,419 |
| | 634,370 | 544,573 |
| | 1,064,867 | 989,057 |
1 Refer to note 1, section Changes in accounting policies
2 Includes remeasurements of DBO and other reserves
The above consolidated balance sheet should be read in conjunction with the accompanying notes, which can be found in the VAT annual report page 82 ff.
CONSOLIDATED FINANCIAL STATEMENTS
Consolidated statement of changes in equity
| Share capital | Share premium | Hedging reserves | Translation reserves | Treasury shares | Retained earnings |
|---|---|---|---|---|---|
| 3,000 | 133,950 | 2,663 | 3,215 | –571 | 381,179 |
| | | | | | –5,260 |
| 3,000 | 133,950 | 2,663 | 3,215 | –571 | 375,918 |
| | | | | | 127,942 |
| | | 1,451 | –731 | | 16,941 |
| | | | | –55 | |
| | –59,981 | | | | –59,981 |
| | | | | 211 | 599 |
| 3,000 | 73,969 | 4,114 | 2,485 | –414 | 461,419 |
1Refer to note 1, section Changes in accounting policies
| Share capital | Share premium | Hedging reserves | Translation reserves | Treasury shares | Retained earnings |
|---|---|---|---|---|---|
| 3,000 | 73,969 | 4,114 | 2,485 | –414 | 461,419 |
| | | | | | 217,440 |
| | | –1,665 | –327 | | 10,716 |
| | | | | –4,344 | |
| | –67,491 | | | | –67,491 |
| | | | | 257 | 2,703 |
| 3,000 | 6,479 | 2,448 | 2,158 | –4,501 | 624,786 |
The above consolidated statement of changes in equity should be read in conjunction with the accompanying notes, which can be found in the VAT annual report page 82 ff.
VAT GROUP AG
ANNUAL REPORT 2021
CONSOLIDATED FINANCIAL STATEMENTS
Consolidated statement of cash flows
| Note | 2021 |
|---|---|
| | 217,440 |
| | 43,058 |
| | –114 |
| | 760 |
| | 824 |
| 6.1 | 40,295 |
| 5.1 | 7,127 |
| | 1,082 |
| | –31,143 |
| | –2,089 |
| | –47,779 |
| | 33,408 |
| | 7,558 |
| | –93 |
| | 270,336 |
| | –30,546 |
| | 239,790 |
| 3.3 | –32,425 |
| | 327 |
| 3.4 | –10,542 |
| 6.5 | –1,586 |
| | 131 |
| | –44,095 |
| 5.3 | 110,000 |
| 5.3 | –170,000 |
| 5.3 | –2,433 |
| | –4,344 |
| 5.4 | –134,982 |
| | –3,732 |
| | –1,217 |
| | –206,707 |
| | –11,012 |
| | 137,871 |
| | 292 |
| | 127,152 |
1Refer to note 1, section Changes in accounting policies
The above consolidated statement of cash flows should be read in conjunction with the accompanying notes which can be found in the VAT annual report page 82 ff.
,
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
Notes to the consolidated financial statements
1. General information and accounting policies
General information
VAT Group AG ("the Company") is a limited liability Company incorporated in accordance with Swiss law. The registered office of the Company is Seelistrasse 1, CH-9469 Haag, Switzerland.
The consolidated financial statements as at and for the year ended December 31, 2021, comprise VAT Group AG and all companies under its control (together referred to as "VAT" or "Group").
These consolidated financial statements were authorized for issue by the Group's Board of Directors on March 2, 2022.
Basis of accounting
The consolidated financial statements of the Group have been prepared in accordance with IFRS. The presentation currency is Swiss Francs, which is the Company's functional currency. All amounts have been rounded to the nearest thousand, unless otherwise indicated.
These consolidated financial statements have been prepared on the historical cost basis, except for items that are required to be accounted for at fair value (e.g. derivative financial instruments) and the defined benefit liability which is measured at the present value of the defined benefit obligation less the fair value of plan assets.
Details to the Group's material accounting policies that are relevant for the understanding of these consolidated financial statements are included in the corresponding notes.
Changes in accounting policies
In 2021, the IFRS Interpretations Committee clarified how IFRS Standards apply to upfront implementation costs incurred for cloud-based software (Software as a Service/ SaaS) arrangements. The Committee concluded that the substance for many SaaS arrangements is that the entity has contracted to receive services rather than for the acquisition (or lease) of software assets. The Committee clarified that upfront implementation costs incurred in connection with such agreements should be expensed, unless the criteria for recognizing a separate (intangible) asset are met.
In response to the Committee's agenda decision, VAT revised its accounting policy according to which upfront configuration and customization costs incurred for certain projects no longer qualify for capitalization and must be recognized as operating expenses when the services are received.
Cloud-based software arrangements are contracts under which VAT pays a fee in exchange for software services hosted by a supplier. Such contracts generally are service contracts under which VAT does not receive a software asset but that provide VAT the right to access the supplier's application software over the contract term. The fees to obtain access to the cloud provider's application software as well as up-front implementation costs incurred to configure or customize the software are recognized as operating expenses when the services are received, unless they relate to the development of additional software code and meet the definition of, and the recognition criteria for, an intangible asset that the Company controls (e.g. costs to create a new interface between the Company's existing on-premise systems and the cloud-based software).
In accordance with IAS 8, this change in accounting policy has been applied retrospectively, as if the revised accounting policy had always been applied. Historical financial information has been restated to reflect the impact of the change. The following tables summarize the impact on the Group's consolidated financial statements:
Restatement effect on consolidated balance sheet as of January 1, 2020
| As previously reported | Adjustments |
|---|---|
| 4,417 | 212 |
| 295,392 | |
| 299,809 | 212 |
| 498,564 | –6,365 |
| 174,302 | |
| 672,866 | –6,365 |
| 972,675 | –6,152 |
| 156,809 | |
| 45,934 | –892 |
| 246,496 | |
| 292,430 | –892 |
| 449,239 | –892 |
| 381,179 | –5,260 |
| 142,257 | |
| 523,436 | –5,260 |
Restatement effect on consolidated balance sheet as of December 31, 2020
| As previously reported | Adjustments |
|---|---|
| 1,773 | 209 |
| 344,403 | |
| 346,176 | 209 |
| 498,600 | –12,822 |
| 5,930 | 52 |
| 150,912 | |
| 655,442 | –12,770 |
| 1,001,619 | –12,561 |
| 168,042 | |
| 47,591 | –1,782 |
| 230,634 | |
| 278,225 | –1,782 |
| 446,266 | –1,782 |
| 472,199 | –10,779 |
| 83,153 | |
| 555,352 | –10,779 |
| 1,001,619 | –12,561 |
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
Restatement effect on consolidated income statement 2020
4.27
4.26
Restatement effect on consolidated statement of comprehensive income 2020
| As previously reported | Adjustments |
|---|---|
| 133,461 | –5,519 |
| 17,661 | |
Restatement effect on consolidated statement of cash flows 2020
| As previously reported | Adjustments |
|---|---|
| 133,461 | –5,519 |
| 40,897 | –197 |
| 27,225 | –942 |
| 2,475 | 4 |
| –31,249 | |
| 172,809 | –6,654 |
| –18,132 | 6,654 |
| –7,635 | |
| –25,767 | 6,654 |
| –116,925 | |
| 30,117 | |
Other than the issue described above, the accounting policies adopted are consistent with those of the previous financial year. A number of standards have been modified on miscellaneous points with effect from January 1, 2021. None of these amendments had a material effect on the Group's financial statements.
Use of judgments and estimates
In preparing these consolidated financial statements, management has made judgments, estimates and assumptions that affect the application of the Group's accounting policies and the reported amounts of assets, liabilities, income and expenses. Actual results may differ from estimates. Estimates and underlying assumptions are reviewed frequently. Revisions to estimates are recognized prospectively. Important estimates and assumptions with the related uncertainties were primarily made in the following areas:
a) intangible assets and goodwill, see note 3.4,
b) property, plant and equipment, see note 3.3,
c) income taxes, see note 6.1,
d) employee benefits, see note 4.3,
e) provisions, see note 3.7,
f) contingent considerations, see note 5.2.
2. Operating Performance
2.1 Segment Information
Background
The segment information is presented as provided to the Board of Directors and the Group Executive Committee in their role as Chief Operating Decision Maker (CODM).
Basis of segmentation
Starting January 1, 2021, VAT integrated the former segment Industry into the Valves segment and in particular into the business unit Advanced Industrials (formerly General Vacuum) as the type of this business organizationally fits better into this business unit. The Group now reports in two segments: Valves and the Global Service segment:
– Valves: The Valves segment is a global developer, manufacturer and supplier of vacuum valves for the semiconductor, displays, photovoltaics and vacuum coating industries as well as for the industrial and research sector.
– Global Service: Global Service provides local expert support to customers and offers genuine spare parts, repairs and upgrades.
Due to the reorganization the prior-year figures have been restated accordingly, which includes the following realignments from the former segment Industry to the segment Valves: Net sales CHF 14.8 million, segment net assets CHF 33.9 million of which net trade working capital CHF 12.6 million.
Corporate and eliminations
Inter-company transactions, balances, income and expenses between segments are eliminated and reported in the column "Corporate and eliminations." In addition, this column contains figures relating to the cross functions Corporate Research, Corporate Quality, Corporate Finance, HR and IT.
While net sales in the segment Valves only arise from sales of goods, net sales in the segment Global Service of CHF 26.8 million (prior year: CHF 19.8 million) came from sales of services.
The segment information provided to the CODM is measured in a manner consistent with that of the financial statements. Interest income and expenditure are not allocated to segments, as this type of activity is driven by the central treasury function, which manages the cash position of the Group. Therefore, a profit measure based on EBITDA is reported by segment. Sales between segments are carried out at arm's length and are eliminated on consolidation. Segment assets are measured in the same way as in the financial statements and allocated based on the operations of the segment and the physical location of the asset.
Information about reportable segments
–
| Valves | Global Service | Total segments | Corporate and eliminations |
|---|---|---|---|
| 729,183 | 171,976 | 901,159 | – |
| 74,956 | – | 74,956 | –74,956 |
| 804,140 | 171,976 | 976,115 | –74,956 |
| 269,695 | 77,821 | 347,516 | –39,596 |
–
| Valves | Global Service | Total segments | Corporate and eliminations |
|---|---|---|---|
| 565,125 | 127,302 | 692,427 | – |
| 57,039 | – | 57,039 | –57,039 |
| 622,164 | 127,302 | 749,466 | –57,039 |
| 198,716 | 53,209 | 251,925 | –41,415 |
| Valves | Global Service | Total segments | Corporate and eliminations |
|---|---|---|---|
| 783,456 | 126,798 | 910,254 | 1,723 |
| 45,708 | 4,526 | 50,233 | 74 |
| 737,749 | 122,272 | 860,021 | 1,650 |
| 191,044 | 27,612 | 218,656 | –74 |
| Valves | Global Service | Total segments | Corporate and eliminations |
|---|---|---|---|
| 704,387 | 122,581 | 826,968 | 1,773 |
| 29,162 | 3,166 | 32,328 | 97 |
| 675,226 | 119,415 | 794,641 | 1,676 |
| 138,735 | 23,658 | 162,393 | –97 |
1 The previously reported segment information has been restated due to a change in accounting policy (refer to note 1, section Changes in accounting policies) and as a result of the integration of the former Industry segment (see Basis of segmentation).
Net operating assets by reportable segment include trade receivables, inventories, property, plant and equipment, investment properties, intangible assets and goodwill as well as trade payables. Intangible assets and goodwill are allocated to the segments based on quotes defined as a result of the purchase price allocation.
Reconciliation of segment results to income statement and balance sheet
Income statement
Assets
1
Liabilities
1
97
1 Refer to note 1, section Changes in accounting policies
2 The main positions included in other assets are other receivables and deferred tax assets.
3 Only trade payables are allocated to segments.
Geographic information
Net sales
VAT GROUP AG
ANNUAL REPORT 2021
Non-current assets
1 Refer to note 1, section Changes in accounting policies
Non-current assets by location include property, plant and equipment, investment properties, intangible assets and goodwill. No other individual country represented more than 10% of non-current assets in 2021 and 2020.
Major customers
Revenues from two customers of the Group's Valves and Global Service segments represented approximately 21% and 20% (prior year: two customers represented approximately 19% and 18%) of the Group's total revenues.
2.2 Revenue
In the following table, revenue from contracts with customers is disaggregated by net sales by region and reportable segments. The table also includes a disaggregation of order intake by segments.
Disaggregation of order intake and net sales
| Valves | Global Service |
|---|---|
| 1,028,798 | 199,143 |
| 396,114 | 77,468 |
| 236,187 | 69,591 |
| 96,882 | 24,916 |
| 729,183 | 171,976 |
| Valves | Global Service |
|---|---|
| 592,353 | 132,157 |
| 304,354 | 62,657 |
| 179,551 | 48,393 |
| 81,221 | 16,252 |
| 565,125 | 127,302 |
1Refer to note 2.1, section Basis of segmentation
Accounting policies
Revenue is measured based on the consideration specified in a contract with a customer. The Group recognizes revenue when it transfers control over a good or service to a customer. Customers obtain control of the goods dependent on standard trade terms (Incoterms) or when services are rendered. The Group uses different Incoterms, generally EXW, FCA and DDP. Contracts include only standard warranty clauses and do not provide for separate purchase of warranty. Payment conditions are short term and therefore do not contain significant financing components.
2.3 Other income
1 Refer to note 1, section Changes in accounting policies
2.4 Other expenses
2020
1
653
534
22
1 Refer to note 1, section Changes in accounting policies
2 Includes only third-party expenses
VAT GROUP AG
ANNUAL REPORT 2021
3. Operating assets and liabilities
3.1 Trade and other receivables
Deposits for office rent have no fixed due date and are considered to be non-current.
Accounting policies
Trade and other receivables used in the ordinary course of business are disclosed as current items in the balance sheet. A trade receivable without a significant financing component is initially measured at the transaction price. Trade and other receivables are subsequently measured at amortized cost less impairment losses. Amounts charged to the allowance account are generally written off when there is no expectation of recovering additional cash.
3.2 Inventories
In the financial year 2021, inventories of CHF 2.4 million (previous year: CHF 1.7 million) were scrapped and recognized as expense.
Accounting policies
Inventories are measured at the lower of cost and net realizable value. Cost is determined using the weighted average cost method. The cost of finished goods and work in progress comprises raw materials, direct labor, other direct costs and related production overheads (based on normal operating capacity). It excludes borrowing costs. Net realizable value is the estimated selling price in the ordinary course of business, less applicable variable selling expenses.
3.3 Property, plant and equipment
0
0
0
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
Commitments for future capital expenditures
Firm contractual commitments for future capital investment in property, plant and equipment as of December 31, 2021, aggregated CHF 24.4 million (prior year: CHF 12.3 million).
Accounting policies
Subsequent costs are included in the asset's carrying amount or recognized as a separate asset, as appropriate. In case of replacements, the carrying amount of the replaced part is derecognized. Depreciation of property, plant and equipment is calculated using the straight-line method based on the following useful lives:
Property, plant and equipment are measured at historic or manufacturing costs less accumulated depreciation and any accumulated impairment losses. If significant parts of an item of property, plant and equipment have different useful lives, these are accounted for as separate items of property, plant and equipment.
Land is not depreciated. Repairs and maintenance are charged to the income statement during the financial period in which they are incurred.
Property, plant and equipment are assessed for impairment when there is a triggering event that provides evidence that an asset may be impaired. To assess whether any impairment exists, estimates of expected future cash flows are used. Actual outcomes could vary significantly from such estimates. Factors such as changes in discount rates, the planned use of buildings, machinery or equipment or closure of facilities, the presence of competition, technical obsolescence and lower than anticipated product sales could lead to shorter useful lives or impairments.
Depreciation methods, useful lives and residual values are reviewed at each reporting date and adjusted if appropriate. An asset's carrying amount is written down immediately to its recoverable amount if the asset's carrying amount is greater than its estimated recoverable amount.
Gains and losses on disposals are determined by comparing the proceeds with the carrying amount and are recognized in the income statement.
Leases – as a lessee
The Group leases warehouses, factory facilities and offices. Lease payments are determined in corresponding contracts. Most of these leases were entered into many years ago as combined leases of land and buildings. In addition the Group leases vehicles and IT equipment.
The Group recognizes a right-of-use asset at the lease commencement date. Some property leases contain extension options exercisable by the Group. Where practicable, the Group seeks to include extension options in new leases to provide operational flexibility. The Group assesses at lease commencement date whether it is reasonably certain to exercise the extension options. The Group reassesses whether it is reasonably certain to exercise the options if there is a significant event or significant changes in circumstances within its control.
During the period ended December 31, 2021, the Group recognized CHF 2.9 million (prior year: CHF 2.7 million) of depreciation charges and CHF 0.1 million (prior year: CHF 0.1 million) of interest costs from these leases.
In 2021, expenses related to short-term leases as well as leases of low-value assets amount to CHF 0.3 million (prior year: CHF 0.5 million). Total cash outflows for leases amount to CHF 2.4 million (prior year: CHF 2.8 million).
Accounting policies
The right-of-use asset is subsequently depreciated using the straight-line method from the commencement date to the end of the lease term, unless the lease transfers ownership of the underlying asset to the Group by the end of the lease term or the cost of the right-of-use asset reflects that the Group will exercise a purchase option. In that case the right-of-use asset will be depreciated over the useful life of the underlying asset, which is determined on the same basis as those of property, plant and equipment. In addition, the right-of-use asset is periodically reduced by impairment losses, if any, and adjusted for certain remeasurements of the lease liability.
The right-of-use asset is initially measured at cost, which comprises the initial amount of the lease liability adjusted for any lease payments made at or before the commencement date, plus any initial direct costs incurred and an estimate of costs to dismantle and remove the underlying asset or to restore the underlying asset or the site on which it is located, less any lease incentives received.
3.4 Intangible assets and goodwill
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
Commitments for future capital expenditures
Firm contractual commitments for future capital investment in intangible assets as of December 31, 2021, aggregated CHF 0.4 million (prior year: CHF 0.7 million).
Research and development costs
In 2021, research and development expenses amounting to CHF 45.1 million (previous year: CHF 41.5 million) were included in the items "Personnel expenses," "Other operating expenses" and "Depreciation and amortization." For 90 development projects, the capitalization criteria according to IAS 38.57 were met and expenses of CHF 8.6 million (previous year: CHF 9.7 million) were capitalized.
Impairment testing for goodwill and intangible assets with indefinite useful lives
The intangible assets and goodwill to be tested were allocated to and measured on cash-generating units (CGUs) at the segment levels as follows. Starting January 2021, VAT integrated the former segment Industry into the Valves segment (see also note 2.1). The allocation was adapted accordingly.
| Valves | Global Service | 2021 Total | Valves | Global Service | Industry |
|---|---|---|---|---|---|
| 148,181 | 35,742 | 183,923 | 139,886 | 35,742 | 8,089 |
| 94,618 | 26,282 | 120,900 | 94,618 | 26,282 | 0 |
| 242,799 | 62,024 | 304,823 | 234,504 | 62,024 | 8,089 |
Goodwill and intangible assets with indefinite useful lives have been allocated to the CGUs by using the relative fair value approach based on the financial performance of those CGUs as well as management best estimate. The allocation corresponds with the lowest level at which those assets are monitored by management.
Recoverable amounts used in the impairment testing are based on the value in use and on the latest forecasts approved by management, discounting the future cash flows to be generated from the continuing use. The forecast period used for future cash flows covers the years 2022 to 2024. The discount rates used are based on the weighted average cost of capital (WACC) derived from peer groups adjusted to specific risks of the businesses concerned and the countries in which they operate. The capital costs were determined using the Capital Asset Pricing Model (CAPM). The annual impairment tests carried out supported the carrying amounts and, therefore, no need for impairment was identified.
The key assumptions used in the estimation of fair value in use were as follows:
| Valves | Global Service |
|---|---|
| 10.8% | 10.8% |
| 1.7% | 1.7% |
A reasonably possible change in any of the above key assumption would not cause the recoverable amount to be less than the carrying amount.
Accounting policies
Goodwill and intangible assets
Intangible assets, including technology and customer relationships that are acquired by the Group and have finite useful lives, are measured at cost less accumulated amortization and any accumulated impairment losses. Intangible assets with indefinite useful lives, such as brands and trademarks are measured at cost less accumulated impairment losses. The Group considers that the acquired brands and trademark have an indefinite useful life as they are well established in the respective markets and have a history of strong performance.
Goodwill arising on the acquisition of subsidiaries is measured at cost less accumulated impairment losses. Goodwill is not amortized.
Acquired computer software licenses are capitalized only if criteria of IAS 38 are met. Subsequent expenditure is capitalized only when it increases the future economic benefits embodied in the specific asset to which it relates. All other expenditure, including expenditure on internally generated goodwill and brands, is recognized in profit or loss as incurred. Amortization is calculated using the straight-line method over the estimated useful lives and is generally recognized in the consolidated income statement. The estimated useful lives are as follows:
Amortization methods, useful lives and residual values are reviewed at each reporting date and adjusted if appropriate. The capitalization of internally generated intangible assets is subject to the following development categories: development of own software applications or product-related development activities. Development costs that are directly attributable to the design and testing of identifiable and unique products controlled by the Group are recognized as intangible assets when the criteria are met. Directly attributable costs capitalized as part of the developed product include employee costs, third-party material and advisory expenses. Other development expenditures that do not meet these criteria are recognized as an expense as incurred. Development costs previously recognized as an expense are not recognized as an asset in a subsequent period. Development costs recognized as assets are amortized over their estimated useful lives.
Impairment of non-financial assets
Goodwill, intangible assets that have an indefinite useful life and intangible assets not ready to use are not subject to amortization and are tested annually for impairment or whenever events or changes in circumstances indicate that the carrying amount may not be recoverable. Tangible and intangible assets that are subject to depreciation or amortization are reviewed for impairment whenever events or changes in circumstances indicate that the carrying amount may not be recoverable. For the purposes of assessing impairment, assets are grouped at the lowest levels for which there are largely independent cash inflows (cash-generating units). Prior impairments of non-financial assets (other than goodwill) are reviewed for possible reversal at each reporting date. An impairment loss is recognized if the carrying amount of an asset exceeds its recoverable amount. The recoverable amount is the greater of the value in use of the asset and its fair value less costs of disposal. Value in use is based on the estimated future cash flows, discounted to their present value using a pre-tax discount rate that reflects current market assessments of the time value of money and the risks specific to the asset. Impairment losses are recognized in the consolidated income statement and will be reversed only to the extent that the asset's carrying amount does not exceed the carrying amount that would have been determined, net of depreciation or amortization, if no impairment loss had been recognized.
Research and development costs
The majority of the expenses are incurred in relation to basic research product management and R & D support/overheads, and these are charged directly to the income statement. Expenses directly related to development costs for new products are capitalized and amortized over a period of five years if these concern major development projects. They are reviewed at the end of each reporting period in order to verify if the capitalization criteria of IAS 38.57 are fulfilled.
VAT GROUP AG
ANNUAL REPORT 2021
ANNUAL REPORT 2021
3.5 Trade and other payables
0
The carrying amounts of the Group's trade and other payables are denominated in the following currencies:
Accounting policies
Trade payables are obligations to pay for goods or services that have been acquired in the ordinary course of business from suppliers. Trade payables are subsequently measured at amortized cost using the effective interest method.
3.6 Accrued expenses and deferred income
VAT GROUP AG
ANNUAL REPORT 2021
3.7 Provisions
2
| Warranties | Other provisions |
|---|---|
| 2,407 | 293 |
| 1,263 | 200 |
| –1,350 | |
| | –206 |
| | 2 |
| 2,320 | 289 |
| 2,320 | 200 |
| | 89 |
1 Non-current provisions are included in other non-current liabilities.
Warranties
Warranty provisions cover the risk of expenses in regard to product liability claims that are expected to occur before the warranty period expires. Warranty provisions are calculated on the basis of effective warranty cases and past experience and are used as payments are made. The warranty provisions are subject to a degree of uncertainty with regard to timing and the amount to be paid.
No other significant provisions were deemed required at the reporting date.
Accounting policies
Provisions are determined by discounting the expected future cash flows at a pre-tax rate that reflects current market assessments of the time value of money and the risks specific to the liability. The unwinding of the discount is recognized as finance cost. A provision for warranties is recognized when the underlying products or services are sold, based on effective warranty cases on historical warranty data and a weighting of possible outcomes against their associated probabilities.
4. Employees
4.1 Employee FTE and personnel expenses
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
4.2 Share-based payments
At December 31, 2021, the Group had the following share-based payment arrangements.
Board member share compensation (equity-settled share-based payment)
Members of the Board receive 30% of the total compensation in restricted shares. The restricted shares are subject to a three-year blocking period during which they cannot be transferred, sold, pledged or otherwise disposed of. VAT Group granted 950 shares (prior period 1,421 shares) with a fair value of CHF 276.00 per share for the period 2020/21. For the period 2021/22, the Group allocated 485 shares (prior period 911 shares).
Long-term incentive plan – LTIP (equity-settled share-based payment)
Long-term incentive plans (LTIP) are in place for the Group's management. So-called Performance Share Units (PSUs) were allocated to the management. One PSU represents a conditional right to receive a certain number of underlying shares free of charge pursuant to the vesting period of three years and performance conditions. The number of shares allocated to each PSU ranges between zero and two shares. The allocation is dependent upon achievement of the performance targets of VAT compared to a predefined peer group on the equal weighted metrics relative sales growth, relative Total Shareholder Return (TSR) and for the LTIP 2021 additionally the performance indicator Return on Invested Capital (ROIC). This LTIP is specifically designed for rewarding the performance of VAT relative to a selected peer group of companies. The inputs used in the measurement of the fair values at grant date were as follows:
| Share price at grant date | TSR fair value at grant date | Sales growth fair value at grant date | ROIC fair value at grant date | Volatility | Risk-free rate |
|---|---|---|---|---|---|
| CHF 86.30 | CHF 53.55 | CHF 58.08 | n/a | 32.1% | 0.5% |
| CHF 163.55 | CHF 116.57 | CHF 125.62 | n/a | 32.2% | 0.5% |
VAT Group granted 4,765 shares with a fair value of CHF 252.80 per share in 2021 from the LTIP 2018 (prior period 2,666 shares with a fair value of CHF 160.60 per share from the LTIP 2017). As of December 31, 2021, the number of outstanding Performance Share Units (PSUs) under the plan are 29,026 (prior year: 27,976).
Accounting policies
The grant date fair value of the equity-settled share-based payment arrangement granted to management (LTIP) is recognized as an expense, with a corresponding increase in equity, over the vesting period of the awards. The amount recognized as an expense is adjusted to reflect the number of awards for which the related service and non-market performance conditions are expected to be met, such that the amount ultimately recognized is based on the number of awards that meet the related service and non-market performance conditions at the vesting date.
4.3 Post-employment benefits
The present value of the defined benefit obligations depend on a number of factors that are determined on an actuarial basis using a number of assumptions. Any changes in these assumptions will impact the carrying amount of the defined benefit liabilities. The assumptions used in determining the net cost for pensions include the discount rate. The Group determines the appropriate discount rate at the end of each year. This is the interest rate that should be used to determine the present value of estimated future cash outflows expected to be required to settle the pension obligations. In determining the appropriate discount rate, the Group considers the interest rates of high-quality corporate bonds that are denominated in the currency in which the benefits will be paid and that have terms to maturity approximating the terms of the related pension obligations.
Throughout the world, the Group maintains defined contribution plans for its employees under which the relevant contributions are expensed as they accrue.
VAT GROUP AG
ANNUAL REPORT 2021
99
There are three defined benefit plans in place: the members of the Board of Directors of the Japanese subsidiary as well as all French employees are covered by a non-funded defined benefit plan and all Swiss entities have a funded contributory defined benefit pension plan covering their employees with the following amounts recognized in balance sheet and income statement:
Balance sheet
Income statement
Swiss plan
The Swiss pension plan is governed by the Swiss Federal Law on Occupational Retirement, Survivors' and Disability Pension Plans (BVG), which stipulates that pension plans are to be managed by independent, legally autonomous units. The assets of the pension plan are held within a separate foundation and cannot revert to the employer. Pension plans are overseen by a regulator as well as by a state supervisory body.
The Swiss Group entities are affiliated to a semi-autonomous foundation. The Board of Trustees, which consists of employee and employer representatives in parity ratio, governs the semi-autonomous foundation. All governing and administration bodies have an obligation to act in the interests of the plan participants. They are also responsible for the investment strategy. When defining the investment strategy, they take into account the foundation's objectives, benefit obligations and risk capacity.
Plan participants, their spouse and children are insured against the financial consequences of old age, disability and death. Their benefits are defined in pension plan rules compliant with the BVG, which is specifying the minimum benefits that are to be provided. Retirement benefits are based on the accumulated retirement capital which can either be drawn as a lifelong annuity or as a lump sum payment. The annuity is calculated by multiplying the retirement capital with the currently applicable conversion rate. The accumulated retirement capital is made up of the yearly contributions towards the old-age risk by both employer and employee and the interest thereon until retirement. Contributions towards the old-age risk are based on the rules defined by the Board of Trustees of the semi-autonomous foundation. Minimum contributions and interest are defined by the BVG and the Swiss Parliament. In 2021, the minimum interest was 1.00% (prior year: 1.00%).
Some demographic risks are safeguarded through a life insurance Company (disability and death). There is a risk that the insurance coverage is only temporary in nature (e.g. cancellation by the life insurance firm), and that the inherent risks of the plan may lead to variable insurance premiums over time.
All other actuarial risks are borne by the foundation. These risks consist of demographic risks (primarily life expectancy) and financial risks (primarily the discount rate, future increases in salaries and the return on plan assets) and are regularly assessed by the Board of Trustees. In case of an underfunding, various measures can be taken such as the adjustment of the pension commitment by altering the conversion rates or increasing current contributions. The BVG prescribes how employees and employer have to jointly fund potential restructurings. Since 2020, a sharing of the funding gap between employer and employee (risk sharing) is taken into account. The restructuring contributions for the employer must, at a minimum, be equal to the sum of employee contributions. Under the formal regulatory framework of the pension plan, the employer has no legal obligation to pay additional contributions to eliminate more than 60% of a funding deficit or of a structural funding shortfall. In the case of the actuarial valuation, the legal obligation is regarded as the upper limit of the employer's share of the costs of future benefits within the meaning of IAS 19.87(c).
The amounts recognized in the balance sheet are determined as follows:
The movement in the defined benefit obligation and the plan assets over the period is as follows:
2020
As of the reporting date, the present value of the defined benefit obligation was comprised of:
The defined benefit cost for the period is as follows:
The major asset categories are as follows:
The significant actuarial assumptions were as follows:
Assumptions regarding future mortality are set based on actuarial advice in accordance with published statistics and experience in Switzerland. These assumptions translate into an average life expectancy in years for a pensioner retiring at age 65:
2020
22.72
24.76
24.48
26.51
Reasonably possible changes at the reporting date to one of the relevant actuarial assumptions, holding other assumptions constant, would have affected the defined benefit obligation by the amounts shown below:
–983
| Impact on defined benefit obligation 2021 | | |
|---|---|---|
| Increase in assumption | Decrease in assumption | Increase in assumption |
| –6,917 | 6,457 | –5,798 |
| 992 | –592 | 1,003 |
The above sensitivity analyses are based on a change in an assumption while holding all other assumptions constant. In practice, this is unlikely to occur, and changes in some of the assumptions may be correlated. When calculating the sensitivity of the defined benefit obligation to significant actuarial assumptions, the same method (present value of the defined benefit obligation calculated with the projected unit credit method at the end of the reporting period) has been applied as when calculating the defined benefit liability recognized within the balance sheet.
Expected contributions to defined benefit plans for the year ending December 31, 2022, amount to CHF 7.8 million.
The weighted average duration of the defined benefit obligation is 15.0 years (prior year: 15.9 years).
Accounting policies
Obligations for contributions to defined contribution plans are expensed as the related service is provided. Prepaid contributions are recognized as an asset to the extent that a cash refund or a reduction in future payments is available.
Short-term employee benefits are expensed as the related service is provided. A liability is recognized for the amount expected to be paid if the Group has a present legal or constructive obligation to pay this amount as a result of past service provided by the employee and the obligation can be estimated reliably. Concerning the Swiss pension plans, the formal regulations include the rules of the pension fund as well as the relevant laws, ordinances and directives concerning occupational benefit plans, in particular the provisions contained therein referring to funding and measures to be taken to eliminate pension-fund deficits. Since fiscal year 2020, risk-sharing features are considered in the formal rules when determining financial assumptions, which will limit the employer's share of the cost of future benefits and also include employees in the obligations to pay possible additional contributions in case of an underfunding.
Typically defined benefit plans define an amount of pension benefit that an employee will receive on retirement, usually dependent on one or more factors such as age, years of service and compensation. The liability recognized in the balance sheet in respect of defined benefit pension plans is the present value of the defined benefit obligation at the end of the reporting period less the fair value of plan assets. The defined benefit obligation is calculated annually by independent actuaries using the projected unit credit method. The present value of the defined benefit obligation is determined by discounting the estimated future cash outflows using interest rates of high-quality corporate bonds that are denominated in the currency in which the benefits will be paid, and that have terms to maturity approximating to the terms of the related pension obligation.
The Group determines the net interest expense on the net defined benefit liability for the period by applying the discount rate used to measure the defined benefit obligation at the beginning of the period to the then net defined benefit liability, taking into account any changes in the net defined benefit liability during the period as a result of contributions and benefit payments. In the income statement, the net interest expense is recognized within "Finance costs." Other expenses related to defined benefit plans are recognized within "Employee benefit expenses."
Remeasurements of the net defined benefit liability, which comprise actuarial gains and losses and the return on plan assets (excluding interest) are charged or credited to equity in other comprehensive income in the period in which they arise.
Past-service costs are recognized immediately in the consolidated income statement.
For defined contribution plans, the Group pays contributions to publicly or privately administered pension insurance plans on a mandatory, contractual or voluntary basis. The Group has no further payment obligations once the contributions have been paid.
4.4 Related-party transactions
The following transactions were carried out with related parties:
Business transactions with related parties are based on arm's-length conditions.
Key management personnel includes members of the Group Executive Committee of VAT Group AG. The compensation paid or payable to key management personnel for employee services is shown below:
Year-end balances arising from transactions with related parties include:
Shares held by the Board of Directors and the Group Executive Committee are disclosed in note 4.3 of the statutory financial statements of VAT Group AG.
5. Capital and financial risk management
5.1 Finance income and costs
Accounting policies
discounts estimated future cash payments or receipts through the expected life of the financial instrument to:
Interest income or expense is recognized using the effective interest method. The "effective interest rate" is the rate that exactly
– the gross carrying amount of the financial asset; or
– the amortized cost of the financial liability.
5.2 Fair value estimation
The following table shows the fair values of financial assets and financial liabilities measured at fair value including their levels in the fair value hierarchy.
0
0
0
0
| Measurement principle | Contract value | | |
|---|---|---|---|
| | 2021 | 2020 | 2021 |
| Level 21 | 164,431 | 160,452 | 1,644 |
| Level 21 | 64,954 | 47,051 | 2,712 |
| Level 21 | 35,735 | 0 | 222 |
| | 265,120 | 207,503 | 4,578 |
| Level 12 | 0 | 0 | 33 |
| | 265,120 | 207,503 | 4,610 |
| Level 21 | 66,279 | 2,275 | –930 |
| Level 21 | 0 | 9,004 | 0 |
| Level 21 | 1,263 | 0 | –1 |
| | 67,542 | 11,280 | –932 |
| Level 33 | 4,488 | 0 | –4,488 |
| | 69,642 | 11,280 | –3,032 |
| | 2,388 | 0 | –2,388 |
1 The fair values of the derivatives held by VAT Group are based on market/broker quotes. Similar contracts are traded in an active market and quotes reflect the actual transactions in similar instruments. If all significant inputs required for the valuation of an instrument are observable, the instrument is included in Level 2.
2 The fair value of equity shares are based on quoted market prices in active markets.
3 Fair values measured using unobservable inputs are categorized within Level 3 of the fair value hierarchy.
This applies particularly to contingent considerations in business combinations.
4 Contingent considerations are disclosed in trade and other payables and other non-current liabilities.
The Group recorded foreign exchange contracts (derivative financial assets/liabilities) at fair value, which are Level 2 financial instruments. There were no transfers in either direction between Level 1 and Level 2 in 2021 and 2020. Contingent considerations are Level 3 financial instruments and linked to the fulfillment of certain parameters related to earn-out clauses. The calculation of the contingent considerations is based on management assessments that the criteria will be achieved at a probability of 100%. For more information refer to note 6.5.
Forward foreign exchange contracts
The hedged highly probable forecast transactions denominated in foreign currency are expected to occur at various dates during the next 12 months.
Hedge accounting
VAT Group uses cash flow hedges to reduce and manage the economic impact of its main currency risks. As of December 31, 2021, the Group held currency forwards and non-deliverable forwards as hedging instruments (as of December 31, 2020, the Group held currency forwards). The forward contracts were denominated in the same currency as the highly probable future transactions; therefore the hedge ratio on all hedges conducted by VAT Group was 1:1 as of December 31, 2021. The hedging reserves included net unrealized gains of CHF 2.4 million, net of tax, on derivatives designated as cash flow hedges (prior year: unrealized gains of CHF 4.1 million). Net gains of CHF 0.8 million (prior year: net gains of CHF 9.1 million) were reclassified to earnings in 2021. The maturity of derivatives classified as a cash flow hedge was up to 12 months.
Accounting policies
Derivatives are initially recorded at fair value and subsequently adjusted for fair value changes. The measurement of derivatives in the Group's balance sheet is based on internal valuations or on the valuation of the respective financial institution. VAT applies hedge accounting in accordance with IFRS 9 to hedge balance sheet items and future cash flows, thus reducing income statement volatility. Changes in the value of instruments designated as fair value hedges are recorded together with the change in fair value of the underlying item directly in the income statement, net. The effective portion of instruments designated as cash flow hedges is recognized in other comprehensive income. The ineffective portion of such instruments is recorded in financial result, net. Changes in value resulting from cash flow hedges recognized in equity through the consolidated statement of comprehensive income are reclassified in the income statement in the period in which the cash flow from the hedged transaction is recognized in the income statement. When a hedging instrument expires or when a hedge no longer meets the criteria for hedge accounting, any cumulative gain or loss previously recognized in other comprehensive income is transferred to the income statement.
Fair value estimation
– quoted prices (unadjusted) in active markets for identical assets or liabilities (Level 1),
Financial instruments carried at fair value are analyzed by valuation method. The different levels have been defined as follows:
– observable prices for the asset or liability, either directly or indirectly (Level 2),
– inputs for the asset or liability are not based on observable market data (Level 3).
The carrying amounts of financial assets and liabilities not measured at fair value are a reasonable approximate of their fair values. The fair value of financial instruments that are not traded in an active market is determined by using valuation techniques that maximize the use of observable market data where it is available and rely as little as possible on entity specific estimates. The fair values are based on market/broker quotes. Similar contracts are traded in an active market and the quotes reflect the actual transactions in similar instruments.
5.3 Loans and borrowings
The terms and conditions of outstanding loans are as follows:
0
| Currency | Nominal interest rate | Year of maturity |
|---|---|---|
| CHF | SARON + 0.95% | 2023 |
| CHF | 1.50% | 2023 |
| Currency | Nominal interest rate | Year of maturity |
|---|---|---|
| CHF | CHF LIBOR + 0.95% | 2023 |
| CHF | 1.50% | 2023 |
VAT Group AG maintains a syndicated five-year Revolving Credit Facility (RCF) of USD 300.0 million.
The RCF is subject to the financial covenant "net senior debt/EBITDA" ratio, with which the Group complied with for the financial year 2021. Reacting on the IBOR Transition, the reference rate of the RCF was changed from LIBOR to Alternative Reference Rates (ARRs). In the case of CHF, the reference rate was changed from LIBOR to SARON.
On May 23, 2018, VAT Group issued a fixed-rate bond with a nominal value of CHF 200.0 million, which is listed on the SIX Swiss Exchange (ISIN: CH0417086052). The bond carries a coupon rate of 1.5% and has a term of five years with a final maturity on May 23, 2023. On December 31, 2021, the market value of the bond was CHF 203.6 million (prior year CHF 203.6 million).
The carrying amounts as of December 31, 2021 include financing costs of CHF 0.3 million (prior year CHF 1.6 million), which will be recognized in profit and loss over the remaining duration of the bond.
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
Reconciliation of movements of liabilities to cash flows from financing activities
| 2021 | Cash-efefctive adjustment | | Non-cash-efefctive adjustment | |
|---|---|---|---|---|
| | Addition | Repayment | Addition1 | Foreign exchange |
| 206,942 | 110,000 | –172,433 | 3,020 | 16 |
| 206,942 | 110,000 | –172,433 | 3,020 | 16 |
1 Includes changes of finance lease liabilities and amortization of finance costs
| 2020 | Cash-efefctive adjustment | | Non-cash-efefctive adjustment | |
|---|---|---|---|---|
| | Addition | Repayment | Addition1 | Foreign exchange |
| 266,338 | 120,000 | –111,729 | 4,346 | –367 |
| 266,338 | 120,000 | –111,729 | 4,346 | –367 |
1 Includes changes of finance lease liabilities and amortization of finance costs
Accounting policies
The Group recognizes a lease liability at the lease commencement date. The lease liability is initially measured at the present value of the lease payments that are not paid at the commencement date, discounted using the interest rate implicit in the lease or, if that rate cannot be readily determined, the Group's incremental borrowing rate. Generally, the Group uses its incremental borrowing rate as the discount rate. The lease liability is measured at amortized cost using the effective interest method. It is remeasured when there is a change in future lease payments arising from a change in an index or rate, if there is a change in the Group's estimate of the amount expected to be payable under a residual value guarantee, if the Group changes its assessment of whether it will exercise a purchase, extension or termination option or if there is a revised in-substance fixed lease payment.
Loans and borrowings are recognized initially at fair value, net of transaction costs incurred. Borrowings are subsequently carried at amortized cost; any difference between the proceeds (net of transaction costs) and the redemption value is recognized in the consolidated income statement over the period of the borrowings using the effective interest method.
5.4 Equity
Share capital
As of December 31, 2021, the total authorized and issued number of ordinary shares comprises 30,000,000 shares with a nominal value of CHF 0.10 each. A conditional capital increase of up to 1,500,000 shares, which is included in the articles of association of VAT Group AG, was not drawn as of December 31, 2021.
The holders of ordinary shares are entitled to receive dividends as declared from time to time and are entitled to one vote per share at meetings of the Company.
Share premium
Shares were issued in exchange for investments in VAT Holding S.à r.l. and VAT Management S.à r.l. as well as a shareholder loan from VAT Holding S.à r.l. in the financial year 2016.
Treasury shares
VAT Group AG purchased own shares held as treasury shares at a weighted average purchase price of CHF 312.97 pursuant to the share-based payment plans as shown in note 4.2. As of December 31, 2021, the Group held 14,383 own shares (prior year: 8,327).
Dividends
VAT declared and paid following dividend half from the reserves from capital contributions and half from retained earnings.
The Board of Directors proposed a dividend in the amount of CHF 4.50 per share for the financial year 2020 (prior year: CHF 4.00 per share). The dividend was approved and paid out in May 2021.
Earnings per share
1Refer to note 1, section Changes in accounting policies
Diluted earnings per share is calculated by dividing net income attributable to owners of the Company by the weighted average number of shares adjusted for all potentially dilutive shares. Dilutive shares arise from the share-based payments as shown in note 4.2.
1Refer to note 1, section Changes in accounting policies
Accounting policies
Earnings per share
The number of ordinary shares for the calculation of the earnings per share is determined on the basis of the weighted average of the issued ordinary shares less the weighted average number of the treasury shares. For the calculation of diluted earnings per share, an adjusted number of shares is calculated as the sum of the total of the ordinary shares used to calculate the earnings per share and the potentially dilutive shares from share-based payment programs. The dilution from share-based payment programs is determined on the basis of the number of ordinary shares that are expected to be paid out to employees from currently held treasury shares. Earnings per share and diluted earnings per share are defined as the ratio of the attributable net income to the relevant number of ordinary shares.
5.5 Financial instruments
Categories of financial instruments
The following table discloses the carrying amounts of all financial instruments for each category:
Accounting policies
Classification
Financial assets at fair value through profit or loss are financial assets held for trading. A financial asset is classified in this category if acquired principally for the purpose of selling in the short term. Derivatives are also categorized as held for trading unless they are designated as hedges. Assets in this category are classified as current assets if expected to be settled within 12 months, otherwise they are classified as non-current.
The Group classifies non-derivative financial assets in the following categories: financial assets at fair value through profit or loss (FVTPL) and financial assets measured at amortized cost. Financial assets are not reclassified subsequent to their initial recognition unless the Group changes its business model for managing financial assets, in which case all affected financial assets are reclassified on the first day of the first reporting period following the change in the business model.
A financial asset measured at amortized cost is a non-derivative financial asset if both of the following conditions are met and if it is not designated as FVTPL: it is held within a business model whose objective is to hold assets to collect contractual cash flows and its contractual terms give rise on specified dates to cash flows that are solely payments of principal and interest on the principal amount outstanding. They are included in current assets, except for maturities greater than 12 months after the end of the reporting period. These are classified as non-current assets. The category financial assets measured at amortized cost comprise "Cash and cash equivalents", "Trade and other receivables", "Accrued income" and "Long-term loans" on the balance sheet.
Recognition and measurement
A financial asset (unless it is a trade receivable without a significant financing component) or financial liability is initially measured at fair value plus, for an item not at fair value through profit or loss, transaction costs that are directly attributable to its acquisition or issue. A trade receivable without a significant financing component is initially measured at the transaction price.
Trade receivables and debt securities issued are initially recognized when they are originated. All other financial assets and financial liabilities are initially recognized when the Group becomes a party to the contractual provisions of the instrument.
Financial assets carried at fair value through profit or loss are initially recognized at fair value, and transaction costs are expensed in the income statement. Financial assets are derecognized when the rights to receive cash flows from the investments have expired or have been transferred and the Group has transferred substantially all risks and rewards of ownership.
Financial assets at fair value through profit or loss are subsequently carried at fair value. Financial assets measured at amortized cost are subsequently carried at amortized cost using the effective interest method. Gains or losses arising from changes in the fair value of the "Financial assets at fair value through profit or loss" category are presented in the income statement in the period in which they arise. The carrying amounts of financial assets and liabilities not measured at fair value are a reasonable approximate of their fair values.
The Group applies the IFRS 9 simplified approach to measuring expected credit losses which uses a lifetime expected loss allowance for all trade receivables. Loss rates are based on actual credit loss experience over the past years and current conditions. Current conditions are reflected in the development of the country risk premium of the Group's sales region. The allowance matrix is reviewed periodically to determine an adequate impairment provision. Losses on trade and other receivables are not material. Individual impairment provisions are recorded for accounts where collection cannot be expected.
5.6 Financial risk management
The Group's activities expose it to a variety of financial risks: market risk (including currency risk, fair value interest rate risk and cash flow interest rate risk), credit risk and liquidity risk. The Group's overall risk management program focuses on the unpredictability of financial markets and seeks to minimize potential adverse effects on the Group's financial performance. The Group uses derivative financial instruments to hedge certain risk exposures.
Risk management is carried out by management under policies approved by the Board of Directors. Management identifies, evaluates and hedges financial risks in close cooperation with the Group's operating units. The Board provides written principles for overall risk management, as well as written policies covering specific areas, such as foreign exchange risk, interest rate risk, credit risk, use of derivative financial instruments and non-derivative financial instruments, and investment of excess liquidity.
Market risk
Foreign exchange riskThe Group operates internationally and is exposed to foreign exchange risk arising from various currency exposures, primarily with respect to the USD, EUR, JPY, KRW, CNY and MYR. Foreign exchange risk arises from future commercial transactions, recognized assets and liabilities and net investments in foreign operations.
Management has set up a policy to require Group companies to manage their foreign exchange risk against their functional currency. The Group hedges its foreign exchange risk exposure from future cash flows in USD, JPY and KRW. To manage its foreign exchange risk arising from future commercial transactions and recognized assets and liabilities, the Group uses forward contracts. Foreign exchange risk arises when future commercial transactions or recognized assets or liabilities are denominated in a currency that is not the entity's functional currency.
The Group has certain investments in foreign operations, whose net assets are exposed to foreign currency translation risk. The risk is monitored periodically. The foreign exchange exposure of these investments is actually not material for the Group and is not hedged.
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
111
The carrying amounts of the main Group's foreign currency denominated monetary assets and monetary liabilities at the reporting date are as follows:
| Assets | Liabilities |
|---|---|
| 280,078 | 200,174 |
| 32,240 | 20,934 |
| 65,453 | 27,758 |
| 8,534 | 1,537 |
| 14,576 | 2,411 |
| 2,043 | 12,078 |
| Assets | Liabilities |
|---|---|
| 236,123 | 155,706 |
| 31,481 | 21,180 |
| 58,744 | 27,122 |
| 13,037 | 1,378 |
The management's assessment for a reasonably possible change in the foreign exchange rates could be a 5% shift in the major currencies against the Swiss Franc with all the other variables held constant. In case of net financial assets/liabilities, as of December 31, 2021, the cumulated impact on net financial assets/liabilities would be as follows:
An increase in major currency rates would have a positive impact for USD, EUR, JPY, KRW and CNY and a negative impact for MYR (prior year: positive impact for USD, EUR, JPY, KRW and CNY / negative impact for MYR). A decrease would have an equal negative / positive (prior year: negative / positive) impact on profit or loss and equity.
Interest rate riskThe interest rate risk includes an interest-related cash flow risk and an interest-related risk of a change in market value. The interest-bearing financial assets and liabilities held by the Group mainly relate to cash and cash equivalents and borrowings.
Cash flow sensitivity analysis for variable-rate instruments
As in prior year, a reasonably possible change of 50 basis points in interest rates at the reporting date would not have increased (decreased) profit or loss by a material amount. This analysis assumes that all other variables, in particular foreign currency exchange rates, remain constant.
Credit risk
Credit risk is the risk of financial loss to the Group if a customer or counterparty to a financial instrument fails to meet its contractual obligations and arises principally from the Group's receivables from customers. The carrying amounts of financial assets presented in the table in the previous note represent their maximum credit exposure.
Credit risk is managed on Group level, except for credit risk relating to accounts receivable balances. Each local entity is responsible for managing and analyzing the credit risk for each of its new clients before standard payment and delivery terms and conditions are offered. Credit risk arises from cash and cash equivalents, derivative financial assets and deposits with banks and financial institutions, as well as credit exposures to customers, including outstanding receivables and committed transactions. For banks and financial institutions, only independently rated counterparties with a minimum rating of "A" are accepted. If customers are independently rated, these ratings are used. If there is no independent rating, risk control assesses the credit quality of the customer, taking into account its financial position, past experience and other factors. The expected loss rates are based on the payment profiles of sales over a period and the corresponding historical credit losses experienced within this period. The historical loss rates are adjusted to reflect current and forward-looking information on macroeconomic factors affecting the ability of the customers to settle the receivables. No collateral is required.
Further information about trade receivables and the provision for impairment of trade receivables is provided in note 3.1.
With respect to trade receivables, the Group has two main customers representing 40% (prior year: 37%) of the Group's total revenues. This concentration of credit risk is considered low due to the strong market position of these two customers. Country risk is mitigated by the broad geographic spread of the Group's customer base.
Liquidity risk
Cash flow forecasting is performed by the operating entities of the Group and aggregated by Group treasury. Group treasury monitors rolling forecasts of the Group's liquidity requirements to ensure it has sufficient cash to meet operational needs.
Surplus cash held by the operating entities above the balance required for working capital management is transferred to Group treasury. Group treasury utilizes surplus cash for repayment of loans as per the above-mentioned forecasts.
The table below analyses the Group's non-derivative financial liabilities and derivative financial liabilities into relevant maturity groupings based on the remaining period at the balance sheet date to the contractual maturity date. Derivative financial liabilities are included in the analysis if their contractual maturities are essential for an understanding of the timing of the cash flows. The amounts disclosed in the table are the contractual undiscounted cash flows.
VAT GROUP AG
ANNUAL REPORT 2021
113
| Carrying amount | | | | | |
|---|---|---|---|---|---|
| | Total | Less than 3 months | Between 3 months and 1 year | Between 1 and 2 years | Between 2 and 5 years |
| 52,785 | –52,785 | –51,847 | –938 | | |
| 18,325 | –18,325 | –11,416 | –6,909 | | |
| 2,530 | –2,530 | | | –253 | –2,277 |
| 199,716 | –204,192 | –750 | –2,250 | –201,192 | |
| 7,226 | –8,645 | –714 | –1,738 | –2,759 | –1,796 |
| 280,581 | –286,476 | –64,727 | –11,835 | –204,203 | –4,073 |
| 932 | –68,474 | –30,953 | –37,520 | | |
| | 67,542 | 30,310 | 37,233 | | |
| 932 | –932 | –644 | –288 | | |
| Carrying amount | | | | | |
|---|---|---|---|---|---|
| | Total | Less than 3 months | Between 3 months and 1 year | Between 1 and 2 years | Between 2 and 5 years |
| 32,877 | –32,877 | –32,857 | –20 | | |
| 10,546 | –10,546 | –2,565 | –7,981 | | |
| 180 | –180 | | | –180 | |
| 258,350 | –267,268 | –60,826 | –2,250 | –3,000 | –201,192 |
| 7,988 | –8,642 | –657 | –2,443 | –2,318 | –982 |
| 309,942 | –319,513 | –96,904 | –12,695 | –5,498 | –202,174 |
| 26 | –11,306 | –3,319 | –7,987 | | |
| | 11,280 | 3,309 | 7,971 | | |
| 26 | –26 | –10 | –16 | | |
Capital risk management
The Group's objectives when managing capital are to safeguard the Group's ability to continue as a going concern in order to provide returns for shareholders and benefits for other stakeholders and to maintain an optimal capital structure to reduce the cost of capital. In order to maintain or adjust the capital structure, the Group may adjust the amount of dividends paid to shareholders, return capital to shareholders, issue new shares or sell assets to reduce debt.
Capital is measured based on the Group's consolidated financial statements and monitored closely on an ongoing basis. The target of the management for the period under review was to maintain a strong capital basis. This goal was achieved by the positive operating results of the Group.
The equity ratio was as follows:
1
1Refer to note 1, section Changes in accounting policies
6. Other disclosures
6.1 Income Tax
Income tax expenses
This note provides an analysis of the Group's income tax expenses, shows what amounts are recognized directly in equity and how the tax expense is affected by non-assessable and non-deductible items. It also explains significant estimates made in relation to the Group's tax position.
1 Refer to note 1, section Changes in accounting policies
The tax on the Group's profit before tax differs from the theoretical amount that would arise using the weighted average tax rate applicable to profits of the consolidated entities as follows:
1
0
1 Refer to note 1, section Changes in accounting policies
2 The applicable tax is determined using the average statutory tax rate applicable to the Group, calculated on a weighted average basis ignoring algebraic signs. Therefore, the effect of tax rates in foreign jurisdictions is disclosed.
The tax rate in 2021 is lower than in 2020. This is mainly caused by higher profits from Swiss entities, where statutory tax rates are lower.
The following deferred taxes were (charged)/credited to other comprehensive income during the period:
| | | 2021 | | |
|---|---|---|---|---|
| Before tax | Tax (expense)/ benefit | Net of tax | Before tax | Tax (expense)/ benefit |
| 12,533 | –1,817 | 10,716 | 19,814 | –2,873 |
| –1,948 | 282 | –1,665 | 1,715 | –264 |
The following income taxes were (charged)/credited to equity during the period:
| | | 2021 | | |
|---|---|---|---|---|
| Before tax | Tax (expense)/ benefit | Net of tax | Before tax | Tax (expense)/ benefit |
Deferred tax balances
The deferred tax assets and liabilities were as follows:
| Deferred tax assets | Deferred tax liabilities | Net closing balance | Deferred tax assets | Deferred tax liabilities |
|---|---|---|---|---|
| 507 | –742 | –234 | 52 | –235 |
| 3,335 | –4,372 | –1,037 | 2,984 | –3,191 |
| 106 | –8,132 | –8,026 | 251 | –5,969 |
| | –42 | –42 | | –46 |
| 45 | –38,241 | –38,196 | 52 | –38,395 |
| | | 0 | | –62 |
| 2,666 | –3 | 2,663 | 1,656 | –252 |
| 1 | –1,940 | –1,938 | 1 | –1,555 |
| 249 | | 249 | 269 | –1 |
| 2,019 | | 2,019 | 3,718 | |
| 1,051 | | 1,051 | 1,904 | |
| | –982 | –982 | | –1,007 |
| 9,979 | –54,454 | –44,474 | 10,887 | –50,714 |
| –4,633 | 4,633 | 0 | –4,905 | 4,905 |
| 5,347 | –49,821 | –44,474 | 5,982 | –45,809 |
1Refer to note 1, section Changes in accounting policies
The movement in deferred tax balances is as follows:
1
0
1 Refer to note 1, section Changes in accounting policies
For some Group companies, dividend payments are subject to a withholding tax which cannot be fully recovered in Switzerland. Deferred tax liabilities in the amount of the non-recoverable withholding tax credits are recorded in profit and loss. The balance of these deferred tax liabilities was CHF 1.0 million (prior year: CHF 1.0 million).
Tax losses
Deferred tax assets are recognized for tax loss carry-forwards to the extent that the realization of the related tax benefit through the future taxable profits is probable. The details of the tax losses carried forward for which no deferred tax assets were recognized are as follows:
0
0
0
The total tax losses for which no deferred tax assets were recognized will expire as follows:
0
Further, there are temporary differences with respect to investments in subsidiaries of CHF 2.8 million (prior year: CHF 2.8 million), for which no deferred tax liabilities were recognized. The Group is able to control the timing of the reversal and it is not intended to reverse the temporary difference in the foreseeable future.
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS
Accounting policies
Current income tax comprises the expected tax payable or receivable on the taxable income or loss for the year and any adjustment to the tax payable or receivable in respect of previous years. The amount of current income tax payable or receivable is the best estimate of the tax amount expected to be paid or received that reflects uncertainty related to income taxes, if any. It is measured using tax rates enacted or substantively enacted at the reporting date. Current income tax also includes any tax arising from dividends.
Current and deferred income tax Income tax expense comprises current and deferred tax. It is recognized in the consolidated income statement, except to the extent that it relates to items recognized in other comprehensive income or directly in equity. In this case, the tax is also recognized in other comprehensive income or directly in equity, respectively.
Deferred income tax is recognized in respect of temporary differences between the carrying amount of assets and liabilities for financial purposes and the amounts used for taxation purposes.
Deferred tax liabilities are provided on taxable temporary differences arising from investments in subsidiaries, except where the timing of the reversal of the temporary difference is controlled by the Group and it is probable that the temporary difference will not reverse in the foreseeable future.
Deferred tax assets are recognized for unused tax losses and deductible temporary differences to the extent that it is probable that future taxable profit will be available against which they can be used. Deferred tax assets are reviewed at each reporting date and are reduced to the extent that it is no longer probable that the related tax benefit will be realized; such reductions are reversed when the probability of future taxable profits improves. Unrecognized deferred tax assets are reassessed at each reporting date and recognized to the extent that it has become probable that future taxable profits will be available against which they can be used.
Deferred tax assets are recognized on deductible temporary differences arising from investments in subsidiaries, only to the extent that it is probable that the temporary difference will reverse in the future and there is sufficient taxable profit available against which the temporary difference can be utilized.
Current and deferred tax assets and liabilities are netted whenever they relate to the same taxing authority and taxable entity.
6.2 Foreign currency translation
Items included in the financial statements of each of the Group's entities are measured using the currency of the primary economic environment in which the entity operates ("the functional currency"). Foreign currency transactions are translated into the functional currency using the exchange rates prevailing at the dates of the transactions or valuations where items are remeasured. Foreign exchange gains and losses resulting from the settlement of such transactions and from the translation at year-end exchange rates of monetary assets and liabilities denominated in foreign currencies are recognized in the income statement, except when deferred in other comprehensive income as qualifying hedges.
For consolidation purposes, the results and financial position of all Group entities that have a functional currency different from the presentation currency are translated into the presentation currency. Assets and liabilities for each balance sheet presented are translated at the closing rate at the date of that balance sheet. Income and expenses for each income statement are translated at yearly average exchange rates which are reasonable approximation of the spot rates. All resulting exchange differences are recognized in other comprehensive income.
Foreign exchange gains and losses that relate to borrowings, cash and cash equivalents are presented in the income statement within "Finance income/(expenses)." All other foreign exchange gains and losses are presented in the income statement within "Other income/(expenses)."
The following table summarizes the principal exchange rates used for translation purposes:
| Average exchange rates in CHF | | |
|---|---|---|
| Jan 1 – Dec 31, 2021 | Jan 1 – Dec 31, 2020 | Dec 31, 2021 |
| 1.08 | 1.07 | 1.04 |
| 0.83 | 0.88 | 0.79 |
| 0.08 | 0.08 | 0.08 |
| 0.22 | 0.22 | 0.22 |
6.3 Contingencies and commitments
As at the date of the financial statements, the Group had no contingent assets or liabilities. As of December 31, 2021, assets in the amount of CHF 1.1 million were pledged (prior year: assets in the amount of CHF 0.7 million were pledged).
6.4 List of subsidiaries
The subsidiaries of the Company as of December 31, 2021, are the following:
| Company | Function | Currency | Capital in thousands |
|---|---|---|---|
| VAT Vacuum Valves Shanghai Company Ltd., Shanghai | D | CNY | 1,618 |
| VAT Vacuum Valves Beijing Company Ltd, Beijing | D | USD | 800 |
| VAT SARL, Grenoble | D | EUR | 50 |
| VAT Deutschland GmbH, Dresden | D | EUR | 26 |
| VAT Ltd., Tokyo | D | JPY | 96,470 |
| VAT Korea Ltd., Pyeongtaek City | D | KRW | 300,000 |
| VAT Management S.à r.l., Luxembourg | H | CHF | 30 |
| VAT Manufacturing Malaysia Sdn. Bhd., Penang | P | MYR | 1,000 |
| VAT Netherlands B.V., Utrecht | D | EUR | 0 |
| VAT Romania S.R.L., Arad | D/P | RON | 7,821 |
| VAT Singapore Pte. Ltd., Singapore | D | SGD | 500 |
| VAT Vakuumventile AG, Sennwald | D/P | CHF | 100 |
| Comvat AG, Sennwald | D/P | CHF | 275 |
| VAT Holding AG, Sennwald | H | CHF | 300 |
| VAT Taiwan Co. Ltd., Hsin-Chu City | D | TWD | 12,000 |
| VAT Vacuum Products Ltd, Warwickshire | D | GBP | 1 |
D: Distribution, H: Holding, P: Production
Accounting policies
Subsidiaries are entities controlled by the Group. The Group controls an entity when the Group is exposed to, or has rights to, variable returns from its involvement with the entity and has the ability to affect those returns through its power over the entity.
Transactions eliminated on consolidation The Group eliminates all intra-group transactions as part of the Group's consolidation process. Any unrealized gains and losses arising from intra-group transactions are eliminated. Unrealized losses are eliminated in the same way as unrealized gains, but only to the extent that there is no evidence of impairment.
6.5 Acquisition of a subsidiary
On July 1, 2021, the Group acquired a 100% controlling interest of microGauge AG, for CHF 6.1 million, of which CHF 1.6 million was paid in cash and CHF 4.5 million arose from a contingent consideration agreement. This contingent consideration is dependent on the success of the technology acquired. The total liability is limited at CHF 4.5 million. The acquisition included patents and technology in the amount of CHF 6.9 million and a goodwill of 0.2 million. The goodwill is attributable to the workforce and the potential of the acquired business.
microGauge AG, which had its headquarters in Zurich, Switzerland and employed three people is a deep-tech Company that was developing next generation vacuum sensing solutions. The Company was merged with VAT Vakuumventile AG as of July 1, 2021.
6.6 Subsequent events
The Company has evaluated subsequent events through March 2, 2022, which represents the date when the consolidated financial statements were approved.
6.7 Standards issued but not yet effective
A number of new standards and amendments to standards are effective for annual periods beginning after January 1, 2021, and earlier application is permitted; however, the Group has not early applied the new or amended standards in preparing these consolidated financial statements.
Improvements and other amendments to IFRS
A number of standards have been modified on miscellaneous points. None of these amendments are expected to have a material effect on the Group's consolidated financial statements.
Statutory Auditor's Report
To the General Meeting of VAT Group AG, Sennwald
Report on the Audit of the Consolidated Financial Statements Opinion
We have audited the consolidated financial statements of VAT Group AG and its subsidiaries (the Group), which comprise the consolidated balance sheet as at December 31, 2021 and the consolidated income statement, consolidated statement of comprehensive income, consolidated statement of changes in equity and consolidated statement of cash flows for the year then ended, and notes to the consolidated financial statements, including a summary of significant accounting policies.
In our opinion the consolidated financial statements (pages 76 to 119) give a true and fair view of the consolidated financial position of the Group as at December 31, 2021, and its consolidated financial performance and its consolidated cash flows for the year then ended in accordance with International Financial Reporting Standards (IFRS) and comply with Swiss law.
Basis for Opinion
We conducted our audit in accordance with Swiss law, International Standards on Auditing (ISAs) and Swiss Auditing Standards. Our responsibilities under those provisions and standards are further described in the Auditor's Responsibilities for the Audit of the Consolidated Financial Statements section of our report. We are independent of the Group in accordance with the provisions of Swiss law and the requirements of the Swiss audit profession, as well as the International Ethics Standards Board for Accountants' International Code of Ethics for Professional Accountants (including International Independence Standards) (IESBA Code), and we have fulfilled our other ethical responsibilities in accordance with these requirements.
We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.
Key Audit Matters
Revenue Recognition
Key audit matters are those matters that, in our professional judgment, were of most significance in our audit of the consolidated financial statements of the current period. These matters were addressed in the context of our audit of the consolidated financial statements as a whole, and in forming our opinion thereon, and we do not provide a separate opinion on these matters.
Revenue Recognition
Key Audit Matter
Revenues are an important metric considered by external and internal stakeholders. Revenues recognized for the year ended December 31, 2021 amounted to CHF 901 m (2020: CHF 692 m) and are primarily related to the sale of vacuum valves and service support.
Revenue is a key performance indicator and therefore in the focus of internal and external stakeholders. VAT Group recognizes revenues related to the sale of goods when risks, rewards and control are transferred to the counterparty. In general, contractual agreements with customers define when risks and rewards are transferred, as specific terms and conditions are mentioned in the contracts or order confirmations. There is a risk that revenues may be recognized in the wrong accounting period.
There is an additional risk that revenues may be deliberately over- or understated as a result of management override resulting from the pressure management may feel to achieve planned results. This could for example occur by manipulating inputs in the Group's accounting system.
ON THE FINANCIAL STATEMENTS
121
Our response
When performing the audit, we had a focus on the appropriate recognition of revenue transactions, in accordance with the Group's accounting policies.
We performed testing of the key controls around revenue recognition, which included performing walkthroughs and testing the operating effectiveness of internal controls.
Furthermore, our procedures included detailed cut-off testing of revenue transactions with reference to shipping documentation to either side of the balance sheet date. Moreover, we obtained trade debtors confirmations and if required performed alternative procedures, such as subsequent cash-receipts or traced our samples taken to invoices and delivery notes.
In addition to the procedures described above, we considered the risk of management override by testing the monthly key control of matching sales subledger to the general ledger. Together with this control we checked whether any other persons than accounting staff have performed journal entries in the revenue accounts and if user access rights in the general ledger are appropriately allocated.
Moreover, we assessed the Group's disclosures relating to revenue recognition.
For further information on revenue recognition refer to the following: Note 2.2 "Summary of significant accounting policies"
Other Information in the Annual Report
The Board of Directors is responsible for the other information in the annual report. The other information comprises all information included in the annual report, but does not include the consolidated financial statements, the stand-alone financial statements of the Company, the remuneration report and our auditor's reports thereon. Our opinion on the consolidated financial statements does not cover the other information in the annual report and we do not express any form of assurance conclusion thereon.
In connection with our audit of the consolidated financial statements, our responsibility is to read the other information in the annual report and, in doing so, consider whether the other information is materially inconsistent with the consolidated financial statements or our knowledge obtained in the audit, or otherwise appears to be materially misstated. If, based on the work we have performed, we conclude that there is a material misstatement of this other information, we are required to report that fact. We have nothing to report in this regard.
ON THE FINANCIAL STATEMENTS
Responsibility of the Board of Directors for the Consolidated Financial Statements
The Board of Directors is responsible for the preparation of the consolidated financial statements that give a true and fair view in accordance with IFRS and the provisions of Swiss law, and for such internal control as the Board of Directors determines is necessary to enable the preparation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.
In preparing the consolidated financial statements, the Board of Directors is responsible for assessing the Group's ability to continue as a going concern, disclosing, as applicable, matters related to going concern and using the going concern basis of accounting unless the Board of Directors either intends to liquidate the Group or to cease operations, or has no realistic alternative but to do so.
Auditor's Responsibilities for the Audit of the Consolidated Financial Statements
Our objectives are to obtain reasonable assurance about whether the consolidated financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor's report that includes our opinion. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with Swiss law, ISAs and Swiss Auditing Standards will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of these consolidated financial statements.
As part of an audit in accordance with Swiss law, ISAs and Swiss Auditing Standards, we exercise professional judgment and maintain professional skepticism throughout the audit. We also:
– Identify and assess the risks of material misstatement of the consolidated financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for our opinion. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control.
– Obtain an understanding of internal control relevant to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Group's internal control.
– Evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made.
– Conclude on the appropriateness of the Board of Directors' use of the going concern basis of accounting and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the Group's ability to continue as a going concern. If we conclude that a material uncertainty exists, we are required to draw attention in our auditor's report to the related disclosures in the consolidated financial statements or, if such disclosures are inadequate, to modify our opinion. Our conclusions are based on the audit evidence obtained up to the date of our auditor's report. However, future events or conditions may cause the Group to cease to continue as a going concern.
– Evaluate the overall presentation, structure and content of the consolidated financial statements, including the disclosures, and whether the consolidated financial statements represent the underlying transactions and events in a manner that achieves fair presentation.
– Obtain sufficient appropriate audit evidence regarding the financial information of the entities or business activities within the Group to express an opinion on the consolidated financial statements. We are responsible for the direction, supervision and performance of the Group audit. We remain solely responsible for our audit opinion.
ON THE FINANCIAL STATEMENTS
123
We communicate with the Board of Directors or its relevant committee regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that we identify during our audit.
We also provide the Board of Directors or its relevant committee with a statement that we have complied with relevant ethical requirements regarding independence, and communicate with them all relationships and other matters that may reasonably be thought to bear on our independence, and where applicable, actions taken to eliminate threats or safeguards applied.
From the matters communicated with the Board of Directors or its relevant committee, we determine those matters that were of most significance in the audit of the consolidated financial statements of the current period and are therefore the key audit matters. We describe these matters in our auditor's report, unless law or regulation precludes public disclosure about the matter or when, in extremely rare circumstances, we determine that a matter should not be communicated in our report because the adverse consequences of doing so would reasonably be expected to outweigh the public interest benefits of such communication.
Report on Other Legal and Regulatory Requirements
In accordance with article 728a para. 1 item 3 CO and the Swiss Auditing Standard 890, we confirm that an internal control system exists, which has been designed for the preparation of consolidated financial statements according to the instructions of the Board of Directors.
We recommend that the consolidated financial statements submitted to you be approved.
KPMG AG
Simon Niklaus Licensed Audit Expert Auditor in Charge
St. Gallen, March 2, 2022
Jan Bellinger Licensed Audit Expert
VAT GROUP AG, HAAG
124
Statutory financial statements VAT Group AG for the financial year from January 1 to December 31, 2021
Income statement
| Note | 2021 |
|---|---|
| | 120,000 |
| | 1,189 |
| 3.1 | 1,217 |
| | 122,406 |
| | –3,374 |
| | –2,369 |
| | –958 |
| 3.2 | –1,287 |
| | –7,988 |
| | –262 |
| | 114,156 |
Balance sheet
| Note | 2021 |
|---|---|
| | 5,520 |
| | 40 |
| | 277 |
| | 5,837 |
| 3.4 | 71 |
| | 71,840 |
| 3.3 | 502,850 |
| | 574,762 |
| | 580,599 |
| 3.4 | 0 |
| 3.5 | 27 |
| | 237 |
| 3.6 | 2,839 |
| | 3,103 |
| 3.4 | 200,000 |
| | 200,000 |
| | 203,103 |
| 3.7 | |
| | 3,000 |
| | 7,842 |
| | 3,682 |
| | 253,317 |
| | 114,156 |
| 3.8 | –4,501 |
| | 377,496 |
| | 580,599 |
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE STATUTORY FINANCIAL STATEMENTS
VAT GROUP AG, HAAG
Notes to the financial statements VAT Group AG
1. General information
VAT Group AG ("the Company") is the parent Company of the VAT Group. VAT Group AG was incorporated in Switzerland on February 25, 2016. The registered office of the Company is Seelistrasse 1, CH-9469 Haag, Switzerland. VAT Group AG is listed on the SIX Swiss Exchange since April 14, 2016.
2. Basis of preparation
2.1 General
These financial statements were prepared according to the provisions of the Swiss Law on Accounting and Financial Reporting (32 nd title of the Swiss Code of Obligations). Where not prescribed by law, the significant accounting and valuation principles applied are described below.
2.2 Investments in subsidiaries
Investments are valued and accounted for separately at the respective acquisition costs. If there are concrete indications that an investment is overvalued, an impairment loss is recognized.
3. Information on income statement and balance sheet items
3.1 Other financial income
Other financial income for the year 2021 consists of gains from the disposal of treasury shares and amounts to CHF 1.2 million (prior year: CHF 0.5 million). The remaining amount results from net foreign exchange gains on financing activities.
3.2 Other operating expenses
3.3 Significant investments in subsidiaries
VAT Group AG holds the following investment as of December 31:
| Company | Currency | Capital in thousands | | |
|---|---|---|---|---|
| | | 2021 | 2020 | 2021 |
| VAT Management S.à r.l. | CHF | 30 | 30 | 100% |
The indirect investments are shown in note 6.4 of the consolidated financial statements of VAT Group.
3.4 Interest-bearing liabilities
The terms and conditions of outstanding loans due to third parties are as follows:
0
0
| Currency | Nominal interest rate | Year of maturity |
|---|---|---|
| CHF | SARON 1m + 0.95% | 2023 |
| CHF | 1.50% | 2023 |
| Currency | Nominal interest rate | Year of maturity |
|---|---|---|
| CHF | CHF LIBOR 1m + 0.95% | 2023 |
| CHF | 1.50% | 2023 |
ANNUAL REPORT 2021
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE STATUTORY FINANCIAL STATEMENTS
VAT GROUP AG, HAAG
Financing expenses capitalized in connection with the Revolving Credit Facility (RCF) in prior years have been recognized in profit and loss in 2021. As at December 31, 2021, CHF 0.0 million (prior year: CHF 0.4 million) are recognized within "Prepayments and accrued income." CHF 0.0 million (prior year: CHF 0.7 million) are disclosed as "Financial assets."
On May 23, 2018, VAT Group issued a fixed-rate bond with a nominal value of CHF 200.0 million, which is listed on the SIX Swiss Exchange (ISIN: CH0417086052). In connection with the bond, financing expenses in the amount of CHF 0.2 million (prior year: 0.2 million) are recognized within "Prepayments and accrued income." CHF 0.1 million (prior year: 0.3 million) are disclosed as "Financial assets." On December 31, 2021, the market value of the bond was CHF 203.6 million.
3.5 Other payables
3.6 Accrued expenses and deferred income
3.7 Equity
As of December 31, 2021, the share capital amounts to CHF 3.0 million and consists of 30,000,000 registered shares at par value of CHF 0.10 each.
The reserves from capital contributions consist of the premium from contribution in kind less issue stamp duty. From a fiscal point of view, any distributions made from reserves from capital contributions are treated the same as a repayment of share capital.
On March 29, 2016, a conditional capital increase of up to 1,500,000 shares was included in the articles of association of VAT Group AG which was not drawn as of December 31, 2021.
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE STATUTORY FINANCIAL STATEMENTS
VAT GROUP AG, HAAG
3.8 Treasury shares
| Number of shares | Average price | Number of shares |
|---|---|---|
| 8,327 | CHF 49.75 | 12,683 |
| 11,771 | CHF 369,08 | 342 |
| –5,715 | CHF 256.66 | –4,698 |
| 14,383 | CHF 312.97 | 8,327 |
On December 31, 2021, VAT Group held 14,383 treasury shares with an acquisition price of CHF 4.5 million.
4. Other information 4.1 Full-time equivalents
VAT Group AG does not have any employees.
4.2 Significant shareholders
The following shareholders owned more than 5% of voting rights as of December 31:
4.3 Shares held by the Board of Directors and the Group Executive Committee
As of December 31, the members of the Board of Directors and the Group Executive Committee held the shares listed in the following table:
0
As of December 31, 2021 and 2020, none of the members of the Board of Directors or the Group Executive Board held conversion rights or options, and no loans or credits were outstanding between the parties and the Company.
4.4 Shares granted to the Board of Directors
Members of the Board of Directors receive 30% of the total compensation in restricted shares. VAT Group granted 950 shares with a fair value of CHF 276 per share for the period 2020/21 (prior period: 1,421 shares, amounting to CHF 0.2 million). As of December 31, 2021, VAT Group AG allocated 485 shares (prior year: 911 shares) amounting to CHF 0.2 million (prior year: CHF 0.2 million) to its Board of Directors, which will be transferred in financial year 2022.
4.5 Significant events after the balance sheet date
There are no significant events after the balance sheet date which could impact the book value of the assets or liabilities or which should be disclosed here.
VAT GROUP AG
ANNUAL REPORT 2021
NOTES TO THE STATUTORY FINANCIAL STATEMENTS
VAT GROUP AG, HAAG
Proposed appropriation of available earnings
Proposal for the appropriation of available earnings by the Board of Directors to the General Meeting:
Appropriation of available earnings as proposed by the Board of Directors
The Board of Directors proposes to the General Meeting the following appropriation of available earnings:
Appropriation of reserves from capital contributions
The Board of Directors proposes to the General Meeting to pay a dividend of CHF 165.0 million, CHF 157.5 million from accumulated gains and CHF 7.5 million from the reserves from capital contributions.
The number of shares with dividend rights will change if the number of own shares held by VAT Group AG changes. The Board of Directors may therefore adapt the total amount of the proposed dividend to the number of shares with dividend rights at the General Meeting.
Statutory Auditor's Report
To the General Meeting of VAT Group AG, Sennwald
Report on the Audit of the Financial Statements Opinion
We have audited the financial statements of VAT Group AG, which comprise the balance sheet as at December 31, 2021, and the income statement for the year then ended, and notes to the financial statements, including a summary of significant accounting policies.
In our opinion the financial statements (pages 124 to 131) for the year ended December 31, 2021 comply with Swiss law and the Company's articles of incorporation.
Basis for Opinion
We conducted our audit in accordance with Swiss law and Swiss Auditing Standards. Our responsibilities under those provisions and standards are further described in the Auditor's Responsibilities for the Audit of the Financial Statements section of our report. We are independent of the entity in accordance with the provisions of Swiss law and the requirements of the Swiss audit profession and we have fulfilled our other ethical responsibilities in accordance with these requirements.
We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.
Report on Key Audit Matters based on the circular 1/2015 of the Federal Audit Oversight Authority
Key audit matters are those matters that, in our professional judgment, were of most significance in our audit of the financial statements of the current period. We have determined that there are no key audit matters to communicate in our report.
FINANCIAL STATEMENTS VAT GROUP AG, HAAG
Responsibility of the Board of Directors for the Financial Statements
The Board of Directors is responsible for the preparation of the financial statements in accordance with the provisions of Swiss law and the Company's articles of incorporation, and for such internal control as the Board of Directors determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.
In preparing the financial statements, the Board of Directors is responsible for assessing the entity's ability to continue as a going concern, disclosing, as applicable, matters related to going concern and using the going concern basis of accounting unless the Board of Directors either intends to liquidate the entity or to cease operations, or has no realistic alternative but to do so.
Auditor's Responsibilities for the Audit of the Financial Statements
Our objectives are to obtain reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor's report that includes our opinion. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with Swiss law and Swiss Auditing Standards will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of these financial statements.
As part of an audit in accordance with Swiss law and Swiss Auditing Standards, we exercise professional judgment and maintain professional skepticism throughout the audit. We also:
– Identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for our opinion. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control.
– Obtain an understanding of internal control relevant to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of internal control.
– Evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made.
– Conclude on the appropriateness of the Board of Directors' use of the going concern basis of accounting and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the entity's ability to continue as a going concern. If we conclude that a material uncertainty exists, we are required to draw attention in our auditor's report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify our opinion. Our conclusions are based on the audit evidence obtained up to the date of our auditor's report. However, future events or conditions may cause the entity to cease to continue as a going concern.
We communicate with the Board of Directors or its relevant committee regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that we identify during our audit.
We also provide the Board of Directors or its relevant committee with a statement that we have complied with relevant ethical requirements regarding independence, and communicate with them all relationships and other matters that may reasonably be thought to bear on our independence, and where applicable, actions taken to eliminate threats or safeguards applied.
From the matters communicated with the Board of Directors or its relevant committee, we determine those matters that were of most significance in the audit of the financial statements of the current period and are therefore the key audit matters. We describe these matters in our auditor's report, unless law or regulation precludes public disclosure about the matter or when, in extremely rare circumstances, we determine that a matter should not be communicated in our report because the adverse consequences of doing so would reasonably be expected to outweigh the public interest benefits of such communication.
Report on Other Legal and Regulatory Requirements
In accordance with article 728a para. 1 item 3 CO and the Swiss Auditing Standard 890, we confirm that an internal control system exists, which has been designed for the preparation of financial statements according to the instructions of the Board of Directors.
We further confirm that the proposed appropriation of available earnings complies with Swiss law and the Company's articles of incorporation. We recommend that the financial statements submitted to you be approved.
KPMG AG
Simon Niklaus Licensed Audit Expert Auditor in Charge
St. Gallen, March 2, 2022
Jan Bellinger Licensed Audit Expert
SHAREHOLDER INFORMATION
135
Shareholder Information
Driven by its strong business performance and a generally positive stock market climate, VAT's share price more than doubled during 2021. The company's primary end market, the semiconductor sector, saw record levels of capital investment to expand capacity in response to short-term chip shortages and continued longterm demand drivers, such as Big Data, device interconnectivity, the Internet of Things and artificial intelligence. The widespread shift to home office and increased e-commerce resulting from the COVID-19 pandemic continued in 2021 and further supported demand for semiconductors.
Record sales and ongoing internal improvement measures allowed VAT to increase its EBITDA margin by 4 percentage points compared with 2020, reaching a record 34.2%. Free cash flow also reached an alltime high, allowing VAT's Board of Directors to propose to shareholders an increase of its regular dividend to CHF 5.50 per share from CHF 4.50 a year earlier.
Stable shareholder base
VAT's core shareholder base remained largely unchanged compared with 2020, with the exception of Ameriprise Financial, who reduced their holdings during 2021 from 4% at the end of 2020 to below the SIX Swiss Exchange's reporting threshold of 3%. As of the publication of this annual report, there are four shareholders who each own more than 3% of VAT's outstanding shares and whose cumulative shareholding amounts to about 24% of VAT's shares. The free float of VAT shares, as defined by the SIX Swiss Exchange, was approximately 90% at the end of 2021. The number of registered shareholders increased from about 10,500 at the end of 2020 to about 13,400 at the end of 2020.
Share price development
VACN SPI ex SLI rebased to VACN Volume
In 2021, the price of VAT shares increased by 105% from CHF 220.80 to CHF 454.20. During the same period, the Swiss stock market as measured by the SPI ex SLI TR Index increased by 20%. On May 25, 2021, shareholders received a dividend of CHF 4.50 per share, half of the amount paid from capital contribution reserves, the other half from accumulated gains.
Stock exchange listing
| Ticker symbol | VACN (SIX); VACN.S (Reuters); VACN SW (Bloomberg) | Legal Entity Identifier (LEI) | 529900MVFK7NVALR7Y83 |
|---|---|---|---|
| Valor number | 31 186 490 | Nominal value | CHF 0.10 per share |
| ISIN | CH0311864901 | Free Float | Approximately 90% |
| Market capitalization as of December 31, 2019 | CHF 13.6 bn | Number of shares outstanding | 30,000,000 |
Distribution of shareholders by domicile and breakdown of registered shareholders by numbers of shares held
The vast majority of registered shares not held in Switzerland are held in the rest of Europe (mainly the UK) and the US.
Number of shares held
| 1–100 shares | 7,682 |
|---|---|
| 101–1,000 shares | 4,922 |
| 1,001–10,000 shares | 676 |
| 10,001–100,000 shares | 110 |
| 100,001–1,000,000 | 15 |
| More than 1,000,000 shares | 3 |
Market Capitalization in CHF bn as of December 31, 2021 13.6
Dividend Payout Ratio in % of Free Cash Flow to Equity 85.9
Disclosure of shareholdings
With effect from January 1, 2016, under Art. 110 of the Federal Act on Financial Market Infrastructure (FinMIA), anyone who acquires or sells equity securities on their own account and thereby attains, falls below or exceeds the threshold of 3, 5, 10, 15, 20, 25, 33⅓, 50 or 66⅔% of the voting rights in a company (whether or not such rights may be exercised), is subject to a reporting obligation. This obligation applies to anyone who directly, indirectly or in concert with third parties acquires or disposes of shares in a company incorporated in Switzerland whose equity securities are listed in whole or in part in Switzerland. It also applies to anyone who can exercise the voting rights attached to such equity securities at their own discretion. Disclosure must be made to the company and stock exchanges on which the equity securities in question are listed.
Significant shareholders
Information on significant shareholders is disclosed on page 43 of this report.
Dividend policy
VAT Group AG is committed to an attractive dividend policy that reflects the company's strong free cash flow generation and solid balance sheet. In line with this policy, VAT Group intends to distribute to its shareholders up to 100% of free cash flow to equity (FCFE) so long as the Group's net debt does not significantly exceed 1x EBITDA.
At its Annual General Meeting on May 17, 2022, VAT's Board of Directors will propose dividend for the fiscal year ending December 31, 2021, of CHF 5.50 per registered share, an increase of CHF 1.00 or 22%. CHF 5.25 of this amount will be paid from the company's accumulated gains and CHF 0.25 per registered share from the company's remaining CHF 7.8 million of reserves from capital contributions.
Disclosure policy
VAT Group AG is committed to open and transparent communication with shareholders, financial analysts, customers, suppliers and all other stakeholders. VAT aims to communicate material developments in its businesses in a timely manner and in compliance with the rules of the SIX Swiss Exchange.
Investor Relations
VAT's Investor Relations team manages the company's interaction with the financial community, including attendance at key investor conferences and providing institutional investors and analysts with various opportunities to learn more about VAT Group's strategy, business operations and governance. Investor Relations is based at the Group's headquarters in Haag, Switzerland.
More information is available on the VAT Group website: https://ir.vatvalve.com.
Key data on VAT registered shares
| | | 2021 |
|---|---|---|
| Share capital | CHF | 3,000,000 |
| Number of shares on December 31 | | 30,000,000 |
| Nominal value per share | CHF | 0.10 |
| Shares outstanding | | 30,000,000 |
| EBITDA per share | CHF | 10.26 |
| Free cash flow per share | CHF | 6.52 |
| Book value per share | CHF | 21.15 |
| Dividend per share1 | CHF | 5.50 |
| Share price high | CHF | 484.20 |
| Share price low | CHF | 219.60 |
| Closing share price on December 31 | CHF | 454.40 |
| Average daily trading volume | Shares | 81,002 |
| Average daily trading value | CHF million | 27.0 |
1Proposed by the Board of Directors
Financial Calendar
| Date 2022 | Event |
|---|---|
| Thursday, April 14, 2022 | Q1 2022 trading update |
| Friday, May 6, 2022 | Record day |
| Tuesday, May 17, 2022 | Annual General Meeting 2022 |
| Thursday, May 19, 2022 | Ex-date |
| Monday, May 23, 2022 | Dividend payment |
| Thursday, August 4, 2022 | Half-year 2022 results |
| Thursday, October 13, 2022 | Q3 2022 trading update |
5-year key figures
| In CHF million | 2021 | 2020 restated1 | 2019 restated | 2018 restated | 2017 | CAGR 2017–2021 |
|---|---|---|---|---|---|---|
| Order intake | 1,227.9 | 724.5 | 585.0 | 648.0 | 736.2 | 13.6% |
| Order backlog as of December 31 | 461.2 | 145.3 | 114.5 | 113.6 | 165.6 | 29.2% |
| Net sales | 901.2 | 692.4 | 570.4 | 698.1 | 692.4 | 6.8% |
| Gross profit | 570.5 | 430.1 | 345.4 | 419.5 | 431.9 | 7.2% |
| Gross profit margin | 63.3% | 62.1% | 60.6% | 60.1% | 62.4% | – |
| EBITDA adjusted 2 | – | – | – | – | 215.1 | – |
| EBITDA margin adjusted | – | – | – | – | 31.1% | – |
| EBITDA | 307.9 | 210.5 | 148.2 | 214.0 | 212.2 | 9.8% |
| EBITDA margin | 34.2% | 30.4% | 26.0% | 30.7% | 30.6% | – |
| EBIT | 264.9 | 169.8 | 102.5 | 178.8 | 178.7 | 10.3% |
| EBIT margin | 29.4% | 24.5% | 18.0% | 25.6% | 25.8% | – |
| Net income | 217.4 | 127.9 | 70.3 | 134.9 | 115.7 | 17.1% |
| Net income margin | 24.1% | 18.5% | 12.3% | 19.3% | 16.7% | – |
| Basic earnings per share (in CHF) | 7.25 | 4.27 | 2.34 | 4.50 | 3.86 | 17.1% |
| Diluted earnings per share (in CHF) | 7.24 | 4.26 | 2.34 | 4.50 | 3.86 | 17.1% |
| Cash flow from operating activities | 239.8 | 166.2 | 151.9 | 170.5 | 155.6 | 11.4% |
| Capex 3 | 44.1 | 19.2 | 12.1 | 46.6 | 47.6 | –2.7% |
| Capex margin | 4.9% | 2.8% | 2.1% | 6.7% | 6.9% | – |
| Free cash flow 4 | 195.7 | 147.0 | 139.9 | 123.9 | 108.5 | 15.9% |
| Free cash flow margin | 21.7% | 21.2% | 24.5% | 17.7% | 15.7% | – |
| Free cash flow conversion rate 5 | 63.6% | 69.8% | 94.4% | 57.9% | 51.1% | – |
| Free cash flow to equity 6 | 192.0 | 143.0 | 135.4 | 119.6 | 104.4 | 16.5% |
| As of December 31 In CHF million | 2021 | 2020 restated | 2019 restated | 2018 restated | 2017 | CAGR 2015–2019 |
|---|---|---|---|---|---|---|
| Total assets | 1,064.9 | 989.1 | 966.5 | 967.3 | 991.1 | 1.8% |
| Total liabilities | 430.5 | 444.5 | 448.3 | 403.9 | 433.1 | –0.2% |
| Equity | 634.4 | 544.6 | 518.2 | 563.4 | 558.0 | 3.3% |
| Net debt | 79.7 | 128.5 | 144.3 | 147.6 | 143.7 | –13.7% |
| Net debt/EBITDA | 0.3 | 0.6 | 0.9 | 0.7 | 0.7 | –21.4% |
| Invested capital 7 | 463.9 | 411.1 | 350.0 | 357.4 | 327.0 | 9.1% |
| NOPAT 8 | 235.5 | 155.6 | 99.0 | 163.4 | 159.6 | 10.2% |
| Return on invested capital (ROIC) | 53.8% | 40.6% | 28.0% | 47.7% | 55.7% | – |
| Dividend per share 9 (in CHF) | 5.50 | 4.50 | 4.00 | 4.00 | 4.00 | – |
| Payout ratio 10 | 85.9% | 94.4% | 88.6% | 100.4% | 115.0% | – |
| Number of employees 11 | 2,540 | 2,041 | 1,810 | 1,712 | 1,946 | 6.9% |
1 Prior-period financial statements have been restated in line with a clarification in 2021 by the IFRS Interpretations Committee that costs for cloud-based services, such as VAT's new ERP system, are to be expensed through the income statement when they occur, rather than capitalized.
2 Adjusted EBITDA in 2017 excludes one-off items related to the IPO in April 2016.
7 Invested capital is defined as total assets (excluding current income tax receivables, goodwill, acquired technology & customer relationships, brands & trademarks, deferred income taxes and current income tax liabilities) less non-current liabilities (excluding loans & borrowings and deferred income tax liabilities).
3 Capex comprises acquisitions of subsidiaries net of cash, purchases of property, plant and equipment, and intangible assets and proceeds from sale of property, plant and equipment.
4 Free cash flow is calculated as cash flow from operating activities minus cash flow from investing activities.
5
The free cash flow conversion rate is calculated as free cash flow as a percentage
of EBITDA. 6 Free cash flow to equity is calculated as cash flow from operating activities less cash flow from investing activities less interest paid and the current portion of loan and borrowings due at the end of the period.
8 Net operating profit less adjusted taxes (NOPAT) is calculated as EBITDA minus depreciation and amortization (excluding amortization of acquired technology and customer relationships) plus finance income (excluding net foreign exchange gains/losses from financing activity and excluding other finance income) less taxes at the average Group rate of 16.0% (previous year 16.0%).
9 2021 dividend proposal of the VAT Board of Directors to its shareholders at the AGM on May 17, 2022; CHF 5.25 per share to be paid from accumulated gains, CHF 0.25 to be paid from reserves from capital contributions.
10Percentage of free cash flow to equity proposed to be paid out as dividend.
11Number of employees expressed as full-time equivalents (FTE).
|
Labour migration in the hospitality sector
A KPMG report for the British Hospitality Association
March 2017
Important Notice
This document, "Labour migration in the hospitality sector" has been prepared by KPMG LLP ("KPMG") in accordance with specific terms of reference ("terms of reference") agreed between the British Hospitality Association, "the Client", and KPMG LLP, dated 29 November 2016.
This report should not therefore be regarded as suitable to be used or relied on by any other person for any purpose. This report is issued on the basis that it is for information purposes only. Should anyone choose to rely on this report, they do so at their own risk. Without prejudice to KPMG's liability to the Client subject to and in accordance with the terms of engagement agreed between them, KPMG will accordingly accept no responsibility or liability in respect of this report to any person. This report does not give rise to a client relationship between KPMG and any person (other than the Client).
Without prejudice to any rights that the Client may have, subject to and in accordance with the terms of engagement agreed between the Client and KPMG, no person is permitted to copy, reproduce or disclose the whole or any part of this report unless required to do so by law or by a competent regulatory authority.
KPMG's work for the Client, on which this report is based, comprised desk-based analysis of publicly available information as well as analysis of data collected from the Client's members.
KPMG does not provide any assurance as to the appropriateness or accuracy of sources of information relied upon and KPMG does not accept any responsibility for the underlying data used in this report. For this report the Client has not engaged KPMG to perform an assurance engagement conducted in accordance with any generally accepted assurance standards and consequently no assurance opinion is expressed.
The opinions and conclusions expressed in this report are (subject to the foregoing) those of KPMG and do not necessarily align with those of the British Hospitality Association.
Acknowledgements
Thanks to Madeleine Sumption at the University of Oxford, who provided advice on the data analysis and methodology, in a personal capacity.
Contents
1 Executive summary
Key findings
* Between 12.3% and 23.7% of the UK hospitality sector workforce is currently made up of EU nationals.
* In a scenario in which there is no new migration into the UK hospitality sector from 2019; existing EU nationals are not required to leave; and the recruitment of UK and rest of world workers remains constant, we estimate that the hospitality sector faces a recruitment shortfall of upwards of 60k per annum workers from 2019.
* Based on this scenario, by 2029, the hospitality sector could face a total recruitment gap of over 1 million workers (over a quarter of its expected total ~3.5m employment) due to lack of access to EU workers unless it is able to replace EU workers with other types of employees – from other sectors, the unemployed and those not currently in the workforce.
* However, it will be hard to fill the potential recruitment gap with the current unemployed and inactive population – existing vacancies in the hospitality sector are already proving hard to fill despite existing initiatives in place to attract these workers.
* There may be some scope to reduce the sector's labour force requirements through productivity improvements and automation, however extensive productivity gains are unlikely to be possible due to the manual nature of many of the roles and the demand from customers for the human interaction that typifies the sector.
* Long term, it may be possible to recruit some more unemployed or inactive workers into the hospitality sector, and to reduce head count requirement through productivity gains and increased retention. However, in the short to medium term, the recruitment gap is unlikely to be met through these routes.
* Regions such as London (with 25.7% - 38.0% EU nationals), service lines such as hotels (22.1% - 34.1% EU migrants) and restaurants (13.8% - 26.1% EU nationals) and within these businesses, roles including waiters and waitresses (75.3% EU nationals), chefs (24.6% EU nationals) and housekeeping staff (37.1% EU nationals) are more highly reliant on EU workers.
The hospitality sector currently needs around 62,000 new EU migrants 1 per annum to maintain its current activities and to grow.
The UK hospitality sector is highly reliant on EU nationals, with between 12.3% and 23.7% of the sector's workforce made up of EU migrants. KPMG estimates that the hospitality sector currently requires 62,000 EU migrants per annum to be able to maintain current activities and to grow.
Figure 1 illustrates the current labour flows in the hospitality sector and the determinants of the total labour requirement. To maintain the stock of workers in the sector, the sector needs
1 In this report, by the term "EU migrants" or "EU nationals" w e refer to all non-British EEA nationals.
to recruit workers to replace workers who leave the sector and fill jobs created through employment growth.
Source: KPMG analysis
The sector currently has five main sources of labour from which it can recruit:
1 UK unemployed labour;
2 UK economically inactive;
3 UK workers from other UK sectors;
4 EU nationals; and
5 rest of the world nationals.
Even with the current open access to the EU labour market, the hospitality sector faces a challenge in recruiting enough workers to meet its needs. The sector has a higher proportion of hard-to-fill vacancies, and greater growth in the number of monthly job postings, than any other sector.
The recruitment gap will increase over time if EU migrant workers cannot be replaced with other workers.
The combination of employment attrition from the sector and the continued growth of the hospitality sector means any annual shortfall in the inflow of new workers will have a cumulative impact over time.
Figure 2 below shows the cumulative impact of zero EU migration into the hospitality sector from 2019, after 10 years, if the recruitment need is not filled from other sources.
Critically, this shortfall is not a prediction of the actual shortage of workers that the UK hospitality sector will experience. Rather it represents the additional recruitment challenge the sector will face if EU migration into the UK hospitality sector fell to zero from 2019.
Source: KPMG analysis
This estimate is based on an estimate of current employment in the hospitality sector of around 3.0 million workers.
Whilst the research focus of this report is on the hospitality sector, the BHA represents the whole of the hospitality and tourism industry.
There is some overlap between the hospitality and tourism sectors, with sub-industries such as hotels and similar accommodation being captured under both sectors. Despite this overlap, the tourism sector has not been completely captured under the definition of the hospitality sector used within this report.
The BHA estimates that there were 4.5 million 2 workers employed in the hospitality and tourism sectors combined as of 2014 (1.6 million workers over and above those captured within the definition of the hospitality industry). Therefore, whilst we are not able to extrapolate our analysis directly to cover the tourism sector, it is clear that when taking into account both the hospitality and tourism sectors the implied recruitment gap if there was no new EU migration into the sectors combined as of 2019 would be even greater.
2 http://www.bha.org.uk/wordpress/wp-content/uploads/2015/11/Backing-the-future-for-hospitality-and-tourism-web.pdf
The hospitality sector is already struggling to recruit enough workers to fill its vacancies.
The hospitality sector 3 has the highest number of vacancies as a share of its total employment compared to any other sector 4 and the number of vacancies has grown by 79% in the last 5 years. A third of all vacancies in the sector are classed as hard-to-fill 5 vacancies.
Key drivers of this are: the high rate of staff turnover in the sector, the lack of interest in hospitality jobs among UK workers and job seekers; and skills gaps.
It will be hard to fill the recruitment gap with UK unemployed workers, inactive persons or workers in other sectors.
Low rates of unemployment in the UK as a whole mean that there are simply not enough unemployed workers in the right places to fill the recruitment needs that would be generated by a complete cut off of the inflow of EU migrants into the UK hospitality sector.
In 2016, there were 1.3 million unemployed workers within the UK. Unemployment is currently 4.8% nationally, the lowest it has been for 11 years.
Of these, 44.2% were long-term unemployed, meaning that they have been unemployed for 6 months or longer. Third-party research shows there are additional challenges in recruiting from the pool of long term unemployed, due to skills atrophy and a lack of work-readiness. This contributes to job finding rates declining by approximately 50% within eight months of unemployment. 6
Similar challenges are faced in attracting and recruiting currently inactive persons.
Furthermore, the regions of the UK which are most reliant on EU nationals, such as London and the East of England, are those with the lowest rate of unemployment and inactivity and, therefore, the smallest available pool of unemployed labour. In short, even when there are unemployed workers in the UK, they tend to be located in the wrong place to mitigate for any future loss of hospitality workers from the EU. Not only that, UK workers tend to be less willing to move to where the work is than employees from overseas who are, by definition, already fundamentally geographically mobile.
While there may be opportunities for hospitality companies to recruit from other sectors, the hospitality sector faces challenges in attracting UK workers due to inherent negative perceptions of it among UK job-seekers (evident from KPMG's survey of the industry). The hospitality sector is already working to address these challenges but more needs to be done. However it will take time for action by the industry to feed through and change perceptions.
Furthermore, the hospitality sector will not be alone in facing a recruitment shortfall if EU migration into the UK were restricted, meaning overall competition among employers for suitable workers is likely to increase.
3 We use the hotel and restaurant sector as a proxy for the hospitality sector.
4 UK Commission's Employer Skills Survey
5 These are positions that respondents to the UKCES Survey reported that they w ere finding it difficult to fill, for any reason. UKCES (2016) UKCES explains: skills shortage vacancies. Accessed: https://ukces.blog.gov.uk/2016/01/29/ukces-explainsskills-shortage-vacancies/
6 World Economic Forum, 2016, The longer you're unemployed, the less likely you are to find a job. Why? (available at https://www.weforum.org/agenda/2016/08/the-longer-youre-unemployed-the-less-likely-you-are-to-find-a-job-why)
Other sectors such as retail, construction, care and manufacturing are likely to see a similar shortfall in their available service workforce.
When taking into account the estimated flows of EU migrant workers into service roles in these sectors, the shortfall generated by a cut off of the inflow of EU migrant service workers to the UK could reach 1 million within 5 years and 2 million within 10 years.
Hospitality will be affected by restrictions to EU migration more than any other sector.
The existing challenges in recruiting to the sector, combined with the sector's high reliance on an EU workforce means that the hospitality sector will be more heavily hit by any other sector by any restrictions to the availability of EU migrant workers.
LFS data suggests that the hospitality sector 7 is the business sector with the greatest proportion of EU nationals as a percentage of total workforce, with 12.3% of workers coming from the EU, compared to 6.9% across all sectors. This reliance could be even higher based on insights from KPMG's survey of BHA members which estimates that the EU nationals make up 23.7% of those employed in the hospitality sector. The actual share of EU nationals employed in the hospitality sector compared to all sectors is uncertain as the LFS may also underestimate the number of EU nationals working in other sectors. However, our research suggests that the LFS may underestimate the number of EU nationals in the hospitality sector more than the general workforce, which means that the relative share of EU nationals in the hospitality sector would be even higher than the LFS suggests compared to other sectors.
Within the hospitality sector, specific regions, services lines and roles will be more heavily affected.
Sector level averages mask disparity in the reliance on EU workers, and availability of an alternative labour supply, across regions, service lines, roles, and individual businesses.
London is more reliant on EU nationals than other regions, with between 25.7% 8 and 38.0% 9 of its total hospitality sector workforce made up of EU nationals.
Among the sub-industries of hospitality, hotels (with between 22.1% and 34.1% of the workforce being EU nationals) and restaurants (with between and 13.8% and 26.1% of the workforce being EU nationals) are most reliant on EU workers. 10 Within these industries, roles including waiters and waitresses (75.3% EU nationals), chefs (24.6% EU nationals) and housekeeping staff (37.1% EU nationals) are more highly reliant on EU workers. 11
These are the areas where a shortfall in EU workers could hit most significantly.
7 Based on the SIC and SOC code definitions used by Oxford Economics (Oxford Economics. 'The economic contribution of the UK hospitality industry, A report prepared by Oxford Economics for the British Hospitality Association'. September 2015). See footnote 16.
9 KPMG Survey of BHA members
8 Labour Force Survey
10 Ibid.
11 Ibid.
There are opportunities to reduce the impact of a reduction in the supply of EU migrant workers.
To attract more UK workers to the industry the sector will need to become more competitive within the labour market, and will likely need to employ a number of initiatives, at a business, sector and national level, to recruit the long-term unemployed and economically inactive workers. Examples include:
— introduction of or extension of employment programmes, e.g. apprenticeships and graduate schemes;
— increased training offerings, including training in hard skills e.g. for chefs;
— initiatives aimed at specific population groups e.g. the long-term unemployed and exprisoners;
— increased pay and/or reward packages;
— adoption of flexible working arrangements; and
— a move towards increased use of permanent contracts.
However there are limits in the extent to which some of these can be achieved.
One of the impacts of the introduction of the national living wage in the UK is that it reduces the extent to which the sector can use increased pay and reward packages to attract workers, as it reduces the scope for differentiation in pay among lower paid workers.
In relation to flexibility working arrangements and permanent contracts, while the sector can take action in these areas, the underlying operational needs of the sector limit the extent to which it can adapt to the understandable work-life balance needs of many workers.
A further option for the sector would be to reduce the impact of a reduction in the supply of EU migrant workers by reducing the overall labour intensity of its operations through increased labour productivity, and/or increased capital investment (for example increased automation).
However, the nature of the industry means that opportunities for productivity gains and automation are limited.
The hospitality sector will need time to address the recruitment gap.
Due to the challenges highlighted, the transition of the sector to increased recruitment of more UK workers, and/or increased productivity and automation, will take time.
While the majority of BHA members considered that they would be able to offset a reduction in the available EU workforce to some extent, two fifths of respondents considered that this would only be possible to a small extent, and only a fifth considered it would be possible completely or to a large extent.
Figure 3: The extent to which BHA members would be able to offset any potential reduction in the available EU workforce through an increase in their UK workforce
Source: KPMG survey of BHA members
Furthermore, only 14% of respondents considered any offsetting (to the varying extents) would be possible within 1 year, with a further 23% thinking it possible within 3 years. Almost a third thought it would only be possible within a 5-10 year time period.
And the hospitality sector will need support to overcome the challenges it faces.
BHA members consider that investment will be needed by the sector, and Government, in skills and training, and promotion of the industry.
Furthermore, BHA members report that the hospitality sector will need support to overcome the additional costs generated by a reduction in the available EU workforce, including recruitment costs, potential wage inflation and training costs. These will hit at a time when margins have already been squeezed as a result of business rates and the national minimum wage.
Despite the opportunities for reducing the size and/or the impact of the recruitment gap, the available solutions and forms of support are likely to take time to achieve results. The hospitality sector is unlikely to be able to meet the recruitment gap in the short-term, and may suffer through restricted growth as a result.
2 Context behind this KPMG analysis
In the EU referendum held on 23 June 2016, the UK public voted to leave the European Union (EU).
Whilst the full implication of this for Government policy is unknown at the time of writing this report.
The extent of any potential restrictions on EU nationals coming to live in the UK is still to be determined and we may not know the full extent of how they will be affected for months or even years. However, restrictions on the supply of labour from the EU for UK businesses that employ EU nationals would be expected to pose challenges to their business operations and may require action to mitigate any negative impacts.
The British Hospitality Association (BHA) commissioned KPMG to undertake independent analysis of the extent to which the UK hospitality sector currently relies on EU nationals and how the supply of labour in the sector may be affected were EU migration to the UK restricted.
In undertaking this report, KPMG has been supported by Madeline Sumption, an academic at the University of Oxford with particular expertise in migration research.
2.1 What our report and analysis covers
Our report and analysis is focussed on EU migration in the UK hospitality sector, and considers:
— the current reliance of the hospitality sector on EU nationals;
— the potential gap in available labour for the hospitality sector were EU migration into the UK hospitality sector to fall to zero from 2019; and
— the opportunities available to the sector to fill any gap in available labour from other sources, or through other means.
Our analysis draws on data from the Office for National Statistics (ONS) Labour Force Survey 12 , publicly available reports and data, a survey of BHA members 13 , and qualitative interviews with a selection of BHA members and immigration experts from outside the industry. 14
We provide details of our approach to this research and analysis in the appendices to this report.
12 Office of National Statistics, Labour Force Survey. See:
mi https://www.ons.gov.uk/employmentandlabourmarket/peopleinw ork/employmentandemployeetypes/qmis/labourforcesurveylfsq
13 A survey was sent to all BHA members and w e received 136 responses, covering 266,799 employees.
14 Stakeholders for interview were selected by the BHA. See Appendix 3 for a list of stakeholders consulted.
Our report does not provide recommendations on how policymakers may wish to proceed with immigration policy or wider public policy, either for the hospitality sector or more widely.
3 The UK hospitality sector is highly reliant on EU nationals
3.1 The hospitality sector employs an estimated 3m people
The hospitality sector makes a substantial contribution to UK employment and growth.
We estimate that in 2016 the hospitality sector employed 15 a total of 3.0 million people in the UK. 16
The sector has also contributed disproportionately to employment growth in the UK over the last few years. Since 2011, the hospitality sector has grown by 275,739 workers, or 13.0%, compared to 6.2% employment growth in the economy overall.
3.2 Official sources report that 12.3% of hospitality employees are EU nationals …
The Office for National Statistics (ONS) Labour Force Survey (LFS) is the only source of official data on breakdown of workers in the UK, including the proportion of the UK workforce that are EU nationals.
Our analysis of LFS data suggests that 12.3% of employees in the UK's hospitality sector are EU nationals 17 , compared to 72.7% who are British nationals and 15.0% are nationals of the rest of the world. 18
The UK hospitality sector employs a much higher proportion of EU nationals when compared to the UK workforce as a whole, where 6.9% of the workforce consist of EU nationals.
Furthermore, within the UK, the hospitality sector is the largest business sector employer of EU nationals as a proportion of total workforce. Among all sectors of employment only 'Activities by households as employers' comes higher in terms of employment of EU nationals as a proportion of workforce.
15 Including agency w orkers.
16 This figure is based on the definition of the hospitality sector used by Oxford Economics, in a report for the BHA. This includes Standard Industrial Classification ('SIC') codes: hotels and similar accommodation (5510); holiday and other short stay accommodation (5520); camping grounds, recreational vehicle parks and trailer parks (5530); other accommodation (5590); licensed restaurants (56101); unlicensed restaurants and cafes (56102); take away food shops and mobile food stands (56103); licensed clubs (56301); public houses and bars (56302); event catering activities (5621); other food service activities (5629); and convention and trade show organisers (8230); as well as Standard Occupational Codes to cover in-house catering employees in all sectors outside the core hospitality industry and an estimated share of temporary/agency employees w ithin the hospitality industry. We arrive at the 3 million figure by using Oxford Economics' estimate of employment in for 2014 and uplifting this based on the grow th in the number of employees in the sector derived from the Labour Force Survey based on the SIC and SOC code definitions used by Oxford Economics (Oxford Economics. 'The economic contribution of the UK hospitality industry, A report prepared by Oxford Economics for the British Hospitality Association'. September 2015)
18 Rest of the w orld excludes UK and EEA nationals.
17 In this report, by the term "EU nationals" w e refer to all non-British EEA nationals.
Source: KPMG analysis, LFS data
Overall, this suggests that the UK hospitality has a greater reliance on EU nationals in their workforce compared to other UK business sectors 19 and the UK workforce as a whole.
As a result, the hospitality sector is likely to be more significantly impacted by any change in the availability of EU labour than other sectors which rely less heavily on EU nationals.
3.3 … although we estimate that around a quarter of the hospitality sector's workers could potentially be EU nationals
Our survey of BHA members suggests that the UK hospitality sector's reliance on EU nationals could be much greater than is suggested by the LFS data.
Through the BHA survey, 136 BHA members, representing 266,799 employees, reported that, on average, 25.2% of their workforce was made up of EU nationals. 20 When adjusted to take account of a disproportionate representation of London businesses, this figure is 23.7%.
The LFS may, therefore, significantly underestimate the proportion of EU nationals in the hospitality sector.
This is quite possible, for a number of reasons (see Appendix 1 for a more detailed analysis of the issues):
19 The only sector w ith a higher proportion of EU nationals is activities of households as employers, w here employers are households rather than businesses.
20 KPMG survey analysis
— Firstly, the sample sizes used in the LFS provide reasonable confidence intervals around results at the aggregate level. However, when analysing sub-categories of individuals (such as EU nationals in the hospitality sector) the sample sizes can drop very low, resulting in higher standard errors and confidence intervals, and therefore less accurate results. For example, in each quarter, the LFS captures only around 3,000 hospitality sector workers and around 300 EU nationals in working in the sector.
— Secondly, the sampling methodology of the LFS means that it under-represents certain groups of individuals. The LFS sampling includes only those individuals who have been resident at a single residence for more than six months, and is based on private households (excluding communal residences such as hostels and employer accommodation). This means that it is excludes all temporary migrants who are in the UK for less than a six months and will also excludes any individuals who live in temporary or communal accommodation (which migrants are more likely to do).
— Thirdly, while the LFS can be considered representative of the overall population due to stratification in terms of respondents' age, gender and location, it is not stratified in terms of specific characteristics such as sector of work or nationality. This means that any under-representation of specific groups (as discussed above) would not be adjusted for.
The combination of these factors, means that estimates of the number of EU nationals in the hospitality sector based on LFS data may be inaccurate, and the number is likely to be underestimated.
The under-representation of nationals by the LFS is well recognised. 21 Furthermore, the reasons driving this under-representation are likely to impact the hospitality sector more than other sectors, due to its relatively greater reliance on temporary and seasonal workers, and the common provision of communal staff accommodation, particularly in the hotel sector.
Given these limitations, we consider that KPMG's survey of BHA members may be a more reliable source of estimates of the number of EU nationals in the hospitality sector.
In contrast to the LFS, the KPMG survey of BHA members covers 266,799 employees, approximately 8.9% of all employees in UK hospitality sector. It, therefore, provides far larger sample sizes in relation to coverage of hospitality sector employees and EU nationals within the sector. Furthermore, as the data is reported by businesses based on their current employee records, it should provide a comprehensive view of their whole workforce, regardless of length of tenure.
There is, however, potential for some bias in responses to our survey of BHA members that we should point out: it is possible that those who responded to the survey may be more likely to be businesses that are particularly concerned about the impact of changes to EU immigration policy, due, for example, to their employment of a higher than average percentage of EU nationals.
Taking into account, for the purposes of the analysis in this report, we consider the estimate of EU nationals in the hospitality sector generated by the LFS to constitute a lower bound,
21 See: The Migration Observatory, Migrants in the UK: An Overview, Feb 2017. Accessible from: http://www.migrationobservatory.ox.ac.uk/resources/briefings/migrants-in-the-uk-an-overview/; ESRC Centre on Migration Policy and society, Current data on international migration and migrants in the UK: implications for the development of the Migration Observatory at Oxford, June 2010. Accessible from: http://www.migrationobservatory.ox.ac.uk/wpcontent/uploads/2016/05/AlessioToR.pdf
and the estimate generated by the BHA survey to constitute an upper bound, with the true number of EU nationals within the UK hospitality likely to lie somewhere between the two.
These averages, however, mask significant variation in reliance on EU workers across sectors, service lines, roles and business to business.
3.4 London is more heavily reliant on EU nationals than other regions
The reliance on EU nationals by the hospitality sector varies significantly across the regions of the UK.
Source: KPMG analysis of LFS data and BHA survey data
The results from our survey of BHA members indicates that the LFS underestimates the proportion of hospitality sector that are EU nationals across all regions, though to a varying degree. EU nationals in Northern Ireland, the South West of England and Wales appear to be particularly under-represented when compared to the BHA survey data.
This could be for a number of reasons.
In the case of Northern Ireland, this may be driven by the fact that the LFS would not pick up hospitality sector workers who work in Northern Ireland but reside in the Republic of Ireland. However, these workers would be captured in the BHA member survey.
In the case of the South West of England and Wales, the more significant underestimation of EU nationals by the LFS that is indicated may be driven by the lower population density of these areas, meaning that the provision of staff accommodation for workers in the sector may be more prevalent.
Aside from Northern Ireland, the figure for which is likely to be explained by workers from the Republic of Ireland commuting over the border for work, it is clear that London is more reliant on EU workers than other regions. This is true both in terms of the proportion of the hospitality sector workforce made up of EU nationals, and the absolute number of EU nationals employed in the sector.
Further, evidence from our interviews with BHA members suggests that within businesses there is a disparity in reliance of EU nationals across sites. For example, one BHA member mentioned that they have a particular site where there is a small local labour pool and due to the seasonal nature of their business they struggle to recruit UK-born workers from the local region. As a result, they have a significantly higher proportion of their workforce that are EU nationals on this particular site, when compared to the businesses' other sites in the UK.
According to LFS data, London has the highest percentage of EU nationals working in the hospitality sector with 25.7% of hospitality sector workers coming from the EU in 2016. This rises to over a third in Central London.
Our survey of BHA members suggests an even higher percentage of EU nationals in the capital, with members based in the Greater London region reporting a weighted average of 38.0% of their workforce being EU nationals. This varies significantly across businesses and service lines, with one respondent based in Greater London reporting that 100% of their employees are EU nationals, and a number reporting figures of around 80-90%.
Qualitative evidence from the BHA survey and the interviews with BHA members suggest that in London the hotels and restaurants service lines rely more heavily on EU labour. Furthermore, as with the rest of the UK, in London EU nationals tend to be concentrated in roles such as chefs, front of house staff as well as cleaners and housekeeping.
Our interviews with BHA members provide insights as to why there may be a higher concentration of EU nationals in the hospitality sector in London.
One of the reasons cited for the high concentration of EU nationals in London is the high house and rental prices in the area. These can discourage UK workers from applying for hospitality jobs in London because they are unwilling to pay higher living costs or commute from outside of London. EU nationals on the other hand are more inclined to live in shared accommodation and also to commute longer distances. 22
Furthermore, BHA members have suggested that the Greater London region is more disposed to seasonal trends, peaking in the summer months. To deal with these peak seasons, businesses employ temporary workers. It is generally accepted that UK workers
22 Broughton, A. Adams, L. Cranney, M. Dobie, S. Marangozov, R. Markaki, Y. and Sumption, M., 2016, Recruitment in Britain: Examining employers' practices and attitudes to employing UK-born and foreign-born workers, Equality and Human Rights Commission Research report 104
are less willing to accept seasonal employment 23 , which means businesses turn to non-UK workers to make up their temporary staff.
3.5 There is a large disparity in employment of EU nationals across hospitality industry service lines
As well as variation across regions, the average figures for the sector mask significant disparity across service lines and roles in terms of the extent of reliance on EU nationals.
It should be noted that the sample sizes of some service lines are relatively small, particularly those in the LFS data, but also to an extent in the BHA survey. As a result, while the service line analysis provides an indication of the differences within the sector, the results are not as reliable as those for the sector as a whole.
Figure 6: Distribution of workforce by hospitality service line
| Percentage of workforce | Percentage of workforce |
|---|---|
| that are EU nationals (LFS | that are EU nationals (BHA |
| data) | survey data) |
Source: KPMG analysis of LFS data
Both the LFS and the BHA member survey indicate that the 'hotel and similar accommodation' services lines is one of the most reliant on EU nationals, with over a fifth of the workforce in this service line being EU nationals as reported by the LFS, and over a third being EU nationals based on the BHA member survey.
Within our interviews with BHA members a number of hotels reported EU nationals making up at least 50% of their total workforce. And in some cases EU nationals made up 80-90% of the total workforce.
23 Broughton, A. Adams, L. Cranney, M. Dobie, S. Marangozov, R. Markaki, Y. and Sumption, M., 2016, Recruitment in Britain: Examining employers' practices and attitudes to employing UK-born and foreign-born workers, Equality and Human Rights Commission Research report 104
24 The in-house catering sectors outside the core hospitality industry is not aligned to a specific SIC code. For this reason w e have been unable to analyse this service line using the LFS data.
25 We only received one response in this category and therefore do not consider the response to be representative.
However, even within each business type the proportion of EU nationals varies greatly across businesses. For example, within the 'hotels and similar accommodation' service line the reported proportion of the workforce that are EU nationals ranged between 0% and 100% among survey respondents, with a relatively even spread across all percentage groupings.
KPMG's interviews with BHA members revealed a number of reasons for the disparity of EU nationals across hospitality service lines. Industries such as the hotel industry value skills that EU nationals tend to possess such as language skills as well as customer service skills. In addition the results from the survey of BHA members shows that service lines with higher proportions of EU nationals, for example restaurants and cafes, tend to have a high number of low occupation level roles which EU nationals are more likely to be employed in. This is covered in more detail in Section 3.6.
3.6 43% of lower level occupations in the hospitality sector are filled by EU nationals
Similarly, LFS data shows EU nationals employed in the hospitality sector tend to be concentrated in lower level occupation groupings. Less than 1% of EU nationals in the hospitality sector were employed in the 'higher managerial and professional' occupation grouping in 2016. There is greater concentration of EU nationals in the lower-skilled 'Routine occupations' grouping, compared to UK and rest of world nationals.
Although a similar pattern is seen with UK workers and rest of world nationals employed in the hospitality sector, likely to be a result of pyramid-shaped organisational structures, there is an under-representation of EU nationals in higher occupation groupings and an overrepresentation of EU nationals in the lower-skilled occupations.
The concentration of EU nationals across different roles also varies greatly. The LFS does not provide data to the level of detail needed to analyse specific roles, therefore this analysis is based solely on data provided by the KPMG survey of BHA members. Results from the survey of BHA members suggest that three-quarters of waiter and waitress roles within the hospitality industry are occupied by EU nationals. Whereas, just 4.7% of customer service assistants are EU nationals.
Figure 7: Distribution of UK, EU nationals and rest of world nationals employed in hospitality across occupations 26
Source: KPMG analysis of LFS data
Figure 8: Percentage of workers in each role made up of EU nationals 27
| Percentage of workers in |
|---|
| each role made up of EU |
| nationals |
Source: KPMG analysis of BHA survey
The distribution of EU nationals across different roles within the hospitality sector means that any change in migration levels of EU nationals into the UK hospitality industry is likely to impact specific occupations more than others.
As shown above, EU nationals employed in the hospitality sector are more likely to be employed in lower level occupations when compared to UK-born and rest of work migrant employees. Therefore any restrictions on the inflow of EU migrants that discriminates against lower level workers, is likely to have a greater relative impact on the hospitality sector's ability to employ EU nationals in the future.
One of the key themes that emerged during KPMG's interviews with BHA members is that despite being thought of being low-skilled roles due to their service nature, a number of the
26 The sample sizes from the LFS data that this analysis is based on are small. As a result this analysis may not be considered to be robust.
27 The sample sizes from the BHA survey data that this analysis is based on are small. As a result this analysis may not be considered to be robust.
roles in the hospitality sector are far from being unskilled. In particular, hospitality roles often require softer skills such as customer service and language skills. EU nationals employed in the hospitality sector tend to be more highly-skilled than their UK-born counterparts (see Section 5.1 for further details). Without consideration of these skills whilst EU migration policy is being designed, the existing skills gap in the UK hospitality sector is likely to worsen through restrictions to EU migration.
Qualitative evidence from KPMG's interviews with BHA members suggest that the industry already struggles to recruit, with particular challenges in recruiting chefs, other kitchen staff, housekeeping and front of house staff. These roles align with findings from the BHA member survey which found that these are among the roles with the highest proportion of EU migrant workers.
4 Potential recruitment gap from restricted EU immigration
4.1 Each year, the hospitality sector needs to recruit new workers to the sector as a result of labour turnover and employment growth
The hospitality sector is associated with high levels of labour turnover.
The hospitality sector has high levels of staff turnover; each year it loses and has to recruit a large number of people relative to its total employment.
People 1 st estimate organisation level turnover 28 to be 30% in the sector. 29
However this could understate labour turnover in the sector – our survey of BHA members puts the estimate as high as 50.2%. Furthermore, the estimated average rate of turnover hides the nature of turnover which, anecdotally 30 , is split between team members who stay within an organisation for a number of years, and those who have much higher turnover rates, staying only a few months in role.
Not all those leaving their position at a hospitality sector organisation will leave the sector completely; many will move to another similar role within a different hospitality organisation.
However, data on the sector level turnover 31 is unavailable from any of the official statistics and our analysis has revealed that organisations tend not to capture the information needed to determine sector level turnover (such as information on where individuals move to when leaving their jobs) in a way that can be systematically reported. For these reasons, we have made a range of different assumptions on the rate of sector level turnover based on anecdotal evidence from the sector.
Figure 9 shows how the hospitality sector's requirement for new recruits depends on the assumed rate of attrition of workers from the sector (sector level turnover).
28 The proportion of individuals in UK hospitality roles that leave their job each year.
30 Based on interview s with BHA members.
29 State of the Nation (2013), People 1st
31 The proportion of individuals in UK hospitality roles that leave the sector each year – either moving to jobs in other sectors, moving into unemployment or inactivity, or leaving the country.
Figure 9: Total annual labour requirement assuming different rates of sector level turnover (presented as the % of those who leave jobs that leave the sector entirely)
Source: KPMG analysis
For the purposes of our analysis, following discussions with BHA members, we have assumed in the rest of our calculations that of all individuals that leave roles in the hospitality sector each year, between 10-30% leave the sector completely.
Based on current sector employment of 3.0 million workers, this equates to a recruitment need of between 91,000 and 272,000 for the sector in 2017 as a result of sector level turnover. This is based on a gross turnover figure of 30%, for which there is only one published source. 32
Growth of the sector generates additional employment needs.
The hospitality sector has seen significant employment growth over the last 5 years, and is forecast to grow further over the next 5-10 years.
The latest labour market projections produced by the UK Commission for Employment and Skills (UKCES) 33 , for the period 2014-2024, forecast that employment will grow by an average of 1.2% per annum between 2014 and 2019 for the 'accommodation' and 'food and
32 State of the Nation (2013), People 1st
33 UKCES Working Futures 2014 to 2024. Data accessible from: https://www.gov.uk/government/publications/ukces-labourmarket-projections-for-the-uk-2014-to-2024
beverage services' sectors, and by an average of 1.5% per annum between 2019 and 2024. 34
We use these forecast growth rates for the sector in our analysis and extend the projected growth rate for 2019-2024, of 1.5%, through to 2029.
Source: KPMG analysis of UKCES data
These forecasts potentially underestimate employment growth in the sector. For example, in its 2015 report for the BHA, Oxford Economics forecast that between 2014 and 2020 the hospitality sector would grow by an average of 2.2% per annum as a baseline scenario.
Due to this forecast extending only to 2020 we have not included it within our growth scenarios. However, it indicates that the employment growth projections produced by UKCES, focussed on the 'accommodation' and 'food and beverage services' sectors, may underestimate the potential for employment growth within the sector as a whole.
EU migrant workers currently enable the sector to fill its recruitment needs.
Combined, we estimate that sector level turnover and employment growth will generate a labour market requirement for workers from outside the sector of between 127,000 and 309,000 in 2017. This figure will increase over time as the total employment in the sector grows.
34 These are rounded figures. The exact compound average growth rates for these periods, based on employment projections, are used in the analysis.
This recruitment need is currently filled through a combination of:
— UK workers previously unemployed or inactive;
— UK workers moving from other sectors;
— EU nationals; and
— rest of the world nationals.
Therefore, assuming the continuation of current levels of recruitment from UK and rest of world migrant workforce, restrictions to new EU migrants entering the UK for work will generate a recruitment gap. 35
4.2 In 2016, 62,000 of all external recruits to the hospitality sector were from the EU
The primary source of UK immigration data, used by the ONS to measure Long Term International Migration (LTIM) 36 and Short Term International Migration (STIM) 37 , is the ONS International Passenger Survey (IPS). 3839
The latest IPS data 40 estimates that 180,000 EU migrants entered the UK in 2016 for work for a period of longer than a year. The latest available data on annual short term migration 41 estimates that 72,000 EU migrants entered the UK for work for a period of 3-12 months. 42
This implies an estimated total of 252,000 EU migrants entering the UK for work in 2016.
However, while data from the IPS is able to identify the reason for migration, it is does not identify the sectors into which those entering the UK for work go.
We must, therefore, estimate the number of new EU migrants entering the hospitality sector each year based on the data available to us. For the purposes of our analysis, we assume that new EU migrants enter UK sectors of employment in the same proportions as the existing stock of EU migrant workers across sectors. This may or may not be an accurate assumption but there is, in short, no obvious alternative way to apportion new EU workers to sectors (let alone an approach that would be more accurate).
As was explained in Section 2, we estimate that EU migrants may comprise up to 23.7% of the hospitality sector workforce. This figure equates to 707,000 EU migrant workers in the sector 43 . Based on the LFS estimate of the total number of EU migrant workers in the UK, of
35 The difference between estimated future employment needs in a given year and the estimated current levels of recruitment of UK and rest of w orld workers.
37 Migrants entering the UK for less than a year.
36 Migrants entering the UK for longer than a year.
38 ONS, Comparing sources of international migration statistics: December 2016. Accessible from: https://www.ons.gov.uk/peoplepopulationandcommunity/populationandmigration/internationalmigration/articles/comparingsource sofinternationalmigrationstatistics/december2016
40 ONS Migration Statistics Quarterly Report: Feb 2017.
39 The IPS collects information about passengers entering and leaving the UK, including the reason for entry and exit.
41 ONS Short-term international migration annual report: mid-2014 estimates, May 2016.
42 For the purposes of our analysis we have conservatively excluded any EU migrants entering the UK for a period of less than 3 months.
43 Based on a total UK hospitality sector w orkforce of 3 million.
2.2 million, this indicates that 32.1% of the total EU workforce in the UK are working in the hospitality sector.
This figure represents the upper bound in terms of the percentage of EU migrant workers in the UK that are working in the hospitality sector.
However, as is explained in Section 3.3, we know that the LFS has a tendency to underreport the number of EU migrants in the UK.
If the number of EU migrants in all UK sectors were under-reported to the same extent as the BHA member survey indicates for the hospitality sector, then this would imply that the total number of EU migrant workers in the UK was in fact 4.2 million. Based on this, the proportion of all EU migrant workers in the UK that are working in the hospitality sector would be 16.7%. This estimate would hold even if the true proportion of the UK hospitality sector workforce that are EU migrant workers were closer to the LFS estimate of 12.3%.
This figure, therefore, represents the lower bound in terms of the percentage of EU migrant workers in the UK that are working in the hospitality sector.
However, as discussed in Section 3.3, while it is reasonable to assume that the overall number of EU migrant workers in the UK is underestimated to some extent – meaning the true proportion that are working in the hospitality sector would be lower than 31%, the factors which result in under-representation of EU nationals are likely to be more prevalent in the hospitality sector than in other sectors – meaning the true proportion that are working in the hospitality sector would be greater than 16.7%.
Using the range of 16.7% - 32.1% as the potential range of proportions of EU migrant worker in the UK that are working in the hospitality sector, and applying this to estimate the number of new EU migrants that enter the hospitality sector, this implies that the number of EU migrants entering the hospitality sector each year lay somewhere within the upper and lower bounds of 42,000 and 81,000 in 2016.
We do not know where within this range the true value is most likely to sit although the range itself is, in our view, a reasonable approximation. In view of this, for the purposes of our analysis, we have used the mid-point of the range, of 62,000 EU migrant workers entering the hospitality sector in 2016, as our best estimate of the number of EU migrant workers that the sector currently relies on to fill its recruitment needs each year.
4.3 Restricted access to EU migrant workers will have a cumulative impact on the UK hospitality sector over time
Without EU migration to the UK, upwards of 60,000 workers per annum will no longer be available to meet workforce replacement and projected employment growth.
The absence of an inflow of new EU migrants into the sector each year would generate a recruitment gap which would grow over time.
Unless it can be filled with workers from other sources – such as other UK workers, workers from the rest of the world, or with people who are not currently a part of the economically active workforce – this recruitment gap will turn into an employment shortfall.
We estimate the cumulative recruitment gap generated for the hospitality sector should EU migration into the UK hospitality sector fall to zero from 2019 could reach almost 500,000 within 5 years of 2019, and almost 1 million by 2029. These figures represent 14% and 27% of projected total hospitality employment the respective years.
These estimates are presented in Figure 11 and Figure 12 below, with the range of estimates driven by the scenarios relating to the rate of sector level turnover.
Source: KPMG analysis
Source: KPMG analysis
Our estimates of the recruitment gap potentially resulting from an absence of new EU workers in hospitality from 2019 onwards are based on the following assumptions:
1 Employment growth rates as explained in Section 4.1.
2 Organisation level labour turnover of 30%.
3 A range of sector level turnover of 10% - 30% of total organisation level turnover (i.e. between 10% and 30% of workers leaving their jobs will leave the sector).
4 Continuation of the pre-Brexit baseline of new workers entering the hospitality sector from UK (unemployed, inactive, or other sectors) and non-EU migrants.
Further details of our approach to calculating these estimates are including in Appendix 2.
This gap would need to be addressed in order to allow the sector to continue to operate and grow.
Our estimates of the recruitment gap do not necessarily represent a labour shortfall if hospitality firms are able to replace workers otherwise sourced from the EU with either workers from elsewhere and / or productivity gains. However, they do demonstrate the additional recruitment challenge that would be generated were EU migration into the hospitality industry to be severely limited after 2019.
In order to maintain and grow the output of the sector, in the absence of an inflow of new EU migrants, there are six options available to the sector:
— reduce labour turnover;
— increase recruitment from the pool of unemployed jobseekers;
— increase recruitment from the pool of currently inactive individuals;
— increase recruitment of migrants from the rest of the world;
— increase recruitment of workers from other sectors; and/or
— reduce the reliance on labour through increased productivity (for example through automation).
We explore the ability of the sector to address the recruitment gap through the above measures in the following section.
5 Challenges facing the hospitality sector in replacing EU migrants
5.1 The hospitality sector already faces challenges in recruiting enough workers, particularly in specific roles and regions
Data from the UK Commission's Employer Skills (UKCES) Survey shows that in 2015 there were 104,293 vacancies in the hotels and restaurants sector in the UK. And as a proportion of total employment, the hotels and restaurant sector had the highest level of vacancies at 5.3%, in comparison to other sectors across the UK.
The number of vacancies in the hotels and restaurants sector has increased by 79.4% since 2011 44 , while the number of monthly job postings 45 for the hospitality sector has increased by 60% per month over the two years to December 2016, with the hospitality sector seeing greater growth in jobs postings than any other sector over this period. Furthermore, it is one of the only sectors to see year-on-year growth in monthly job postings over the period since early 2016.
The number of vacancies across the full breadth of the hospitality sector 46 is even higher.
Almost of a third of vacancies identified in the UKCES Survey were classed as 'hard-to-fill' vacancies. 47 Jobs may be difficult to fill if the job involves unsociable hours or if they are based in a difficult to access location. 48
The hospitality sector has, at any one time, such a large number of vacancies for jobs because, in part, of known difficulties it experiences in recruiting workers. These include a lack of willingness by jobseekers to work in the sector, lack of necessary skills and overall labour market conditions in the context of low unemployment.
KPMG's survey of the BHA's members revealed that the main reason, by far, that the hospitality sector looks to new workers from the EU to fill vacancies is a perceived lack of interest by UK employees to work in hospitality, or a shortfall in the right people with the right skills in the right places. There is also a significant sentiment that EU workers applying for jobs in the hospitality industry are more skilled, for example with more qualifications and often useful language skills.
That is not to say that the hospitality sector looks exclusively to the EU to fill new positions; it does not and continues to provide new jobs to many UK workers every year. But there are not enough UK workers to fill all of the positions on offer by the hospitality sector and EU
44 UKCES Survey 2011
45 Indeed UK Industry Employment Trends data 2014-2017. Accessible from: https://www.indeed.co.uk/jobtrends/industry 46 Based on the definition referenced in footnote 3.
47 UKCES define hard to fill vacancies simply as those vacancies which are proving difficult to fill. This is based on the questioning of survey participants whether any of their vacancies are proving hard to fill.
48 UKCES (2016) UKCES explains: skills shortage vacancies. Accessed: https://ukces.blog.gov.uk/2016/01/29/ukces-explainsskills-shortage-vacancies/
workers have provided an important 'safety valve' for the sector for many years now, allowing it to recruit enough people to continue to operate at the same level and, in addition, to grow.
Source: KPMG analysis of BHA survey
The hospitality industry is perceived as unattractive to some UK workers.
Based on forecast growth rates, every year the hospitality industry will add another 45,000 jobs to the UK economy. It is continually a significant source of new employment.
However, UK workers alone are not enough to fill all of the positions the hospitality industry has on offer.
A large part of the perceived reason for this by the sector itself is that the hospitality industry is perceived as unattractive to some UK workers. Around 60% of the BHA members surveyed by KPMG cited receiving low or no job applications for vacancies from UK citizens or a lack of interest by the local population as a reason for the level of EU nationals employed.
Insights gained through the KPMG survey and interviews with BHA members suggest there are a number of reasons why the hospitality industry does not receive a higher level of applications from UK workers for vacancies including:
— Careers in hospitality are not seen as viable in the long-term – roles are often seen as short-term and temporary and primarily aimed at young people/students.
— Roles are perceived to be low-paid and high-effort.
— Seasonal work and shift patterns in the industry are not desired by UK workers.
— Lack of knowledge about career progression and opportunities within the hospitality industry.
Evidence from other research supports these assertions.
A recent study by London School of Economics reports that UK-born workers tend to have higher reservation wages and expectation of working conditions when compared to nationals despite tending to have lower skill levels. 49
Furthermore, a commonly cited issue of recruiting UK-born workers, and one that is particularly relevant for the hospitality sector, is that those who are currently in receipt of benefits are unwilling to accept temporary or seasonal work as the advantages are not viewed as sufficient. 50 Research has found that moving off benefits and into temporary employment is deemed too 'risky' by job seekers due to the way the benefits systems operates in that there is a delay in claiming benefits again following a period of employment. 51
In some regions of the UK, the hospitality sector may be seen as more unattractive to UKborn workers. For example, in London and the South-East of England, UK-born workers may be even more discouraged to work in the hospitality sector as high living costs combined with a perceived level of low pay in hospitality roles mean that individuals cannot have the same standard of living as they might be able to in other parts of the country or in higher paid roles. See Section 3.4 for a more in-depth discussion of the regions of the UK that could be most impacted by a reduction in the EU workforce.
There is a skills shortage in the hospitality sector amongst the UK workforce.
The Recruitment and Employment Confederation (REC) reports that employers in the hospitality sector are:
— the second most likely to report a shortage of candidates for temporary jobs in at least one skill set after construction sector employers; and
— the third most likely to report a shortage of candidates for permanent roles, in at least one skill set, after engineering and health and social care employers. 52
According to the UKCES Survey, almost half (49%) of employers in the hotels and restaurants sector cited the quality of applicants as a main reason for hard-to-fill vacancies. 31% of employers reported that there were a low number of applicants with the required skills, a further 13% reported a lack of work experience amongst applicants and finally 7% stated that applicants lacked the qualifications required. 53
49 Green, A. Atfeld, G. Adam, D. and Staniew icz, T., 2013, Determinants of the composition of the w orkforce in low skilled sectors of the UK economy: Lot 2: Qualitative Research, Final Report, Warw ick Institute for Employment Research
50 Broughton, A. Adams, L. Cranney, M. Dobie, S. Marangozov, R. Markaki, Y. and Sumption, M., 2016, Recruitment in Britain: Examining employers' practices and attitudes to employing UK-born and foreign-born workers, Equality and Human Rights Commission Research report 104
51 Green, A. Atfeld, G. Adam, D. and Staniew icz, T., 2013, Determinants of the composition of the w orkforce in low skilled sectors of the UK economy: Lot 2: Qualitative Research, Final Report, Warw ick Institute for Employment Research
53 UKCES Survey
52 The Recruitment and Employment Confederation (2017) Jobs Outlook: January 2017.
Further, as set out in Section 3.6, there is a skills shortage amongst specific roles in the hospitality sector. Chefs and front of house staff are the two most frequently cited hard-to-fill roles during KPMG's interviews with BHA members.
Overall, this evidence suggests that within the hospitality industry there is an existing skills shortage. One-fifth of the BHA members that responded to KPMG's survey cited EU nationals as being better skilled or having a skill set for which there is a shortage amongst UK labour force as a key reason for hiring EU nationals.
Academic research also suggests that EU migrant workers tend to be more highly educated than their British-born counterparts in the same positions. 54 Wadsworth et al. 55 found that 44% of EU nationals working in the UK have some form of higher-education compared with 23% of UK-born. Other academic research suggests that migrant workers have higher levels of productivity and are often over-qualified for their jobs. 56 One reason for this being that qualifications gained abroad are not always recognised by employers, meaning that migrant workers have to resort to roles for which they are overqualified.
It is possible, therefore, to conclude that UK-born workers and EU migrant workers are far from perfect substitutes for each other 57 and that any restriction on the availability of EU nationals would likely worsen the current skills shortage experienced by the hospitality industry.
The high level of turnover in the UK hospitality industry increases the recruitment challenge.
As highlighted in Section 4.1, the hospitality sector is associated with high levels of staff turnover.
Data from the UKCES Survey shows that 14% of businesses in the hotels and restaurant sector had issues retaining staff, compared to 8% of all UK businesses. Linked to the points highlighted above in relation to the perceptions of the hospitality sector among UK workers and job-seekers, the main reason cited for staff retention difficulties was that there is a lack of interest in doing this type of work, with 63% of hotels and restaurant businesses surveyed citing this. 58
Similarly, this reason was frequently reported in our interviews with BHA members as one of the key reasons for the high level of vacancies in the sector and difficulties recruiting new employees, specifically those from the UK.
The high level of turnover and low rate of staff retention within the industry exacerbates the recruitment challenge, as it increases the volume of workers that need to be recruited per annum relative to other UK sectors with lower rates of staff turnover.
54 Petronglo, B. 2016, Brexit and the UK labour market, Centre of Economic Performance, London School of Economics
55 Wadsw orth, J., Dhinra, S., Gianmarco, O. and Van reenen, J. 2016, Brexit and the Impact of Immigration on the UK, Centre for Economic Performance, London School of Economics
56 Broughton, A. Adams, L. Cranney, M. Dobie, S. Marangozov, R. Markaki, Y. and Sumption, M., 2016, Recruitment in Britain: Examining employers' practices and attitudes to employing UK-born and foreign-born workers, Equality and Human Rights Commission Research report 104
UKCES Survey
57 Petronglo, B. 2016, Brexit and the UK labour market, Centre of Economic Performance, London School of Economics 58
5.2 It will be difficult to fill the potential increased recruitment gap with unemployed UK workers
In 2016, there were 1.3 million unemployed UK workers within the UK. The rate of unemployment is currently 4.8% nationally, the lowest level it has been for 11 years.
In July 2015, the Office for Budget Responsibility (OBR) estimated that in the medium-term the non-accelerating inflation rate of unemployment (NAIRU) was 5.4%. 59
The NAIRU is an estimate of the lowest possible level of unemployment that can be achieved without having an inflationary effect on wages. 60 It is based on the premise that at lower levels of unemployment, the scarcity of labour means that employees can demand higher rates of pay and therefore having an inflationary effect on the economy.
The current level of unemployment is lower than the OBR NAIRU estimate, therefore suggesting that any further reduction in unemployment in the UK will drive inflation upwards.
Of those unemployed UK workers, 44.2% were long-term unemployed, meaning that they have been unemployed for 6 months or longer. 61
Long-term unemployment is associated with skills atrophy, including as a result of a lack of opportunity to obtain new skills gained on-the-job. 62 This contributes to job finding rates declining by approximately 50% within eight months of unemployment. 63
For those that are long-term unemployed, although they may be willing re-enter the workplace, they may not be job-ready immediately. Recruiting the long-term unemployed is likely to require greater resources in terms of on-boarding and training to get individuals up to the required skill level. 64
There is a geographical mismatch between the demand and supply of labour.
Many of those regions which are more heavily reliant on EU migrant workers are also those with lower levels of unemployment, and therefore a smaller pool of available unemployed labour. Conversely, those regions with high unemployment tend to have a lower reliance on EU migrant workers.
The ability to fill the recruitment gap with UK workers will vary significantly across the country depending on the regions' current reliance on EU labour and the local unemployment rate. LFS data shows that in regions such as London and the East of England, where there is currently a higher than average reliance on EU migrant labour in the hospitality sector, as well as a low unemployment rate, businesses are likely to struggle to fill the recruitment gap from the local pool of unemployed workers.
59 Office for Budget Responsibility, July 2015, Economic and fiscal outlook. Available at: http://budgetresponsibility.org.uk/docs/dlm_uploads/July-2015-EFO-234224.pdf
60 UK Parliament, 2015, Measuring Full Employment, Available at: researchbriefings.files.parliament.uk/documents/LIF2015.../LIF-2015-0031.pdf
61 KPMG analysis of LFS data.
62 European Commission, 2015, Re-employment of the long-term unemployed- a pressing European challenge (available at http://ec.europa.eu/social/main.jsp?langId=en&catId=1196&new sId=2324&furtherNews=yes)
63 World Economic Forum, 2016, The longer you're unemployed, the less likely you are to find a job. Why? (available at https://www.weforum.org/agenda/2016/08/the-longer-youre-unemployed-the-less-likely-you-are-to-find-a-job-why)
64 This is based on insights provided to us during interview s with BHA members.
Figure 14 compares the stock of unemployed UK workers by UK region and the proportion of hospitality workers comprised of EU citizens. It is clear that in those regions most reliant on EU workers, there are no more unemployed UK workers to draw upon than in any other region of the country.
Source: ONS data, KPMG analysis of LFS data
Figure 15 shows the same data in tabular form.
Figure 15: Unemployment rate and the percentage of workforce that are EU nationals, by region
| Unemployment rate | Percentage of UK | Percentage of total UK |
|---|---|---|
| | hospitality workforce | workforce that are EU |
| | that are EU nationals | nationals |
Source: ONS data, KPMG analysis of LFS data
There is, therefore, a potential shortfall in certain regions where the greatest recruitment gap will be, with no corresponding greater access to a pool of unemployed workers. Furthermore, it will be hard for regions with greater employment shortfalls to draw upon the pool of unemployed workers in other regions. This is because there is evidence that UK workers and job seekers tend to be less geographically mobile and have a higher dependence on public transport to commute when compared to their migrant counterparts. 65 This relative inflexibility means that it is less likely that UK job-seekers, compared to EU nationals, will be willing to move or commute to address a recruitment gap in another region of the UK.
This will particularly be the case for the lower level and lower paid jobs that are typically filled by EU migrant workers in the hospitality sector.
5.3 It will be difficult to fill the potential increased recruitment gap with UK economically inactive
There is a large pool of people in the UK who are economically inactive.
In 2016, there were 7.2 million economically inactive persons of working-age 66 in the UK. 67 However, only around half of these (53.6%) reported that they thought they would return to work at some point in the future.
The proportion of those economically inactive who believe that they will work again in the future differs significantly depending on the reason for inactivity, as shown in Figure 16 below.
65 Green, A. Atfeld, G. Adam, D. and Staniew icz, T., 2013, Determinants of the composition of the w orkforce in low skilled sectors of the UK economy: Lot 2: Qualitative Research, Final Report, Warw ick Institute for Employment Research
66
67
We have defined w orking age as being betw een the ages of 16 and 64.
KPMG analysis of LFS data
Source: KPMG analysis of LFS data
The long-term sick or disabled, students and those looking after family and home represent are the largest groups of inactive persons in the UK. Only 20.5% of the long-term disabled think they will return to work again in the future, compared to 69.8% of those who are inactive because they are looking after family and home. Almost all students (98.9%) think that they will work in the future.
What this shows is that although there is a large number of people who are economically inactive, almost half of them cannot realistically be expected to enter the UK workforce. The rest might at some point. However, whether they will be willing or able to take up employment in hospitality is questionable. For example, for those who are currently economically inactive because they are looking after family or home, the availability of affordable child-care options and the time of day at which workers are required may affect the suitability of hospitality jobs for these people. Similarly, while many students who will enter the labour market following study would not consider entering the hospitality sector, they may be a potential source of part-time and temporary labour whilst still studying which could be tapped. Fundamentally, while the hospitality sector can take some action to better accommodate the needs of its workers, there is a mismatch between understandable worklife balance needs of these currently inactive groups and the dynamic operational needs of a customer service facing business.
However, there are challenges in bringing inactive people back into the workforce.
Although the number of EU nationals currently employed in the hospitality sector is a relatively small proportion (5.6%) of the total number of UK-born who are inactive but think
that they will work again, there is no certainty that those that think they will work again will in fact do so, or if they do, when.
Furthermore, these two groups cannot necessarily be easily substituted. Many of those that are economically inactive may have been out of the workplace for an extended period of time. Similar to the challenges in recruiting long-term unemployed, those that have been out of the workplace for an extended period are likely to have gone through a level of skills atrophy.
Therefore, when looking at employing those that are long-term unemployed or economically inactive, the context with which this can be done successfully needs to be considered. Discussion during our interviews with BHA members suggests that a tailored approach may need to be adopted, and on-boarding is likely to require a greater investment in training. Therefore, a higher level of resources will need to be committed to getting a candidate up to the required standard.
As a result, new joiners from these groups will only be able to make up a small percentage of the total workforce.
As with recruitment from unemployment, the ability to fill the potential recruitment gap with economically inactive people will differ across regions of the UK.
It will be more difficult to fill the recruitment gap in regions where there is currently a large stock of EU nationals employed in the hospitality sector and/or there is a low stock of economically inactive persons who think they will return to work in the future.
Specifically, filling the recruitment gap will be most difficult in the Greater London and East of England regions where EU nationals employed in the UK hospitality sector currently make up 14.7% and 9.9%, respectively, of the total number of inactive UK workers who may re-enter the workforce.
Figure 17: EU nationals employed in the UK and the UK hospitality sector in comparison to economically inactive UK-born persons, by region of the UK
| EU nationals employed in the UK hospitality sector | Economically inactive UK-born persons who think they will return to work | EU nationals employed in |
|---|---|---|
| | | the UK hospitality sector |
| | | as a % of economically |
| | | inactive UK-born persons |
| | | who think they will return |
| | | to work |
Source: KPMG analysis of LFS data
In addition to the specific challenges highlighted in relation to recruiting the economically inactive, similar challenges associated with recruiting unemployed persons, such as a skills gap and the perception of the hospitality industry among UK workers and job-seekers, may also be relevant to the economically inactive.
5.4 It could be challenging to fill the recruitment gap with workers from other sectors
The hospitality sector will not be facing a recruitment challenge in isolation.
In 2016, there were approximately 13.9 million people in the UK employed in "low-skilled" roles, as defined by the Migration Advisory Committee. 68 69 Of these, 8.3%, or 1.2 million, were EU nationals. 70 This included many lower level roles in the hospitality sector.
Based on the same approach 71 as applied in our analysis for the hospitality sector, this indicates that upwards of 133,000 "low-skilled" EU migrants enter the UK for work each year,
68 Low -skilled roles have been based on SOC codes: 41, 42, 61, 62, 71, 72, 81, 82, 91 and 92.
69 Migration Advisory Committee (2014) Migrants in low -skilled w ork: The growth of EU and non-EU labour in low -skilled jobs and its impact on the UK.
71 The low er bound reported assumes the distribution of EU migrants across sectors is reported correctly.
70 Analysis based on LFS data.
and that were this flow to fall to zero from 2019, the cumulative shortfall in lower occupational level workers could be in upwards of 0.9 million by 2024 and 1.9 million workers by 2029.
These include migrants filling roles such as administrative roles, nursing and personal care roles, leisure and travel roles, retail sales and customer service and manufacturing and plant assembly roles, and construction trade roles.
Therefore, while in theory, it may be possible for the hospitality sector to address the recruitment gap in part through recruitment of workers from other sectors/roles, who are likely to have transferable skills and are suitable to take on similar roles within the hospitality sector, in practice, a restriction to the flow of EU migrants will result in the hospitality sector competing for workers (including existing workers, job seekers and inactive persons) among other sectors also needing to fill such roles, such as retail, construction and care.
In addition, as set out in Section 5.1, the evidence suggests that the UK hospitality industry is not seen as an attractive industry to work in for UK workers and job-seekers. As a result, the hospitality industry is likely to be less competitive in recruiting directly from other sectors.
An aging population adds to the challenges
The aging population means that the total population is projected to grow faster than the workforce from 2016 to 2030, creating further labour shortages even in the absence of any change to EU migration. 72
5.5 Qualitative evidence of challenges in filling the potential recruitment gap
Over two-thirds of BHA members do not think they can fully offset a reduction in the EU workforce with UK workers.
In our survey of BHA members, we asked whether respondents would be able to offset any potential reduction in the available EU workforce through an increase in their UK workforce in the event that stricter immigration controls were applied to EU citizens. Almost two-fifths of respondents stated that they would only be able to replace their EU workforce with a UK workforce to a small extent.
Only 18.2% considered that they would be able to offset any reduction in their available EU workforce completely or to a large extent. For almost three-fifths of BHA members, there would be a large or moderate gap between the demand and supply of labour as a result of restricted EU immigration.
72 Mercer, The Emerging UK Workforce Crises, January 2017.
Figure 18: The extent to which BHA members would be able to offset any potential reduction in the available EU workforce through an increase in their UK workforce
Source: KPMG survey of BHA members
Only 14.4% of BHA members think that the EU workforce can be replaced within 1 year.
Among all BHA survey respondents, only 14.4% thought it would be possible to offset any reduction in the EU workforce within 1 year, a further 53.8% within 3 or 5 years and a further 31.8% thought it would be possible within a 10 year time horizon.
Source: KPMG survey of BHA members
Availability of labour is the biggest concern among BHA members when considering their ability to offset a reduction in the available EU workforce with UK workers.
The BHA members' biggest concern was the availability of labour interested and willing to work in the hospitality sector. This theme also emerged during our interviews with BHA members, who had a general feeling that roles in the hospitality sector, especially those at the lower skill levels, were not perceived as attractive by UK workers. This combined with low rates of unemployment meant there would be a shortage in the number of workers available and willing to work in the sector.
Furthermore, 16.2% of BHA members surveyed felt that there was a gap in the skills and experience between EU and UK workers. The most common skill gaps that were mentioned in both the survey responses and in the interviews, related to language skills and customer service skills.
Similarly, 10.3% of BHA members surveyed felt that as a result of replacing EU migrant workers with UK workers the level of customer service and the quality of the service that they offered would be negatively impacted.
A small percentage (5.1%) of BHA members surveyed reported that stricter controls on EU migrant workers would harm the future growth of their business. Again, this is a subject that came out in the interviews, with a number of BHA members stating that the availability and flexibility of EU migrant workers had meant that they had been able to expand easily and quickly. Without the availability of EU migrant workers, it was felt that this would not be possible to the same degree in the future.
Source: KPMG survey of BHA members
Over half of BHA members reported that replacing EU migrant workers with UK workers will increase their costs.
Over half (51.5%) of BHA members surveyed reported that their costs would increase as a result of replacing EU migrant workers with UK workers.
Cost increases are expected to be seen in several ways.
32.4% of BHA members surveyed expect an increase in wages and/or the overall reward package of employees should they have to replace EU workers with UK employees. Concerns around wage inflation were also frequently mentioned during KPMG's interviews with BHA members.
In addition, over a fifth (22.2%) of BHA members surveyed expect an increase in recruitment costs as a result of replacing EU migrant workers with UK workers, and a further 14.0% are concerned there will be an increase in training costs.
Source: KPMG survey of BHA members
Qualitative evidence from the interviews with BHA members suggested that the increased costs resulting from restrictions to EU immigration will have a knock-on effect on the profit margins of businesses in an industry where margins are already tight: BHA members reported that the hospitality industry has already been heavily impacted by the introduction of the national living wage, VAT and business rates meaning the capacity to absorb further cost increases will have been exhausted.
If higher costs in the industry cannot be passed on to the consumer, businesses will need to absorb these costs which will, in turn, lower profit margins. Lower profit margins mean that there are fewer resources available for businesses to re-investment into the business. This may prevent a business from expanding its operations or force it to re-think investments in improvements that would increase the quality of the goods and services produced or improve business efficiency and productivity. Overall, for the hospitality industry this means that future growth and investment in the industry may be restricted.
6 Opportunities for addressing the potential recruitment gap
6.1 Action by the hospitability sector may mitigate the impacts of restricted access to the EU workforce
Addressing recruitment and retention issues in the sector could reduce the extent of the recruitment gap.
Despite the challenges identified in offsetting any reduction in the availability of EU workers, there could be opportunities for the hospitality sector to take mitigating actions.
Interviews with BHA members identified the following actions that could be taken to increase their recruitment of and retention of UK workers:
— increased pay and/or reward packages;
— introduction of or extension of employment programmes, e.g. apprenticeships and graduate schemes;
— increased training offerings, including training in hard skills e.g. for chefs;
— adoption of flexible working arrangements;
— initiatives aimed at specific population groups e.g. the long-term unemployed and exprisoners; and
— a move towards increased use of permanent contracts.
Furthermore, the UK hospitality sector will need to continue work on changing the perception of the industry amongst UK workers. It needs to better advertise the industry as a viable long-term career option by emphasising the opportunities for career progression.
Increasing productivity of the current workforce could reduce the impact of the recruitment gap.
Increasing productivity would allow businesses to be able to sustain current operations with a smaller workforce, or achieve growth with a smaller increase in employment than it has previously.
Productivity gains could be achieved through increased training or automation. However, our understanding based on interviews with BHA members is that the opportunity for increasing the productivity of the hospitality industry is limited. The sector is highly labour intensive, which means opportunities for automation are small.
6.2 The sector needs time to adjust
The hospitality sector will need time and support to address the recruitment gap.
For the hospitality sector to have the best possible chance at reducing the recruitment gap, the BHA's members believe that they will need support from Government. During KPMG's survey and interviews of BHA members a number of forms of support have been suggested, including:
— promotion of the hospitality industry on a national scale;
— investment in education/skills relevant to the hospitality industry;
— investment in soft skills education in schools to increase the work-readiness of UK workers;
— reduction in the tax burden for the industry or an introduction of tax incentive schemes to compensate for increased costs, including related to the loss of EU workers; and
— changing current VISA requirement to make employment of migrants easier.
These suggested forms of support all have the advantage of either increasing the attractiveness of the hospitality industry, reducing the skills gap or reducing the tax/administrative burden on businesses. Further, the benefits of some of the suggested options for support would not be exclusive to the hospitality sector. For example, investment in soft skills education in schools will be beneficial to all sectors within the UK by ensuring that people are leaving school with relevant and appropriate skills for the workplace.
Despite the opportunities for reducing the size and/or the impact of the recruitment gap, the available solutions and forms of support are likely to take time to achieve results. The hospitality sector is unlikely to be able to meet the recruitment gap in the short-term, and is likely to suffer through restricted growth as a result.
7 Conclusions
The hospitality sector faces a significant recruitment gap if the inflow of migrant workers is restricted.
We estimate that a complete cut-off of further inflows of EU migrant workers into the hospitality sector would generate an annual shortfall of upwards of 60,000 workers, and that the cumulative shortfall for the sector could grow to 0.5 million within 5 years and 1 million within 10 years.
The hospitality sector will not be alone in facing a reduction in its available workforce.
Other sectors, such as retail, construction, care and manufacturing, which are also highly reliant on EU workers, are likely to also see a shortfall in their available workforce.
When taking into account the estimated flows of EU migrant workers into lower level roles in these sectors, the shortfall generated by a cut off of the inflow of EU migrant workers to the UK could reach 0.9 million within 5 years and 1.9 million within 10 years.
The hospitality sector is already struggling to recruit enough workers to fill its vacancies.
The hospitality sector 73 has the highest number of vacancies as a share of its total employment compared to any other sector 74 and the number of vacancies has grown by 79% in the last 5 years. And a third of all vacancies are classed as hard-to-fill vacancies.
The main drivers of this are: the high rate of staff turnover in the sector, the lack of interest in hospitality jobs among UK workers and job seekers; and skills gaps.
It will be hard to fill the recruitment gap with UK unemployed workers, inactive persons or workers in other sectors.
Low rates of unemployment mean that there are simply not enough unemployed workers in the right places to fill the recruitment needs generated by complete cut off of the inflow EU migrants to the UK hospitality sector.
And there are likely to be challenges in recruiting long term unemployed workers or currently inactive workers which mean these would require a gradual approach.
While there may be opportunities to recruit from other sectors, the hospitality sector faces challenges in attracting UK workers to the sector due to inherent negative perceptions of the sector among UK job-seekers.
73 We use the hotel and restaurant sector as a proxy for the hospitality sector.
74 UK Commission's Employer Skills Survey
Hospitality will be affected by restrictions to EU migration more than any other sector.
The existing challenges in recruiting to the sector, combined with the sector's high reliance on an EU workforce means that the hospitality sector will be more heavily hit by any other sector by restrictions to the availability of EU migrant workers.
Within the hospitality sector, specific regions, services lines and roles will be more heavily affected.
Sector level averages mask disparity in the reliance on EU workers, and availability of an alternative labour supply, across regions, service lines, roles, and individual businesses.
London is more reliant on EU migrant workers than other regions, with between 24% and
38% of its total hospitality sector workforce made up of EU nationals.
And hotels and restaurants, and within this roles including waiters and waitresses, chefs and kitchen staff and housekeeping staff are more highly reliant on EU workers.
These are the areas where a shortfall in EU workers would have the most significant impact.
There are opportunities to reduce the impact of a reduction in the supply of EU migrant workers
Addressing recruitment and retention issues in the sector could reduce the extent of the recruitment gap.
To attract more UK workers to the sector, it will need to become more competitive within the labour market, and will likely need to employ a number of initiatives, at a business, sector and national level, to recruit the long-term unemployed and economically inactive workers. Examples suggested by BHA's members include:
— increased pay and/or reward packages;
— introduction of or extension of employment programmes, e.g. apprenticeships and graduate schemes;
— increased training offerings, including training in hard skills e.g. for chefs;
— adoption of flexible working arrangements;
— initiatives aimed at specific population groups e.g. the long-term unemployed and ex- prisoners; and
— a move towards increased use of permanent contracts.
Furthermore, the sector can reduce the impact of a reduction in the supply of EU migrant workers by reducing the overall labour intensity of its operations through increased labour productivity, and/or increased capital investment (for example increased automation). However, the BHA's members consider that the personal service nature of the industry means that such opportunities for productivity gains and automation are limited.
The hospitality sector will need time and support to address the recruitment gap.
Due to the challenges highlighted, the transition of the sector to increased recruitment of more UK workers, and/or increased productivity and automation, will take time.
Investment will be needed by the sector, and Government, in skills and training, and promotion of the industry.
Furthermore, the hospitality sector will need support to overcome the additional costs generated by a reduction in the available EU workforce, including recruitment costs, potential wage inflation and training costs. These will hit at a time when margins have already been squeezed as a result of business rates and the national minimum wage.
Despite the opportunities for reducing the size and/or the impact of the recruitment gap, the available solutions and forms of support are likely to take time to achieve results. The hospitality sector is unlikely to be able to meet the recruitment gap in the short-term, and is likely to suffer through restricted growth as a result.
8 Appendix 1: Technical appendix on the comparison of the Labour Force Survey and the KPMG survey of BHA members
8.1 ONS Labour Force Survey (LFS)
8.1.1 Sampling methodology and coverage of the LFS
The LFS is a quarterly survey by the Office for National Statistics (ONS) of approximately 38,000 households across Great Britain (GB) and a further 1,500 households in Northern Ireland (NI). The survey represents around 0.15% of the GB population and 0.21% of the NI population. 75 Overall, the survey covers approximately 90,000-100,000 people per quarter.
The LFS mainly samples residents of private households, residents in NHS accommodation and residents of student halls. The LFS does not tend to cover residents of communal establishments or non-private households, for example hostels or employer provided accommodation (other than NHS accommodation).
For each person who takes part in the LFS, a person weighting is assigned to them to allow the LFS to be scaled up to the population of the UK. These weights are created based on an individual's age, gender and the local authority that they live in. The LFS sample is only stratified in these three areas. The LFS is not stratified in terms of nationality or the industry in which an individual is employed.
8.1.2 Standard errors and confidence intervals in the LFS data
We have estimated standard errors and confidence intervals for EU nationals in the hospitality sector based on the methodology set out by the ONS. 76 The following approach was used:
𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆 𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 (𝑓𝑓𝑓𝑓𝑓𝑓 𝑡𝑡ℎ𝑒𝑒 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝐿𝐿𝐿𝐿𝐿𝐿 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑) = 𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 ∙𝑆𝑆𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 (𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠)
Where the design factor is equal to 0.97 based on LFS estimates, p is the proportion of a specific group of people e.g. EU nationals employed in hospitality, represented in the LFS sample and n is the LFS sample size.
75 Office for National Statistics (2015) Labour Force Survey: User Guide. Volume 1 – LFS background and methodology 2015.
76 Office for National Statistics (2015) Labour Force Survey: User Guide. Volume 1 – LFS background and methodology 2015.
Based on the estimate of the standard error for the LFS, a 95% confidence interval would be estimated using the following approach: 𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶 𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖= ± (1.96 ∙𝑆𝑆𝑆𝑆 (𝑓𝑓𝑓𝑓𝑓𝑓 𝑡𝑡ℎ𝑒𝑒 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝐿𝐿𝐿𝐿𝐿𝐿 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑))
Where ±(1.96 ∙𝑆𝑆𝑆𝑆) reflects the estimation of a 95% confidence interval for a population estimate.
Taking the example of two quarters in 2016, for illustrative purposes, Figure 22 shows that the standard errors and confidence intervals for EU nationals in the hospitality sector for both 2016 quarters are higher compared to the overall LFS sample for people aged 16 and over.
Figure 22: Standard errors and confidence intervals for LFS samples
| January – March 2016 | | April – June 2016 |
|---|---|---|
| LFS (all aged | LFS hospitality | LFS (all aged |
| 16+) | | 16+) |
Source: KPMG analysis of LFS data
The LFS can generally thought to be representative of the UK as a whole. However, the sample coverage of the LFS means that when analysing specific and sub-groups of people or sectors, such as EU nationals and the hospitality sector, the results from the LFS are subject to higher standard errors and confidence intervals and are, therefore, bound to be less accurate.
The ONS suggests that LFS estimates for groups smaller than 10,000, corresponding to standard errors of 20% or less, are unreliable. 77
8.1.3 LFS coverage of EU nationals, and specifically EU nationals in the hospitality sector
There are several reasons why the LFS sampling methodology may underrepresent EU migrant workers:
— The LFS sample is primarily of private households. It excludes residents living in communal or non-private households, other than student halls of residences and NHS staff accommodation. This means that it under-represents individuals living in communal or other staff accommodation. This applies disproportionately to foreign nationals as they
77Prior to 2005 thresholds w ere applied to the sample size for quarterly and annual LFS estimates, and any sample estimate smaller than the threshold w as considered unreliable and w as therefore not published. Since 2005, no estimates go unpublished, how ever the thresholds still provide an indication of the reliability of the estimates. The threshold for sample size applied to quarterly data w as 10,000. See Office for National Statistics (2015) Labour Force Survey: User Guide. Volume 6 – Annual Population Survey (Local Area Database) 2015.
are more likely than UK born residents to reside in communal establishments than UK born residents. 78
— The LFS surveys the 'usually resident' population. This definition requires survey respondents to have been in the country for at least six months at the time of the survey. Therefore, the LFS excludes anyone who has been in the country for six months or less and will under-represent recent migrants to the UK and temporary migrants who are only in the country for a short period.
— The LFS requires an individual to have lived in the same address for at least six months. Foreign nationals in the UK tend to be more mobile than the UK-born population and tend to change address more frequently. As a result foreign nationals in the UK are less likely to fulfil this requirement. 79
— Finally, language barriers and mistrust of interviewers means that more recent migrants to the UK are more likely to refuse to answer questions during the LFS, or to provide incomplete information. 80
Overall, these factors are likely to result in an under-representation of EU nationals in the LFS. This will impact the results of any estimation of the level of EU migrants within the UK and any analysis associated with this.
These factors are also likely to disproportionately affect the estimation of the level of EU nationals within the hospitality sector specifically. This is due to the common provision of staff and on-site accommodation in the sector, particularly in hotels; the high proportion of temporary migrant labour used by the sector; and the lower occupational level of many roles, meaning language barriers are more likely to be an issue than in sectors employing more highly skilled workers.
8.2 KPMG's survey of BHA members
8.2.1 Sample size
The KPMG survey of BHA members covered 136 businesses and 266,799 employees across the UK hospitality sector, representing approximately 9% of the UK hospitality sector by number of employees.
The confidence interval for those employed in the UK hospitality sector in the KPMG survey is 0.00105, considerably lower than the confidence intervals for both the LFS in general and the hospitality sector in the LFS. Using the same approach as set out in Section 8.1.2, the confidence interval for the KPMG survey was estimated as below:
𝐶
𝐶
𝐶𝐶𝐶𝐶𝐶𝐶𝐶 𝐶𝐶
𝐶𝐶𝐶 𝐶𝐶
𝐶 𝐶𝐶
𝐶𝐶𝐶𝐶 𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖= ±(1.96 ∙ 0.000536) = ± 0.00105
78 ONS, 2011 Census
80 Cangiano, A., (2010) Current data on international migration and migrants in the UK: implications for the development of the Migration Observatory at Oxford.
79 Walling, A. (2006) Labour market summary for the UK household population by country of birth. London. ONS.
Where 0.089 is the proportion of UK hospitality employees represented in the KPMG sample and 266,799 is the total number of hospitality employees covered in the survey.
8.2.2 Weighting
There is a bias in the BHA survey responses towards businesses in the Greater London region. 35% of the employees covered in the survey were based in the Greater London region. Data from the Business Register and Employment Survey (BRES) shows that in the 'accommodation and food services' sector 81 , 17% of employees in the UK were based in the Greater London region.
To correct for this bias, the results of KPMG's survey of BHA members were weighted based on BRES data on the distribution of employment across the regions of the UK for the 'accommodation and food services' sector.
Responses to the survey also show a bias towards large businesses compared to the UK population of hospitality businesses. However, as shown in Figure 23 below, small and medium businesses (SMEs) responding to the survey report having a higher percentage of EU nationals within their workforce. While we have not adjusted the results to account for this, it suggests that the bias towards larger businesses means that the total average percentage of EU nationals in the workforce would be higher than the figure used in our analysis.
Figure 23: Proportion of total workforce that are EU nationals by business size
Source: KPMG survey of BHA members
8.2.3 Potential self-selection bias
While we considered the distribution of responses relative to the population of businesses in the sector, and adjusted for the bias towards London based businesses, the BHA survey may in addition be subject to some self-selection bias.
It is possible that those businesses who responded to the survey were more likely to employ a higher percentage of EU nationals and are therefore more concerned with the UK's exit from the EU. This concern may have motivated businesses to respond to the survey and may make the survey subject to a sampling bias. Such a bias would result in the implied percentage of the workforce that are EU nationals across the BHA members surveyed being overstated.
81 Although the 'accommodation and food services' sector does cover the majority industries that fall under KPMG's definition of the hospitality sector, it does not cover all 'In-house catering' and 'Convention and trade show events'. However, we have no reason to believe that the regional distribution of these industries varies significantly from the regional distribution of the 'accommodation and food services sector'.
However, we do not know the extent to which any such bias might exist in the KPMG BHA survey nor the extent to which it is likely to affect the results. We also have no reason to suppose that these biases will be larger than the respondent size bias that we know will tend to understate the hospitality sector's reliance on EU workers. Therefore, there is no reason to expect the results of the KPMG survey of BHA members to overstate the reliance on EU workers in any way, but we note that, as with all surveys, some caution should be attached to any results.
9 Appendix 2: Technical appendix on the approach taken to estimating the potential future recruitment gap
Our estimates of the total potential future recruitment gap for the hospitality sector are based on the following assumptions:
Assumption 1 – Total employment of 3 million in 2016, as detailed in Section 3.1.
Assumption 2 – Employment growth rates of 1.2% per annum until 2019, and 1.5% per annum from 2019 to 2029 based on UKCES estimates, as detailed in Section 4.1.
Assumption 3 – Organisation level labour turnover of 30%, as detailed in Section 4.1.
Assumption 4 – A range of sector level turnover of 10% - 30% of total organisation level turnover (i.e. between 10% and 30% of workers leaving their jobs will leave the sector), as detailed in Section 4.1.
Assumption 5 – EU migrants to the UK for work enter each sector in proportion to the current stock of EU migrant workers in each sector.
Assumption 6 – From 2019, entry of new EU migrant workers into the hospitality sector falls to zero.
Assumption 7 – Continuation of the pre-Brexit baseline of new workers entering the hospitality sector from UK (unemployed, inactive, or other sectors) and non-EU migrants.
Using these inputs, we estimate the future recruitment gap as follows:
— Total employment in the sector for each year is equal to total hospitality sector employment in 2016 (Assumption 1) and the assumed employment growth rate in each year going forward (Assumption 2).
— The total annual labour requirement of the sector in each year is equal to the sum of the replacement requirement and the growth requirement.
- The replacement requirement is the number of people in each year who not only leave their hospitality job, but also leave the sector entirely. This is equal to the estimated total hospitality employment in each year and the assumed rate of sector level labour turnover (i.e. the product of Assumptions 3 and 4).
- The growth requirement is based on the estimated total hospitality employment in each year and the annual employment growth rate (Assumption 2).
— We estimate the total number of EU migrant workers that entered the hospitality sector in 2016 based on IPS data on total EU immigration for work in 2016, and the estimated share of EU nationals in the hospitality sector (Assumption 5) as detailed in Section 4.2.
- The IPS data does not provide a breakdown of the sectors into which new EU workers go. Therefore the proportion of new EU migrant workers that take hospitality jobs, as opposed to jobs in other sectors, needs to be estimated using assumptions. The best estimate we are able to make is that new EU migrant workers join each sector in proportion to the number of existing EU workers across different sectors.
- Our estimate of the number of EU workers in hospitality compared to other sectors is based, in the first instance, on data in the LFS. However, as explained in Section 4.2, it is virtually certain that the LFS understates (potentially substantially) the number of EU workers in hospitality. It is also possible that the LFS understates the number of EU workers in other sectors too, but we do not have a good estimate of by how much. If we were to assume that the LFS understates the number of EU workers in all sectors (including hospitality) in equal proportions, then this would imply that around 42,000 new workers from the EU joined hospitality companies in 2016. If, on the other hand, we were to assume that the LFS accurately records the number of EU workers for UK companies overall but understates those working in hospitality in line with the difference between the LFS (which suggests 12.3% of hospitality workers are EU nationals) and the KPMG survey of BHA members (which suggests 23.7% of hospitality workers are EU nationals), then this would imply that around 81,000 new workers from the EU join hospitality companies per annum. We cannot know with any degree of certainty what the right answer is but based on these parameters we estimate that it lies somewhere between these two extremes. The midpoint estimate is that around 62,000 new workers from the EU joined hospitality companies in 2016.
— The estimated total annual labour requirement of the hospitality sector in 2016 minus the estimated number of EU migrant workers that entered the hospitality sector in 2016 gives our estimate of the number of workers that entered the sector from other sources (UK workers or non-EU migrants).
— We uplift the estimated number of EU migrant workers, and the estimated number of UK workers and non-EU migrants, entering the sector by the same proportions based on the growth in the total annual labour requirement between 2016 and 2018.
— From 2019, we assume that the number of new EU migrants entering the sector falls to zero (Assumption 6). We also assume that the number of recruits from the UK or nonEU countries is held constant (Assumption 7). Critically, this part of the calculation is not, and should not be, considered to be a forecast of how many new workers hospitality companies will hire from the UK or rest of the world. Rather, we make this assumption to show the shortfall that would be implied if UK hospitality companies were no longer able to recruit new EU workers from 2019. Within the analysis we make no prediction about whether and how UK hospitality companies will be able to mitigate this shortfall, (for example through measures discussed in Section 6 above).
— Our estimate of the annual recruitment gap is equal to the difference between the estimated annual number of recruits from the UK or non-EU countries as of 2019 and the estimated total annual labour requirement.
Our estimate of the total (cumulative) recruitment gap is equal to difference between the total projected employment in the sector and our estimate of the total available workforce, assuming no recruitment of new EU migrants (Assumption 6), constant level of recruitment from the UK and non-EU countries (Assumption 7), and the assumed rate at which workers are lost from the sector (based on Assumptions 3 and 4).
10 Appendix 3: KPMG stakeholder consultation
10.1.1 KPMG survey of BHA members
As part of KPMG's research, we surveyed BHA members regarding their currently reliance on EU nationals and the potential impacts of a reduction access to the EU workforce.
The KPMG survey was sent to all BHA members, a total of 644 member-accounts in the UK, with over 45,000 outlets. KPMG received 136 survey responses, representing a response rate of 21%. Those businesses that responded provided information relation to 266,799 employees, covering almost 9% of total employment in UK hospitality industry.
10.1.2 KPMG stakeholder interviews
As part of KPMG's research, we supplemented our survey of BHA members with telephone interviews with BHA stakeholders, including BHA member organisations and external stakeholders with expertise in the field of labour migration.
The stakeholders asked to participate in the research were selected by the BHA with a view to obtaining a broad range of views from across and outside of the hospitality sector.
Figure 24 lists the stakeholders consulted as part of the research.
Figure 24: List of BHA stakeholders consulted as part of KPMG's research
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Print ISSN: 2321-6379
Online ISSN: 2321-595X
DOI: 10.17354/ijss/2017/405
Clinical and Anthropometric Profile of Congenital Heart Disease in Children Admitted in Pediatric Ward
S Karthiga 1 , Shweta Pathak 2 , Monica Lazarus 3
1Post-graduate Student, Department of Paediatrics, Netaji Subhash Chandra Bose Medical College Jabalpur, Madhya Pradesh, India, 2Senior Resident, Department of Paediatrics, Netaji Subhash Chandra Bose Medical College, Jabalpur, Madhya Pradesh, India, 3 Assistant Professor, Department of Paediatrics, Netaji Subhash Chandra Bose Medical College, Jabalpur, Madhya Pradesh, India
Abstract
Introduction: Congenital heart disease (CHD) is defined as an abnormality in "cardio circulatory" structure or function that is present since birth; incidence being 8 CHD's per 1000 live births. Early establishment of diagnosis is important as newer available treatment modalities can significantly decrease mortality and morbidity. With limited resources in developing countries like India, clinical acumen still forms the backbone of diagnosis and later to be confirmed by echocardiography and to deliver the appropriate management at the right time.
Materials and Methods: Patients from 1 month to 14 years of age with features suggestive of CHD admitted in Department of Pediatrics, Netaji Subhash Chandra Bose Medical College, Jabalpur, were enrolled during the study period, that is, October 2014-September 2015 who fulfilled the inclusion and exclusion criteria. A standard pro forma was used during initial evaluation to get the detailed history and the clinical examination findings along with chest X-ray and electrocardiogram were evaluated, and clinical diagnosis is ascertained and subjected to two-dimensional echocardiographic evaluation to confirm the diagnosis.
Results: We observed that the major types of CHDs were ventricular septal defect (VSD) (33.3%), atrial septal defect (18.2%), tetralogy of fallot (TOF) (15.2%), and patent ductus arteriosus (6.1%). Male-to-female ratio was 2:1. Common symptoms were fever (78.7%) breathlessness (72.7%), fatigue (54.8%), anemia (45.5%), cough (43.5%), poor weight gain (40.9%), recurrent chest infection (34.8%), feeding problems (18.18%), palpitation (21.7%), and bluish discoloration of lips and fingertips (18.18%). Murmur with or without thrill and cardiomegaly was the most important cardiac finding. 54.5% of the study group children had their weight for age below −3 standard deviation.
Conclusion: Acyanotic heart diseases were found to be more common than cyanotic disease. VSD was found to be the most common acyanotic disease and TOF was found to be the most common cyanotic CHD. Majority of the children were malnourished and weight was found to be more affected than height in both cyanotic and acyanotic groups. Both height and weight were affected more in cyanotic group when compared to acyanotic group.
Key words: Anthropometry, Congenital heart disease, Echocardiography
INTRODUCTION
Congenital heart disease (CHD) comprises one of the major diseases in pediatric age group and is one of the leading causes of death in children with congenital malformations. 1 CHD by definition is the structural or functional heart disease present at the time of birth, even if it is detected later on. 2
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The incidence of CHD in the normal population is approximately 0.5-0.8% of live-born children, with a higher percentage in those aborted spontaneously or still born. 3 In our country, majority of child births still takes place at home and routine neonatal screening is not common, so it is difficult to calculate the true birth prevalence of CHD.
Month of Submission : 06-2017
Month of Peer Review : 07-2017
Month of Acceptance : 08-2017
Month of Publishing : 08-2017
Corresponding Author: Dr. Shweta Pathak, 567, Anand Colony Baldev Bag, Jabalpur, Madhya Pradesh, India. Phone: +91-8085577637. E-mail: email@example.com
To detect as many children with CHD as possible, including those with mild lesions, very intensive studies are required which may not be available at all hospitals.
Two-dimensional echocardiography (ECHO) has revolutionized the diagnosis and management of cardiac malformations. It is a non-invasive investigation that can precisely diagnose most CHDs as well as offer treatment options, whether medical or surgical. 1
CHD may present at any age group ranging from neonate to adolescence and clinical presentation varies, from being totally asymptomatic to fatal complications. 4
CHD, if left untreated is an important cause of morbidity and mortality in children, therefore early diagnosis and proper intervention is most important.
Many cases of CHD attend pediatric unit at Netaji Subhash Chandra Bose Medical College and Hospital, Jabalpur, and studies regarding relative frequency, age, sex distribution, and clinical profile of CHD are very scanty from this region.
MATERIALS AND METHODS
This was a prospective, observational study conducted in the Department of Pediatrics. 66 patients were registered for this study over 1 year from January 2014 to 2015.
This study is carried out in children aged 0-14 years old. The cases with suspected CHD will be studied and confirmed by electrocardiography, chest X-ray, and ECHO. Written consent will be taken from the parents. All cases will be evaluated using the following variables age, sex, signs and symptom of CHD, type of CHD based on ECHO report, length, weight, Z-scores will be calculated for height/length for age, weight for age and weight for height/length, midupperarm circumference (below age of 5 years), duration of hospital stay, and immediate outcome. Height is measured in centimeters using infantometer below the age of 2 years and stadiometer above the age of 2 years and weight in kilograms using infant weighing scale and adult weighing scale. Head circumference is recorded at the level of supraorbital ridge to occipital protuberance in centimeters.
Inclusion Criteria
1 month-14 year's both male and female with CHDs clinically detected and confirmed by investigations.
Exclusion Criteria
2. Children with acquired heart disease
1. Age <1 month
3. Unstable patients who died before the confirmation of diagnosis.
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RESULT
This study included 66 patients of Congenital heart disease. 36 (54.5%) patients presented before 6 months of life. 10 of them, that is, 15.2% presented between 6 and 12 months, 4 patients (6.1%) presented between 1 and 2 years of age, 8 patients (12.1%) presented between 2 and 4 years, and similarly 8 patients (12.1%) presented after 4 years of age. There were 44 male and 22 female patients in our study and the ratio being 2:1.
Acyanotic CHD outnumbered cyanotic CHD. The most common lesion was ventricular septal defect (VSD) alone 36 (33.3%), followed by atrial septal defect (ASD) alone 22 (18.2%), tetralogy of fallot (TOF) 12 (15.2%), complex cyanotic 8 (12.1%), and patent ductus arteriosus (PDA) 4 (6.1%). 6 (9.09%) patients had ASD with VSD and 2 patients (3.03%) each in groups ASD + VSD + PDA and VSD + PDA.
Clinical symptoms observed were fever 52 (78.79%), breathlessness 48 (72.73%), feeding problem 12 (18.18%), and cyanosis 12 (18.18%). Poor weight gain was presentation in 8 (12.12%) cases, and 14 (21.21%) patients presented with other symptoms.
History of first-degree consanguineous marriage was there in 18 parents (27.27%) and CHD in sibling was present in 2 children (3.03%). 4 patients had cleft lip and cleft palate. 2 (3.03%) children had Down syndrome. Imperforate anus, inguinal hernia, and biliary atresia were found in one patient each.
Examination findings observed in our study were respiratory distress 48 (72.73%), cyanosis 12 (318.18%), pallor 24 (36.3%), shock 2 (3.03%), and respiratory failure 2 (3.03%).
In our study, 52 (78.79%) children with CHD presented with murmur, 10 (15.15%) children (6.06%) had abnormal 1 st or 2 nd hear sounds on auscultation, and 10 children had normal findings on auscultation at presentation(Table 1-5).
Anthropometry
In children with acyanotic CHD, 26 (55%) of patients were found to have weight for age < −3 standard deviation (SD) and 12 (25%) of patients were having weight for age falling between −2 SD and −3 SD. In children with cyanotic CHD, 10 (55.5%) patients were found to have weight for age <−3 SD and 4 (22.2%) patients were having weight for age falling between −2 SD and −3 SD.
International Journal of Scientific Study | August 2017 | Vol 5 | Issue 5
Weight for age
Height for age (H/LFA)
A total of 14 (48.48%) children with acyanotic heart disease had their height for age below −3 SD and 12 (25%) of patients had their height for age falling between −2 SD and −3 SD. 2 (11.1%) of children with cyanotic heart disease had their height for age below −3 SD and 6 (33.3%) of patients had their height falling between −2 SD and −3 SD.
Weight for height
A total of 4 (83.3%) children with acyanotic heart disease had their height for age below −3 SD and 18 (37.5%) of patients had their height for age falling between −2 SD and −3 SD. None of the children with cyanotic heart disease had their height for age below −3 SD and 6 (36.36%) of patients had their height falling between −2 SD and −3 SD.
Table 1: Age‑wise distribution of cases
Table 2: Gender distribution of CHD
CHD: Congenital heart disease
Table 3: Relative frequency of various types of CHD
CHD: Congenital heart disease, VSD: Ventricular septal defect, ASD: Atrial septal defect, PDA: Patent ductus arteriosus, TOF: Tetralogy of fallot
Body mass index (BMI)
A total of 13 (27.2%) children with acyanotic heart disease had their BMI below −3 SD and 8 (16.6%) of patients had their BMI falling between −2 SD and −3 SD. 6 (30.77%) children with cyanotic heart disease had their BMI below −3 SD and 2 (33.33%) children had their BMI falling between −2 SD and −3 SD.
Mid-upper arm circumference (MUAC)
It was taken in children of age group 6 months-5 years (12 children). Among them, 75% had their MUAC < 12.5 cm and 33.33% had < 11.5 cm.
Head circumference
Out of the total 66 children, 8 (12.1%) children had microcephaly.
DISCUSSION
Age at Presentation (Table 5-10)
The age at detection of CHD varies due to the normal hemodynamic alterations occurring after birth such as fall in pulmonary vascular resistance, physiological, and anatomical closure of PDA. Many CHDs, especially minor defects tend to be asymptomatic and hence missed unless specifically sought. 5
A study by Jatav et al. 5,6 showed only 37.06% of CHD cases were detected by the age of 1 year and up to 15.51% were detected after the age of 18 year, so this delay in the diagnosis can be explained due to lack of awareness, health facilities, and pediatric care program's in India. 7
Shah et al. 8 in their study showed that out of 84 CHD cases, 8 children (9.1%) presented before 1 month of age and 39 cases (46.4%) presented between 1 and 12 months. This study showed that CHD presented more frequently during infancy. 31% of cases presented between 1 and 5 years, 4.8% between 5 and 9 years and 8.3% after 9 years.
Khan et al. 9 study on patients from birth to 10 years of age with clinical and ECHO evidence of CHD showed more than two-thirds (71%) patients were < 1 year of age. Out of these, 79 (69.3%) patients had acyanotic and 35 (30.7%) had cyanotic congenital heart lesions.
Table 4: Age‑wise distribution of various types of CHD
CHD: Congenital heart disease, VSD: Ventricular septal defect, ASD: Atrial septal defect, PDA: Patent ductus arteriosus, TOF: Tetralogy of fallot
Table 5: Clinical presentation of CHD
CHD: Congenital heart disease
Table 6: Prevalence of undernutrition, failure to thrive, short stature, and microcephaly in children with acyanotic CHD
Table 7: Prevalence of undernutrition, failure to thrive, short stature, and microcephaly in children with cyanotic CHD
SD: Standard deviation, CHD: Congenital heart disease
Table 8: Parental consanguinity
Table 9: CHD in sibling
Table 10: Associated malformations
da Silva et al. studied on 135 hospitalized children with CHD in Brazil. The average age was 4.74 months (SD ± 3.78) in those children, with 25% up to 1 month and 75% up to 8 months old. However, the highest frequency occurred in the age range of up to 3 months (46.7%). 6
In our study, 18 out of 33 patients were presented before 6 months of life (54.5%). Five of them, that is, 15.2% presented between 6 and 12 months, 6.1% presented between 1 and 2 years of life, and 12.1% presented between 2 and 4 years of life. Four patients (12.1%) presented after 4 years of age.
Gender Distribution
CHD as a whole occurs with equal frequency in male and females but some lesions such as aortic stenosis (AS), coarctation of aorta, transposition of great vessels, and TOF are more common in males, whereas ASDs are more common in females. 10
Khan et al. 9 stated in their study that out of 114 patients 60 (52.6%) were males and 54 (47.4%) were females with a male-to-female ratio of 1.1:1.
da Silva et al. also observed 66.7% were male children, corresponding to two boys for one girl, and this proportion was higher (four boys for one girl) in extreme ends of the confidence intervals, whereas the lowest percentage of female children is 20%, and the highest for male 80%. 6
In our study, total number of patients was 66, out of which 33 were male and 22 were female with a male-to-female ratio of 2:1.
Clinical Presentation
The clinical presentation of CHD varies according to the type and severity of the defect. 11 In infancy and childhood, the usual presenting features are cyanosis, digital clubbing, murmur, syncope, squatting, heart failure, arrhythmia, and failure to thrive. 12 The adolescent and adults present with heart failure, murmur, arrhythmia, cyanosis, hypertension, and late consequences of previous cardiac surgery (e.g., arrhythmia, heart failure). 12
Breathlessness 60%, fatigue 54.8%, cough 43.5%, poor weight gain 41.7%, recurrent chest infection 34.8%, fever 28.7%, feeding problem 26.1%, palpitation 21.7%, cyanotic spell 13%, and convulsion 1.7% were the clinical presentations observed by Sharmin et al. 13
Recurrent respiratory tract infections were the most common symptom (40%) in a study by Smita et al. in rural India in 2011-2013. 14
115
In a study by Sandeep et al., 15 the most common examination finding was tachypnea (88%) followed by tachycardia (76%). Other findings were cyanosis (26%), fever (24%), and 6% of infants had edema.
The clinical symptoms we observed in our study were fever 52 (78.79%), breathlessness 48 (72.73%), feeding problem 12 (18.18%), and cyanosis 12 (18.18%). Poor weight gain was presentation in 8 (12.12%) cases and 14 (21.21%) patients presented with other symptoms.
Relative Frequency of Lesions
The relative frequency of the most common lesions varies with different reports but nine common lesions form 80% of CHD as stated by Jackson et al. in their study. 16 These are VSD (36%), ASD (5%), patent arterial duct (9%), atrioventricular septal defect (AVSD) (4%), pulmonary stenosis (PS) (9%), AS (5%), coarctation of aorta (5%), transposition of great arteries (4%), and TOF (4%). The other 20% of CHD consists of many rare or complex lesions. 16
In our study, VSD was the most common congenital heart defect which was accounting for 33.3% of CHD cases and correlates well with the reported range of 2153% in the literature. ASD was the second most common CHD in our study comprising 18.2%. This correlates well with the frequency of 10-23% reported in various Indian studies, but it is higher than 6-8% reported from Western countries. 17 TOF was the most common cyanotic CHD comprising 15.2%, correlating well with other studies. 17-20
Anthropometry
Mechanisms for growth deficiency in CHD are multifactorial including associated chromosomal anomalies/genetic syndromes, inadequate nutrition due to feeding difficulties, and poor nutritional absorption from the digestive tract in chronic congestive heart failure (CHF). 15 However, inadequate caloric intake appears to be the most important cause of growth failure in CHD. 21,22 A characteristic feeding pattern of children with CHD is defined, with a large variation in caloric intake. 21
Furthermore, increased caloric support is required to sustain the increased myocardial, respiratory, and neurohumoral functions in CHD-related heart failure. Chronic CHF and chronic underoxygenation in CHD impair cellular metabolism and cell growth, whereas repeated chest infections demand an increased metabolism. 23
10 th percentile while height was below 10 th percentile in 25% of cases.
According to da Silva et al., 6 variables significant for malnutrition in logistic regression models were sex, type of heart disease, birth weight, birth length, subscapular thickness, triceps thickness, and cephalic circumference.
Associated Anomalies
In the study by Sandeep et al., 15 the most common associated anomaly was involving the musculoskeletal system (58.33%) which includes Congenital Telipes Equinovarus, Polydactyly(CTEV), and webbed neck. Down syndrome was seen in 5 children. In our study, two patients had cleft lip and cleft palate. One child had Down syndrome. Imperforate anus, inguinal hernia, and biliary atresia were found in 2 patients each.
Parental Consanguinity
Becker et al. in his study found that the first-cousin consanguinity was significantly associated with VSD, ASD, AVSD, PS, and pulmonary atresia. There was no relationship between consanguinity and TOF, tricuspid atresia, AS, coarctation of the aorta, and PDA.
In the present study, the history of first-degree consanguineous marriage was there in 18 (27.27%).
CONCLUSION
CHD is the leading cause of death in children with malformation. Acyanotic heart diseases were found to be more common than cyanotic disease. VSD was found to be the most common acyanotic disease, and TOF was found to be the most common cyanotic CHD. Weight was found to be more affected than height in both cyanotic and acyanotic groups. Both height and weight were affected more in cyanotic group when compared to acyanotic group.
REFERENCES
1. Eugene B. Congenital heart disease in infancy and childhood. Heart Diseases; Text Book of Cardiovascular Medicine. 8 th ed. Philadelphia, PA: W. B. Saunders Co.; 2007.
3. Ward C. Clinical significance of the bicuspid aortic valve. Heart 2000;83:81-5.
2. Graham G, Rossi E. Heart Disease in Infants and Children. 1 st ed. London: Edward Arnold; 1980.
4. Sonali T, Sushma M, Surekha J. Epidemiology of congenital heart disease among hospitalized patients. Bombay Hosp J 2004;46:36-43.
Smita et al. 14 performed a study on clinical profile of patients with acyanotic CHD in pediatric age group in rural India. In their study, weight of 68% cases was below
5. Jatav RK, Kumbhare MB, Srinivas M, Rao DR, Kumar PG, Reddy PR, et al. Prevalence and pattern of CHD in Karimnagar, India: Diagnosed clinically and by trans-thoracic-two-dimensional echocardiography. Int J Res Med Sci 2014;2:186-92.
6. da Silva VM, de Oliveira Lopes MV, de Araujo TL. Growth and nutritional status of children with congenital heart disease. J Cardiovasc Nurs 2007;22:390-6.
7. Rahim F, Younis M, Gandapur AJ, Talat A. Pattern of congenital heart diseases in children at Tertiary Centre in Peshawar. Pak J Med Sci 2003;19:19-22.
9. Khan I, Muhammad A, Muhammad T. Pattern of congenital heart disease at lady reading hospital Peshawar. Gomel J Med Sci 2011;9:174-7.
8. Shah GS, Singh MK, Pandey TR, Kalakheti BK, Bhandari GP. Incidence of congenital heart disease in tertiary care hospital. Kathmandu Univ Med J 2008;6:33-6.
10. Amro K. Pattern of congenital heart disease in Jordan. Eur J Gen Med 2009;6:161-5.
12. Sharmin LS, Haque MA, Bari MI, Ali MA. Pattern and clinical profile of congenital heart disease in a teaching hospital. TAJ J Teach Assoc 2008;21:58-62.
11. Bloomfield P, Bradbury A, Grubb NR, Newby DE. Cardiovascular disease. In: Boon NA, Colledge NR, Walker BR, editors. Davidson's Principle and Practice of Medicine. 20 th ed. Edinburgh: Churchill Livingstone; 2006. p. 519-646.
13. Bernier PL, Stefanescu A, Samoukovic G, Tchervenkov CI. The challenge of congenital heart disease worldwide: Epidemiologic and demographic facts. Semin Thorac Cardiovasc Surg Pediatr Card Surg Annu 2010;13:26-34.
16. Jackson M, Walsh KP, Peart I, Arnold R. Epidemiology of congenital heart
congenital heart disease in infants. J Pharm Sci Innov 2013;2:15-8.
disease in Merseyside-1979 to 1988. Cardiol Young 1996;6:272-80.
18. Shrestha NK, Padmavati S. Congenital heart disease in Delhi school children. Indian J Med Res 1980;72:403-7.
17. Berstein D. Epidemiology and genetic basis of congenital heart disease. In: Kleigman RM, editor. Nelson Textbooks of Paediatrics. 19 th ed. Philadelphia, PA: Elsevier; 2011. p. 1549.
19. Kapoor R, Gupta S. Prevalence of congenital heart disease, Kanpur, India. Indian Pediatr 2008;45:309-11.
21. Gilger M, Jensen C, Kessler B, Nanjundiah P, Klish WJ. Nutrition, growth, and the gastrointestinal system: Basic knowledge for the pediatric cardiologist. In: Ganson A, Bricker JT, McNamara PG, editors. The Science and Practice of Pediatric Cardiology. Philadelphia, PA: Lea & Febiger; 1990. p. 2354-70.
20. Abbag F. Pattern of congenital heart disease in the south-western Region of Saudi Arabia. Ann Saudi Med 1998;18:393-5.
22. Krieger I. Growth failure and congenital heart disease. Am J Dis Child 1970;120:497-502.
14. Smita M, Jagdish K, Mukund B, Sadhana R. Clinical profile of patients with acyanotic congenital heart disease in pediatric age group in rural India. IOSR J Dent Med Sci 2014;13:6-12.
15. Sandeep VH, Laxmi NI, Venkatesh P, Vijayanath V. Clinical study of
23. Okoromah CA, Ekure EN, Lesi FE, Okunowo WO, Tijani BO, Okeiyi JC. Prevalence, profile and predictors of malnutrition in children with congenital heart defects: A case-control observational study. Arch Dis Child 2011;96:354-60.
How to cite this article: Karthiga S, Pathak S, Lazarus M. Clinical and Anthropometric Profile of Congenital Heart Disease in Children Admitted in Pediatric Ward. Int J Sci Stud 2017;5(5):112-117.
Nil,
None declared.
Source of Support: Conflict of Interest:
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Introduction _______________
This application note provides detailed layout guidelines for the implementation of a POE PD device DCDC PD system, based on Microsemi's PD70101AILQ and PD70201ILQ combined PD and PWM controller devices.
Applicable Documents ______
[x] PD70101A/PD70201 datasheet, catalog number DS_PD70101A_PD70201
[x] PD70201EVB60F12 evaluation board user guide
Background _______________
Microsemi’s PD70101AILQ and PD70201ILQ devices are part of a device family; these devices are targeted for realizing the 802.3at standard PD interface.
The PD interface device family includes the following:
| Device type | Power capability | Integrates PWM controller |
|---|---|---|
| PD70100/A | IEEE 802.3at Type 1 (IEEE 802.3 af) | No |
| PD70101/A | IEEE 802.3at Type 1 (IEEE 802.3 af) | Yes |
| PD70200 | IEEE 802.3at Type 2 | No |
| PD70201 | IEEE 802.3at Type 2 | Yes |
Due to its high power handling, it is very important to follow the guidelines specified in this application note in order to have noise robustness and a solution with good thermal behavior.
PD70101A/ PD70201 PD device Layout Guidelines
APPLICATION NOTE
Layout Guidelines___________
PD70101ILQ / PD70201ILQ ICs comprises four ground types:
1. VPNI –
VPNI is the negative side of the voltage received from the PSE side. It is connected to VPNO through the isolation switch. This switch is ON as long as the voltage is a valid PSE voltage.
2. VPNO –
VPNO is the negative side voltage which is the output of the PD device front end. It is connected to VPNI through the isolation switch.
3. PWM controller Power Ground (PGND) – DC/DC power circuitry should be referenced to this ground. The DV/DT FETs gate driving signals are returned through this ground pin.
4. Quiet ground (GND) – PWM controller quiet ground used for the return path of the low power control signals.
GND and PGND are connected in a single point to the PCB to eliminate the high currents signals affecting the control signals.
In order to realize IEEE802.3at standard, PD system usually has one more ground type which is the secondary ground of the DCDC converter. Secondary ground should obtain 1500VRMS isolation from all of the above ground types.
PD70101A/PD70201 structure:
[x] The device is comprised of dual Dies: PD frontend Die and PWM controller Die.
[x] 10 pins on the left hand side of the package belong to PD front-end Die. These are pins 3132 and 1-8. In addition the thermal Pad – pin 33 in the schematics – is also referenced to PD front-end and is internally connected to VPNI signal.
[x] All the rest of the pins belong to PWM controller Die.
Analog Mixed Signal Group
A
PPLICATION
N
OTE
Rev. 1.0 /4-Dec-12
PD is comprised of some generic parts.
DCDC converter stage
Input stage.
Output stage.
Figure 3 shows the current flow through these stages for the PD70201EVB60F12 evaluation board.
Input Stage
Input stage includes the following elements:
-
- Input RJ45 connectors
Line transformer
-
- Diode bridge
Common mode choke
- Bulk capacitor for DCDC input filter.
- PD70101A/PD70201 device
In this set of elements, the current is floating in continuous form (non-switched).
The first 4 elements should be placed next to each other in order to enable the common mode choke to filter the noise close to RJ45 connector.
To have low radiation design, the layout of the positive input and of the negative input should be in a differential form. This means that the positive rail is always as tight as possible to the negative one. See blue and RED lines in Figure 3.
Among the above elements the diode bridges and PD device are the only elements that dissipate high power and get heated. Therefore copper land for heat sinking should be maintained for them.
PD70101A/ PD70201
PD70101A/PD70201 power dissipation is mainly a function of the device's switching FET resistance and system Current.
P=SW_RDSon x Max current
Place both the PD70101A/PD70201 device and its peripheral on the top side so that the bottom layer will be used as a Power dissipation layer. Keep it in as solid as possible VPNI potential.
If there are inner layers, use them for extended copper land under the device to improve heat dissipation.
For the layout, use the pattern land shown in Figure 10. Vias under the device are used for heat transfer between layers.
Place VPNi/Vpp capacitors as close as possible to PD70101A/PD70201, between pins 5 and 32.
Place PD70101A/PD70201 bypass capacitors as close as possible to the device.
Note: although the PD device is the controller of the DCDC converter its location should be determined by its Conducting features. A proper layout will allow control from a distance.
PD70101A/ PD70201 PD device Layout Guidelines
APPLICATION N
OTE
DCDC Converter Stage.
Figure 3 depict two current pathways of driver's power section. When Primary FET is on, current flows through input On loop. When Primary FET is off, current flows through output Off loop.
Locating components close to each other within a loop, allows a shorter current loop. As a result, high currents remain in the driver's power block (and out of ground return path of quiet components). For the On Loop place CIN, power transformer, sense resistors, and Primary FET as close as possible to each other. For the Off Loop, place power XFMR, Sync FET and COUT as close as possible to each other.
Traces
Figure 4 depicts the high current traces. It is marked in RED and highlighted by a yellow background. Make all high current traces as short and direct as possible. The trace thickness should withstand its current values with low temperature rise.
Note: Power is flowing out of VPNo signal, and not PGND.
Rev. 1.0 /4-Dec-12
Analog Mixed Signal Group
Sense Resistors:
Sensing of the primary loop current is done using 1% +/-100ppm low resistance resistors connected as a shunt.
Figure 5 depicts the right way to layout the power supply sense resistors.
Calculate sense resistor power dissipation. Choose resistor size and number of resistors according to calculation result.
The sense resistors' voltage is in the range of 0 to 200mV and exists in an environment of fast transitions of up to 160V. The form of the current sense signal is very important and its integrity must be maintained. Thus the sense voltage traces layout should be maintained carefully.
In order to simplify the integrity challenge, PD70101A/PD70201 has a differential sampling mechanism built of pins CSP & CSN.
Route differential traces from sense resistor terminals to CSN and CSP input pins. They should be connected as a Kelvin connection, as close as possible to the resistors pads, and should not be part of the high current path to the resistors. This way, voltage measurement is not influenced by voltage drop on the high power traces.
The two lines should be routed together close to each other in order to maintain good noise immunity. For the resistor high current trace, use a Wide trace or copper planes to decrease trace voltage drop.
PD70101A/ PD70201 PD device Layout Guidelines
APPLICATION NOTE
Primary and Secondary FETs
Primary and secondary FETs are high power devices. A FET should have copper land to enable power dissipation from it to the environment.
Copper land is a function of the FET package power consumption and the system requirements.
Figure 6 depicts DCDC converter MOSFET layout. Calculate DCDC converter FET power dissipation to Choose MOSFET's package and thermal pad size according to calculation results. If you use two MOSFETs, connect them in parallel.
MOSFET Design Example:
System Specifications:
Tja
C
abs
150
max _ _
(absolute maximum taken from data sheet)
C Tja 120 max _ (design margin from data sheet absolute maximum value)
TMAX = 70ºC (maximum ambient temperature)
∆T =
max _ Tja
- TMAX = 50ºC (maximum required temperature rise on MOSFET case)
PMOSFET = 1.3W (Maximum FET power based on static and dynamic losses calculation)
Due to MOSFET high power dissipation, chosen MOSFET package is D2PAK with pad size of 1x1inch (25.4x25.4 mm).
Θja=35 ºC/W (see figure 9)
Tja
C
5. 45
3.1
35
Temperature rise is within system specification.
Figure 5: Sense Resistor Layout
Analog Mixed Signal Group
Isolation
For an isolated DCDC design such as Flyback, Isolation level is based on IEEE 802.3AT standard.
IEEE 802.3AT standard defines 1500Vrms isolation to be obtained between all accessible external conductors including frame ground (if any), RJ45 connector leads, and all internal leads of the PD such as secondary side traces.
So isolation should be maintained between Flyback converter primary and secondary sides and between Frame ground and secondary side.
1500Vrms isolation is obtained by having a gap of 60mil between the traces of the primary domain and the secondary domain.
The isolation line of separation should include power transformer, secondary gate pulse transformer, optocouplers, and Primary/secondary 2000V capacitor. The Capacitor should be located close to the power transformer to help fighting conducted emission issues if raised.
Do not mix the two isolated sides. Mixing the sides may cause signals to mix and thus difficulty in maintaining the isolation.
Use a physical Isolation line as presented in Figure 8.
There should not be a plane layout under the primary and secondary sides of the power transformer.
Rev. 1.0 /4-Dec-12
Analog Mixed Signal Group
1 Enterprise, Aliso Viejo, CA 92656, USA; Within the USA: (800) 713-4113, Outside the USA: (949) 221-7100 Fax: (949) 756-0308
PD70101A/ PD70201 PD device Layout Guidelines
APPLICATION NOTE
Driving
Gate drive pulses are supplied to the primary and secondary gates and are generated by the PWM controller section of the PD70x01 devices.
In order to increase efficiency and still decrease the temperature rise of the FETs, a fast slew rate pulses should be obtained.
PD70x01 device drivers have internal serial output resistance. To overcome this internal resistance and also the distance of the controller from the FETs, extra driving components are used. For proper operation of the driving elements, pull up transistor, pull down transistor, and bypass capacitor should be as close as possible to the referenced FET.
Snubbers
Figure 9 depicts Snubbers location.
Snubbers are elements that are aimed to protect FETs from high voltage spikes that are produced due to system parasitic. For example, in the primary domain, the transformer inductance reaction to current switching creates high voltage spikes.
To overcome this issue, Snubber is placed in parallel to the transformer primary winding, and should be placed as close as possible to it. The proximity of those is very important in order to reduce the voltage spikes on the Drain-Source of the primary FET.
The location, in the bottom side under the transformer, yields a low inductance connection. The Snubber can be comprised of serial resistor and capacitor (RC Snubber), resistor capacitor and diode (RCD), or active Snubber that also uses inductor.
The Secondary side Snubber is usually an RC Snubber, and should be located very close to the secondary FET, between Drain and source.
Heat Sinking
The components that usually dissipate the major power portion and as a result heat up are:
- Secondary FET
- Primary FET
- Power Transformer
- Primary Snubber components
- PD70x01 device
- Secondary snubber components.
Board design should provide an adequate copper land for dissipating the heat of those components.
For PD70101A/PD70201 use the pattern land shown in Figure 10 for the layout. Vias under the device are used for heat transfer between layers. Use 25 mil Vias for effective heat transfer between layers .As a first priority use external layers for the heat dissipation; If can be done using the internal layers as well for good heat transfer.
Design example
On Figure 14 to Figure 18 you can see the layout of PD70201EVB60F12 evaluation board for reference. This board can be ordered from Microsemi.
Rev. 1.0 /4-Dec-12
Analog Mixed Signal Group
1 Enterprise, Aliso Viejo, CA 92656, USA; Within the USA: (800) 713-4113, Outside the USA: (949) 221-7100 Fax: (949) 756-0308
PD70101A/ PD70201 PD device Layout Guidelines
APPLICATION NOTE
APPLICATION NOTE
Rev. 1.0 /4-Dec-12
C C
L L
PD70101A/ PD70201 PD device Layout Guidelines
APPLICATION NOTE
Rev. 1.0 /4-Dec-12
APPLICATION NOTE
Rev. 1.0 /4-Dec-12
APPLICATION NOTE
Rev. 1.0 /4-Dec-12
APPLICATION NOTE
Rev. 1.0 /4-Dec-12
Analog Mixed Signal Group
APPLICATION NOTE
The information contained in the document is PROPRIETARY AND CONFIDENTIAL information of Microsemi and cannot be copied, published, uploaded, posted, transmitted, distributed or disclosed or used without the express duly signed written consent of Microsemi If the recipient of this document has entered into a disclosure agreement with Microsemi, then the terms of such Agreement will also apply. This document and the information contained herein may not be modified, by any person other than authorized personnel of Microsemi. No license under any patent, copyright, trade secret or other intellectual property right is granted to or conferred upon you by disclosure or delivery of the information, either expressly, by implication, inducement, estoppels or otherwise. Any license under such intellectual property rights must be approved by Microsemi in writing signed by an officer of Microsemi.
Microsemi reserves the right to change the configuration, functionality and performance of its products at anytime without any notice. This product has been subject to limited testing and should not be used in conjunction with lifesupport or other mission-critical equipment or applications. Microsemi assumes no liability whatsoever, and Microsemi disclaims any express or implied warranty, relating to sale and/or use of Microsemi products including liability or warranties relating to fitness for a particular purpose, merchantability, or infringement of any patent, copyright or other intellectual property right. The product is subject to other terms and conditions which can be located on the web at http://www.microsemi.com/legal/tnc.asp
Revision History
© 2012Microsemi Corp.
All rights reserved.
For support contact: email@example.com
Visit our web site at: www.microsemi.com
Catalog Number: PD70101A_PD70201_AN208
Rev. 1.0 /4-Dec-12
Analog Mixed Signal Group
|
Information Risk assessment for the operation of incubators with CO2/N2 see on p. Fig. Tab. p.
see on p.
see Fig. Tab. p.
English (EN)
Information
Risk assessment for the operation of incubators with CO2/N2 English (EN)
Information on performing a risk assessment for the operation of incubators with CO2 and N2
This information sheet contains suggestions and example calculations for safety measures when handling carbon dioxide (CO 2 ) and nitrogen (N 2 ) in the laboratory. It does not replace local applicable regulations or Material Safety Data Sheets issued by the gas supplier.
1 CO 2 and N 2 in the incubator laboratory: Dangers, measures, thresholds
1.1 Standards and regulations in Germany
Observe the national guidelines on handling gases and on the equipment and operation of laboratories.
Performing a risk assessment is strongly recommended, independent of the existing national guidelines, if incubators are operated with gases.
This document describes as an example a possible approach to performing a risk assessment on the basis of German legislation and resulting recommendations.
In Germany, thresholds for the gas concentration and specifications for the handling of technical gases are listed in the Technical Rules of the Federal Institute for Occupational Safety and Health (Technische Regeln der Bundesanstalt für Arbeitsschutz und Arbeitsmedizin) and in DIN standards. The following list does not claim to be exhaustive; it is provided as a starting point for researching the relevant national guidelines.
* Ratgeber zur Gefährdungsbeurteilung
(Guide to determining risk-related occupational safety and health measures at the workplace)
* Technische Regel für Gefahrenstoffe – Schutzmaßnahmen (TRGS 500) (Technical Rule for Hazardous Substances – Protective Measures)
* Technische Regel für Gefahrenstoffe – Laboratorien (TRGS 526) (Technical Rule for Hazardous Substances – Laboratories)
* Technische Regel für Gefahrenstoffe – Arbeitsplatzgrenzwerte (TRGS 900) (Technical Rule for Hazardous Substances – Occupational Exposure Limit Value)
* Technische Regel für Betriebssicherheit – Befähigte Personen (TRBS 1203) (Technical Rule for Hazardous Substances – Qualified Persons)
* DIN 1946-7:2009-07 Raumlufttechnik – Teil 7: Raumlufttechnische Anlagen in Laboratorien (English version: DIN 1946-7:2009-07 (E) Ventilation and air conditioning - Part 7: Ventilation systems in laboratories)
1.2 Dangers when handling CO 2 and N 2
Working with incubators requires the use of the technical gases CO 2 or N 2 .
Risks to health
* The CO 2 concentration in the air is too high: Risk of suffocation
* N 2 : Risk of suffocation due to the displacement of O 2
Information
Risk assessment for the operation of incubators with CO2/N2 English (EN)
1.3 CO 2 and O 2 thresholds in the breathing air
Thresholds for the gas concentration according to the Guide to determining risk-related occupational safety and health measures at the workplace (Ratgeber zur Gefährdungsbeurteilung, ed.: Federal Institute for Occupational Safety and Health (Bundesanstalt für Arbeitsschutz und Arbeitsmedizin)):
* CO 2 threshold: A maximum of 0.5 %
* O 2 threshold: A minimum of 17 %
1.4 Measures: Reduction of dangers from technical gases
Observe the national guidelines on handling gases and on the equipment and operation of laboratories.
Perform a risk assessment for the laboratory. Implement measures against the identified dangers, for instance
* Measures that issue an alert when a critical gas concentration is reached in the laboratory (gas detectors).
* Measures that ensure air exchange (ventilation systems) both during normal operation and when a critical gas concentration is reached in the laboratory.
2 Notes on the use of gas detectors
Observe the applicable regulations when using a gas detector.
Possible results of a risk assessment
It must be possible to recognize whether the gas detector has failed from outside the laboratory.
The gas detector must be connected to an emergency power supply.
The gas detector issues an alert if the CO 2 concentration is too high.
The gas detector issues an alert if the O 2 concentration is too low.
3 Example calculations for ventilation measures
The risk assessment assumes that gas will escape in the event of an accident. The following calculations make a distinction between the use of gas cylinders (a limited quantity of gas) and a permanently installed gas network (a potentially unlimited quantity of gas/a quantity of gas escaping over a period of time).
The following example calculations were developed on the basis of German thresholds for the gas concentration. All numerical values are examples.
3.1 Calculating the quantity of escaping gas: Gas cylinders
The following example calculations are based on the complete emptying of a gas cylinder in a room with a surface of 5 m × 6 m and a height of 3 m.
Room volume: 5 m × 6 m × 3 m = 90 m³
3.1.1 Calculating the CO 2 concentration
Example: CO 2 gas cylinder
* Threshold: A maximum of 0.5 % CO 2
* CO 2 gas volume: 0.55 m³/kg*
* Gas cylinder filling factor: 0.75 kg/L* * Example values. Observe the specifications of the gas supplier.
The CO 2 concentration in the room air (in percent) after the complete emptying of a gas cylinder is calculated approximately using the following formula:
CO 2 concentration in percent with a room air of 90 m³ and a 6 kg gas cylinder:
CO 2 concentration in the room air after the complete emptying of the gas cylinder: 3.7 %. The threshold has been exceeded.
Information
Risk assessment for the operation of incubators with CO2/N2 English (EN)
3.1.2 Calculating the displacement of O 2 by N 2
Example: N 2 gas cylinder
* O 2 concentration threshold: A minimum of 17 %
* Simplified value for the O 2 concentration in the room air: 20 %
* N 2 gas volume: 0.85 m³/kg ≙ 0.2 m³/L with an internal cylinder pressure: 200 bar*
* Example values. Observe the specifications of the gas supplier.
The displacement of O 2 in the room air after the complete emptying of a N 2 gas cylinder is calculated approximately using the following formula:
O 2 concentration in percent with a room air of 90 m³ and the emptying of a N 2 gas cylinder with a capacity of 10L:
O 2 concentration in the room air after the complete emptying of the N 2 gas cylinder: Approx. 19.5%. The value has not yet fallen below the threshold.
3.2 Calculating the quantity of escaping gas: Gas network
In the event of a failure in a stationary gas supply (gas network), the escaping volume of gas within a certain period of time is important.
3.2.1 Calculating the CO 2 concentration
Example: Stationary CO 2 gas supply
* The gas supply delivers 50 L/min
* Gas volume per hour: 3 000 L/h = 3 m³/h
The CO 2 concentration in the room air (in percent) in conjunction with an inflow from the gas supply is calculated approximately using the following formula:
CO 2 concentration in percent with a room air of 90 m³ and a CO 2 inflow of 3 m³/h:
CO 2 concentration after 1 h: 3.3 %. The threshold has been significantly exceeded.
3.2.2 Calculating the displacement of O 2 by N 2
Example: Stationary N 2 gas supply
* The gas supply delivers 166 L/min
* Gas volume per hour: 10 000 L/h = 10 m³/h
* Simplified value for the O 2 concentration in the room air: 20 %
The reduction of O 2 in the room air through the inflow of N 2 is calculated approximately using the following formula:
Reduction in the O 2 concentration in the room air with a room air of 90 m³ and a N 2 inflow of 10 m³/h:
* Reduction in the O 2 concentration after 1 h: 2.2 % ≙ 17.8 % O 2 in the room air: The value has not yet fallen below the threshold.
* Reduction in the O 2 concentration after 2 h: 4.4 % ≙ 15.6 % O 2 in the room air: The value is significantly below the threshold.
Information
Risk assessment for the operation of incubators with CO2/N2 English (EN)
3.3 Ventilation system: Calculating the air exchange rate
A ventilation system is designed to prevent the gas concentration (CO 2 , N 2 ) from increasing. The required air exchange rate can be determined based on the previous example calculations for stationary gas supply.
The air exchange rate that is actually required may be significantly higher than the example calculations due to other constraints in the laboratory. These constraints must be considered in the risk assessment.
3.3.1 Calculating the air exchange rate for the inflow of CO 2
The required air exchange rate for the inflow of CO 2 is calculated from the increase in the CO 2 concentration per hour in relation to the threshold.
```
Increase in CO 2 concentration in relation to room volume in %/h CO concentration threshold
```
2
Example: Air exchange rate for the inflow of CO 2
* CO 2 inflow: 3 m³/h
* Room volume: 90 m³
* Increase in the CO 2 concentration: 3.3 %/h
* CO threshold: A maximum of 0.5 %
2
The required air exchange rate is 6.6/h.
The supply air flow of the ventilation system must be 6.6 times the room volume per hour. A room volume of 90 m³ requires a supply air flow of 594 m³/h.
3.3.2 Calculating the air exchange rate for the inflow of N 2 (displacement of O 2 )
The required air exchange rate for the inflow of N 2 is calculated from the reduction in the O 2 concentration per hour in relation to the maximum O 2 reduction (O 2 concentration of 20 % minus the threshold of 17 %).
Reduction in O
2
concentration in relation to room volume in %/h
O
2
concentration reduction threshold
Example: Air exchange rate for the inflow of N 2
* N 2 inflow: 10 m³/h
* Room volume: 90 m³
* Reduction in the O 2 concentration: 2.2 %/h
* Maximum O 2 reduction: 3 % (a reduction in the O 2 concentration from 20 % to the threshold of 17 %)
The required air exchange rate is 0.7/h.
The supply air flow of the ventilation system must be 0.7 times the room volume per hour. A room volume of 90 m³ requires a supply air flow of 63 m³/h.
Information
Risk assessment for the operation of incubators with CO2/N2 English (EN)
|
Electricity, gas, water and district heating sectors
ARERA Conciliation Service
Annaual Report
Year 2022 - Last updated May 23, 2023
Fig. 1
Amount of incoming conciliation applications 2017 - 2022
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 1 - - 3 -
Electricity sector
Gas sector
Dual-Fuel customers
Prosumer
Water sector
District heating sector
Fig. 2
Amount conciliation
incoming applications
year 2022
*In September 2022, the Service did not acquire new conciliation requests in the face of the hacking event which affected the GSE systems recorded on the night of 8/28/22 and which resulted in the impossibility of accessing them also by of AU through 10/3/22. During the period, the Service was operational for the management of procedures with meetings scheduled before the hacker event and in providing telephone support to all parties involved.
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 2 - - 3 -
Fig. 3
Regional Index
1
of submitted
conciliation
applications
year 2022
Regional Index
1)
𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑜𝑜𝑜𝑜𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑓𝑓𝑓𝑓𝑓𝑓100.000 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟
Regional Index =
resident population per Region
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 3 - - 3 -
Fig. 4
Conciliation applications topics for the Electricity sector year 2022
Fig. 5
Conciliation applications topics for the Gas sector year 2022
Conciliation applications topics by sector – 2022 (1/3)
| Topic application | n. | % vs tot. |
|---|---|---|
| Invoicing/billing | 5.924 | 46,2% |
| Contracts | 2.8 | 21,8% |
| Damages | 1344 | 10,5% |
| Late/non-payment, disconnection | 695 | 5,4% |
| Other | 623 | 4,9% |
| Metering | 572 | 4,5% |
| Connection, technical quality | 553 | 4,3% |
| Market | 268 | 2,1% |
| Commercial quality | 52 | 0,3% |
| Total | 12.831 | 100% |
| Topic application | n. | % vs tot. |
|---|---|---|
| Invoicing/billing | 3.006 | 55,8% |
| Contracts | 1095 | 20,3% |
| Late/non-payment, disconnection | 410 | 7,6% |
| Metering | 289 | 5,4% |
| Other | 251 | 4,7% |
| Connection, technical quality | 159 | 3,0% |
| Market | 84 | 1,6% |
| Damages | 78 | 1,4% |
| Commercial quality | 11 | 0,2% |
| Total | 5.383 | 100% |
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 4 - - 3 -
Fig. 6
Conciliation applications topics for Prosumer year 2022
Fig. 7
Conciliation applications topics for Dual-Fuel customers year 2022
| Topic application | n. |
|---|---|
| NEM | 62 |
| Invoicing/billing | 22 |
| Connection, technical quality | 19 |
| Metering | 17 |
| Purchase and sale | 10 |
| Other | 7 |
| Contracts | 4 |
| Late/non-payment, disconnection | 2 |
| Damages | 1 |
| Total | 144 |
| Focus on 2022 - Dual-Fuel customers | | |
|---|---|---|
| Topic application | n. | % vs tot. |
| Contracts | 1.204 | 43,9% |
| Invoicing/billing | 967 | 35,2% |
| Market | 186 | 6,8% |
| Late/non-payment, disconnection | 157 | 5,7% |
| Other | 129 | 4,7% |
| Damages | 52 | 1,9% |
| Connection, technical quality | 26 | 0,9% |
| Metering | 14 | 0,5% |
| Commercial quality | 9 | 0,4% |
| Total | 2.744 | 100% |
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 5 - - 3 -
Fig. 8
Conciliation applications topics for the Water sector year 2022
Fig. 9 Conciliation applications topics for the District heating sector year 2022
Conciliation applications topics by sector – 2022 (3/3)
| Topic application | n. | % vs tot. |
|---|---|---|
| Invoicing/billing | 2.27 | 71,3% |
| Metering | 164 | 5,2% |
| Contracts | 163 | 5,1% |
| Other | 160 | 5,0% |
| Late/non-payment, disconnection | 127 | 4,0% |
| Connection | 126 | 4,0% |
| Damages | 115 | 3,6% |
| Contractual quality | 40 | 1,3% |
| Technical quality | 19 | 0,5% |
| Total | 3.184 | 100% |
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 6 - - 3 - - 2 -
conciliazione.arera.it
applications by applicants type year 2022
| Focus on 2022 | | | | | |
|---|---|---|---|---|---|
| Applicants type | Customer | Consumer Associations | Others | SME Associations | Total |
| Households | 6.531 | 5.281 | 6.035 | | 17.847 |
| Non-households | 2.400 | 911 | 3.170 | 11 | 6.492 |
| Total | 8.931 | 6.192 | 9.205 | 11 | 24.339 |
| % vs Tot. | 36,7% | 25,5% | 37,8% | 0,05% | 100% |
Source: information declared by the applicants who submitted the applications.
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 7 - - 3 - - 2 -
conciliazione.arera.it
| Focus on 2022 | | |
|---|---|---|
| Applications status | Tot. | % vs tot. |
| Accepted | 19.764 | 81,2% |
| Not accepted | 2.403 | 9,9% |
| Not completed by the applicant | 2.172 | 8,9% |
| Total | 24.339 | 100% |
Accepted applications for Electricity and Gas sectors, Prosumer and Dual-Fuel customers and status year 2022
| Accepted applications and status | Tot. | % vs tot. |
|---|---|---|
| Agreement between parties | 11.329 | 66,0% |
| No-agreement | 5.381 | 31,4% |
| Withdrawal from procedure | 340 | 2,0% |
| Lack of participation of counterparty* | 111 | 0,6% |
| Total | 17.161 | 100% |
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 8 - - 3 -
Fig. 14
Accepted applications for Water sector and status year 2022
Fig. 15
Accepted applications for District heating sector and status year 2022
| Focus on 2022 – Water sector | | |
|---|---|---|
| Accepted applications and status | Tot. | % vs tot. |
| Agreement between parties | 1.823 | 71,2% |
| No-agreement | 619 | 24,2% |
| Lack of participation of counterparty | 67 | 2,6% |
| Withdrawal from procedure | 53 | 2,0% |
| Total | 2.562 | 100% |
| Focus on 2022 – District heating sector | | |
|---|---|---|
| Accepted applications and status | Tot. | % vs tot. |
| Agreement between parties | 15 | 36,6% |
| No-agreement | 15 | 36,6% |
| Lack of participation of counterparty | 10 | 24,4% |
| Withdrawal from procedure | 1 | 2,4% |
| Total | 41 | 100% |
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 9 - - 3 -
Fig. 16
Outcomes of procedures started and concluded year 2022
procedures sector year 2022
| Applications status | Electricity | | Gas | | Water | | Dual-fuel | | Prosumer | | District heating sector | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | n. | % vs tot. | n. | % vs tot. | n. | % vs tot. | n. | % vs tot. | n. | % vs tot. | n. | % vs tot. | n. |
| Agreement between parties | 6.551 | 64% | 3.051 | 72% | 1.823 | 75% | 1.669 | 75% | 58 | 60% | 15 | 50% | 13.167 |
| No-agreement | 3.614 | 36% | 1.184 | 28% | 619 | 25% | 544 | 25% | 39 | 40% | 15 | 50% | 6.015 |
| Total | 10.165 | 100% | 4.235 | 100% | 2.442 | 100% | 2.213 | 100% | 97 | 100% | 30 | 100% | 19.182 |
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 10 - - 3 -
- 2 - conciliazione.arera.it
Average number of days for concluding the procedure year 2022
Fig. 18
Compensation 1 for the procedures started and concluded year 2022
Fig. 19
Customer satisfaction for the procedures started and concluded year 2022
21.004.445 €
About 96% of the customers who completed the survey 2 at the end of the procedure are satisfied with the ARERA Conciliation Service
Not
Completely satisfied
satisfied
1)
2) 8.781 complete questionnaire replies.
It is given by the algebraic sum of the remuneration (also comparing to the value of the dispute) obtained from customers who have started a procedure in 2022 and signed an agreement in front of the Conciliation Service.
Servizio Conciliazione – Relazione annuale delle attività -
ARERA Conciliation Service –
anno 2018
Annual report 2022
- 1 -
- 11 - - 3 -
|
Issue 6 May/June 08
Collecting Firewood
It's that time of year again when wood smoke fills the evening air and chainsaws can be heard from one end of the valley to the other. Everyone is scrambling for firewood! It's not cheap so we often source it ourselves.
Collecting firewood without understanding the nature of ecology and sustainable practice has an effect on our native woodlands, and a variety of threatened species. Dead standing and fallen timber provides crucial habitat for numerous species of animals, plants and fungi. It is now recognised that the removal of this wood for firewood is contributing to a significant loss of wildlife, particularly in the woodlands of south-eastern Australia. In fact removal of dead wood and dead trees is now listed as a 'key threatening process' on Schedule 3 of the Threatened Species Conservation Act 1995.
Dead trees and fallen timber are vital habitat for a diverse range of fauna. Firewood harvesters target dead trees (often with hollows) and fallen timber as these are immediately able to burn well and produce less smoke. However, not only does standing and fallen dead wood provide habitat for fauna, it also plays an essential role in maintaining forest and woodland nutrient cycles. In fact, the deadwood component is just as important as the living overstorey, leaf litter and soil components for the maintenance of ecological processes that sustain biodiversity.
Through no fault of their own, many firewood users and suppliers are unaware of the ecological consequences of firewood collection. It is often mistakenly seen as just 'cleaning up' the forest or keeping the farm tidy. There is a general perception that deadwood is a resource in unlimited supply that can be harvested without any environmental consequences.
Photo, right: Fallen timber, prime firewood but also prime habitat. (photo: Steve Sass)
Tips for buying firewood from a merchant.
* Ask your wood merchant where they get their wood from. Do they take habitat into consideration? Are they aware of the 'Voluntary Code of Practice for Firewood Merchants'?
* Where possible, avoid purchasing redbox, yellowbox, whitebox, ironbark and mallee. These species are already under extensive pressure from agricultural clearing (particularly in SE Australia). Continual harvesting of them for firewood is not sustainable.
Tips for collecting firewood yourself.
* If collecting firewood yourself, purchase a permit and gather the wood from state forests where firewood gathering can be managed sustainably.
* Avoid collecting or purchasing wood with hollows.
* Recycle - use old fence posts and off cuts from mills.
* Keep an eye out for trees that have been cut down by the council or your neighbours (obstructing powerlines, renovations etc).
* Only burn well seasoned, dry wood to reduce the wood smoke emissions.
* Use correct burning techniques. This will reduce the amount of firewood that you consume. Contact your local wood heater retailer for correct burning procedures.
* Better still, consider growing your own!
FSCCMN newsletter
CONTENTS
Coordinators Column
Contact the FSCCMN
Dan and Vickie Williamson PO Box 816 Bega NSW 2550 (02) 6492 5558 firstname.lastname@example.org www.fsccmn.com.au
How to keep warm in colder months is a conundrum, especially if you watch your ecological footprint. If your choice is a wood fire, what's the best way to gather firewood? We hope our cover story helps CMN members to collect firewood in the most responsible way. Sometimes understanding the impact of necessary human activities is a bit confronting. But with good information we can make choices that have the least impact.
Steven Sass is a local ecologist and has written for us in this issue about reptiles. By understanding their place in the biodiversity on your property you can better protect their habitat. Steven gives useful tips on how to collect firewood with reptile habitat in mind.
We're fortunate to also have a contribution from CMN members Denise and Graeme Krake. The Krakes have a property in Brogo and have written for us on native terrestrial orchids. There is so much to share about this miniature delight we'll run further articles from Denise and Graeme in future issues.
If you'd like to share something with others in the CMN newsletter, let us know. There is a $40 book voucher as a reward for your efforts.
A couple of our recent events are reviewed in this issue. We do this not just for shameless self promotion but to extend the information for those who couldn't attend. Both the propagation workshop and grassland walk were so popular they had waiting lists. We've put useful information from both these events on the CMN website for you to find out more.
Unfortunately we had to cancel the planned Treevia afternoon in April. Seems you're a busy lot and we didn't get enough responses. If you're keen to learn about native vegetation, meet neighbours and other locals and have a giggle, let us know we may run it again.
Dan and Vick
Free Book Offer for Your Ideas
The Far South Coast Conservation Management Network supports landholders with native vegetation on their property and caters to all types of vegetation and all types of land holders. The CMN is about you so we'd like to hear how the network can best support you to manage your vegetation.
Have you got something to share? Are you working on a vegetation management project at home that is really successful and you could share your learnings with other members?
Anyone to contribute an article in either of the next two editions (7 or 8) will receive a $40 book voucher for Candelo Books. Contact us to discuss your ideas.
The FSCCMN is funded by the Southern Rivers Catchment Management Authority.
FSCCMN Events
Native Plant Propagation November 07
The second in our 'Grow Your Own' series, our native plant propagation workshop was one of our best yet. It was attended by 16 people and presented by Karen Walker, horticulture lecturer at Illawarra TAFE - Bega campus. Heidi Ashburner from Riverside Nursery (where the workshop was held) gave a nursery tour and talked about the stages of plant propagation in the nursery.
Karen's teaching skills combined with her involvement with Greening Australia for many years, resulted in a great job at departing the most important information in a very digestible way. Attendees came out with a good understanding of the principles of the propagation process, in particular handling and treating the seed and the care needed when transplanting seedlings from tray to pot etc.
Karen stressed that it was important to make the decision early to plant your seed in a communal tray (to replant later into larger pots) or to plant seed direct into the pot you wish it to grown in until the stage of planting in the ground. The difference being that both methods have very different handling and management requirements. More explanation is outlined in the workshop notes which can be downloaded from our website. (www.fsccmn.com.au)
Some of the topics covered included seed selection, researching the seed handling requirements, containers and media selection, hygiene, seed sowing, germination, fertilisers and health and saftey. A few 'technical' terms that participants picked up include, J rooting, pricking out, damping off, and hardening off.
As always participants were treated to delicious snacks for morning tea, a healthy hearty lunch (sushi and gourmet wraps and sandwiches), and of course proper coffee was on offer throughout the day!
The workshop was so popular, bookings exceeded capacity so we are planning another workshop in spring. If you are interested let us know and we will put you on our invite list.
Grassy Ecosystems April 08
Over 30 people gathered in Brogo for a field day on management of native grassy woodlands.
The CMN organised the day because of the growing interest in recognising and managing native grassy woodlands. Often grassy woodlands go unrecognised as native vegetation because they don't fit the usual picture of 'bush' and tend to look like an unkept semi-cleared paddock. As a result many of us don't realise we have native vegetation on our property.
We teamed up with Canberra based group 'Friends of Grasslands' (FoG) who came down to get first hand experience of more coastal grassy ecosystems. Their knowledge of grassland management and ID skills were great to have along. Anyone interested in FoG can visit their web site www.fog.org.au
Starting at Brogo we looked at how fire had been used to halt wattle regeneration from overcoming a native grassy paddock and discussed other threats such as blady grass and bracken (strangely enough both of which are native to the area). We then moved on to Springvale (just out of Bega) where we focussed more on ID of grassy species.
Info about managing native grassy woodlands can be found on our web site with a full review of this walk. www.fsccmn.com.au
Management Advice
Lizards and logs - Protecting and creating reptile habitat
Words and photography By Steven Sass , Senior Ecologist - NGHenvironmental
With our rich diversity of reptiles under threat, Steven Sass helps us to understand the benefits of cold blooded critters. By understanding habitat requirements and using wood and thermal surfaces to create more habitat, you can support reptiles and a healthy biodiversity.
Australia has one of the most diverse and successful reptile faunas of any continent, with more than 800 species found in every habitat type from snow covered peaks to deserts. Even more unique is that the majority of our reptiles are endemic to Australia, being found nowhere else in the world.
However, this diverse range of species has come under considerable threat over the past 200 years, as the effects of fragmented and degraded habitat take their toll.
Reptile Benefits
To farmers and land managers, reptiles are an interesting component of the 'big biodiversity picture'. Reptiles consume huge amounts of insects, and of course, rats and mice; all potential pests around the farm. They themselves provide a food to higher-end predators such as birds of prey, kingfishers and birds such as cuckoo-shrikes
Reptile Habitat
Having a low-dispersal capability, often less than 40 metres, can be detrimental if you are a small lizard living in an isolated fragment of remnant vegetation. Without an effective 'corridor' of suitable habitat to move across, a loss of genetic diversity is likely.
areas of native vegetation. So a 'soft matrix' refers to this land, but with a 'softened' effect on its harshness, to improve habitat.
Photo: Jacky Dragon (Amphibolourous muricatus) a Bega valley local
While it is beneficial to biodiversity in general to connect fragments with
native trees, much of the reptile fauna of the NSW Far South Coast lives at ground level. For these species a 'soft matrix' is equally, or even more important. You may have heard the term 'matrix' in natural resource management or you may only know it from a movie of the same name! Matrix is a term used to describe the land surrounding
4
Reptiles are rarely known to move across a matrix of cleared, agricultural land. Unless of course you are a big goanna or snake that has few predators. But for small skinks, they rarely venture across these areas for fear of predation, general lack of habitat or the limits of their small home range. For reptiles, fallen timber, native grasses, and other ground-level microhabitat features can create connectivity between fragments of remnant vegetation. By creating a soft matrix between remnants you will allow reptiles to hide from predators, forage for insects and even breed. While I don't suggest that you collect a whole bunch of fallen timber or bush rock from native vegetation, you can do this by using artificial structures to provide foraging, breeding, refuge and thermal habitat.
Management Advice
What about grazing?
What can you do?
Habitat disturbance can have a disastrous impact on reptile fauna. Heavily grazed native vegetation will remove ground cover and reduce the number of insect inhabitants, removing food and shelter for reptiles. This results in a reduced carrying capacity that limits the number of reptiles that can survive. Severe declines in reptiles have been observed in native vegetation after periods of prolonged grazing.
Photo above: over grazed paddock on right clearly showing lack of ground layer habitat.
It is inevitable that landholders will need to graze their remnant native vegetation, particularly in times of prolonged drought. Fencing to exclude stock from fragments of native vegetation will be beneficial to minimize disturbance and allow native species to regenerate. However, there is some argument that 'crash' grazing may benefit reptiles, as it reduces the amount of grasses and forbs (broad-leafed herbs) quickly which then increases solar radiation reaching ground level, great for a basking lizard. While the crash graze is heavy, it is short, therefore minimizing disturbance to a few days or a week, rather than a whole breeding season for a reptile community.
Reptile Facts
1. They have low-dispersal capability (often less than 40 metres).
2. They occupy small home ranges.
3. They're very susceptible to habitat disturbance.
These three factors can severely impact which reptile fauna inhabit your property, but they can also be used to your advantage when creating additional areas of habitat. In other words, consider reptile behaviour when planning habitat.
Reptiles have taken to a number of artificial microhabitat features such as old fence posts and railway sleepers spread around as fallen timber, while concrete roof tiles and piles of bricks provide similar thermal qualities as rocky outcrops. Old sheets of corrugated iron laid on the ground are also enjoyed by most reptile species.
While these artificial substrates provide great microhabitat features, the ultimate aim of a soft matrix should be to include native plants where possible, such as native grasses and forbs. Weediness reduces the quality of any habitat for most reptiles by creating shady, damp situations that are often homogenous and therefore limit reptile abundance. All of these actions can also be applied within existing fragments of native vegetation.
Firewood collection also has a negative impact on reptile communities. It would be good practice to limit your firewood collecting to certain areas of your property, with the aim of selecting several locations where you do not collect any firewood.
How to create lizard habitat?
* Create connectivity between fragments of vegetation with fallen timber and grasses
* Old fence posts and railway sleepers can be a substitute for fallen timber
* Roof tiles and piles of bricks provide similar thermal qualities as rocky outcrops
* Old sheets of corrugated iron laid on the ground are enjoyed by most reptile species
* Limit firewood collecting to certain areas of your property
* Aim to select several locations where you do not collect any firewood
* Use fencing to exclude stock from fragments of native vegetation
Our unique blend of living organisms can make a speedy positive response to onground works. By using artificial habitat to encourage a higher level of connectivity across farms and catchments, and restoring 'soft matrices' between fragments of native vegetation we benefit reptile movement, dispersal and genetic exchange. Without such actions, a decline in reptile richness across agricultural areas is expected and could result in the local extinction of some species.
Native Plant ID
Field Guide to the Native Orchids of Southern Australia.
David and Barbara Jones, Bloomings Books Pty Ltd 2000.
To help you get started identifying orchids on your own property, this book is one of your best shots. Describing 268 species with a description for each orchid, detailing its distribution, flowering period and habitat.
Prasophyllum wilkinsoniorum, common name not specified,
Diuris sulphurea 'Tiger Orchid'
6
An Introduction to Australian Terrestrial Orchids
Denise & Graeme Krake - email@example.com
Denise and Graeme have been members of the Australian Native Orchid Society for 8 years. Their involvement is in rare orchid conservation, monitoring of sites, orchid searches and cultivation. They have been members of the CMN since it began and here share some of their knowledge of native terrestrial orchids.
A complex variety of terrestrial orchids occur throughout our bush environs. The huge variety of these orchids is expressed in all shapes, sizes and colour. They are found in a diverse range of habitats, from alpine regions to semi-desert and coastal woodlands. Associated soil types also vary from sphagnum bogs to clay, rocky and sandy loams. Flower pollination may be initiated by specific insect pollinators or they may simply self-pollinate – clever little devils!
Of the 700 species extending across southern temperate Australia the major groups include Spider Orchids (Caladenia), Leek Orchids (Prasophyllum), Donkey Orchids (Diuris), Greenhoods (Pterostylis), Sun Orchids (Thelymitra) and a wide variety of other genera.
Not all orchids will flower or even emerge each year due to a complex range of environmental factors. Most species initiate growth from a summer dormant underground tuberous structure and are conditioned by the need for moisture and a drop in temperate during Autumn. For example, Pterostylis species sprout in April and position the unexpanded rosette bud at the soil surface until the arrival of seasonal rainfall. The growth of the plant is rapid with the leaf or leaves fully expanded within the first month of emergence. It is thought that at this time the major nutrient loading occurs via the mycorrhizal fungi (in the soil or leaf litter), which infects the root structure or stem of the plant.
Dormancy in most species of terrestrial orchids occurs in response to a combination of soil drying and rising temperatures in late spring and summer.
If the nutrient level or rainfall is insufficient, orchids will remain dormant and not re-emerge until conditions are suitable to promote growth. Sometimes this period can extend for several years. Long seasons of drought can cause the tubers to dehydrate and disappear completely. Fire can also play an important role in the flowering habits of some species.
Future articles will examine in more detail topics such as: the characteristics that determine generic differences; orchids you can expect to find in various habitats; and strategies to help these little delights of our native flora to maintain their diverse existence.
Orchid photos supplied by Jackie Miles and Max Campbell.
Pterostylis parviflora, Greenhood
Resources Events
Upcoming CMN Events
In the coming months we have a few events planned that will be scheduled and run depending on numbers. If you are interested in any of the options below, email or call us now to let us know. We can then inform you of expected dates and any further details.
Tree Planting Methods and Techniques Field Day
Part 3 and final in our 'Grow Your Own' series of workshops •
Explores the many different approaches and methods for revegetating your property •
Do you rip first, spray, use tree guards or not, what spacing to use, depth to plant, maintaining your planting, weed management etc etc. There is surprisingly a lot to know! •
Bush Regeneration Techniques Workshop and Field Day
A proposed half day theory workshop followed by a half day practical in the field •
Bush regeneration is theory packed with many aspects to its approach and techniques. Once you have the basics it makes planning a bush regeneration project much easier •
Local Link Eden Region and/or Cobargo-Bermagui Region
Local Links are a series of gatherings held in different localities around the Valley with the aim of networking amongst locals and sharing native vegetation management skills and knowledge. •
We've run Local Link gatherings in Brogo, Kalaru and Candelo but have not touched base with the southern or northern parts of the far south coast. •
Check out our web site to see what Local Links are all about •
If you're keen to have one in your area contact us and we'll go from there •
Did we mention that we provide great food and good coffee! •
CMNNN Conference
Across Australia the concept of CMN's supporting private landholders is growing as a recognised and effective way to manage biodiversity.
In 2006 CMN facilitators from around Australia got together for the first time to create a national focus for CMN coordination. The gathering was called the 'Conservation Management Network National Node' (CMNNN). This was the first national conference.
Some time this year, possibly even as early as June, the second CMNNN conference will be held in Canberra. The Far South Coast CMN coordinators Dan and Vickie will be attending and are keen to bring a few CMN members also.
If you are interested in becoming involved in CMN planning and contributing to regional biodiversity improvements, there couldn't be a better chance. Subsidies for attending will most likely be available and it can't be guaranteed that the CMMMN conference will be as close as Canberra in the future.
So talk to Dan or Vick if you're interested and we'll keep you informed of dates as they become available.
Coastal Weed Walks
24th & 25th May
If you're a keen gardener but aren't so sure which garden plants can become weeds then these walks are for you.
To help familiarise Far South Coast residents with invasive weed species, particularly those that can escape from our gardens a series of guided walks has been organised. They will focus on sites that are severely weed affected. The walks will be guided by Stuart Cameron, a local botanist and form part of the ongoing Coastal Weeds Project.
A large proportion, some 80% of coastal environmental weeds, originated as garden plants. Stuart will demonstrate how our choice of garden plants and our efforts (or lack of effort) to contain them can have massive impacts extending far beyond our own properties. The walks will help gardeners recognise the potential impact of garden plants on the landscape and identify those characteristics in a garden plant which make it a potential environmental threat.
You are also invited to take along any samples of plants you want identified or to discuss if it's a potential weed threat. NOTE: Please bring you weed samples enclosed in plastic bags
The first of these guided walks has already been held in the Bermagui - Wallaga Lake area. The next are scheduled for the weekend of 24-25 May.
Pambula Beach, Saturday 24 May at 9.45am for 10am start, meeting at upper carpark, Lions Park.
Merimbula Boardwalk, Saturday 24 May at 2pm, meeting at eastern end of the Boardwalk.
Eden, Sunday 25 May at 10am, meeting at the Lookout Point parking area.
The walks will be rescheduled if weather is unsuitable. Please wear suitable footwear and clothing. For further information contact Stuart Cameron on 6493 3123.
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research-article
1004210 research-article2021
Original Article
A qualitative study of bereaved relatives' end of life experiences during the COVID-19 pandemic
Jeffrey R Hanna 1 , Elizabeth Rapa 1 , Louise J Dalton 1,
2
2
3
Rosemary Hughes , Tamsin McGlinchey , Kate M Bennett ,
2
2,4
Warren J Donnellan , Stephen R Mason *
and Catriona R Mayland *
Abstract
Background: Meeting the needs of relatives when a family member is dying can help facilitate better psychological adjustment in their grief. However, end of life experiences for families are likely to have been deleteriously impacted by the COVID-19 crisis. Understanding how families' needs can be met during a global pandemic will have current/future relevance for clinical practice and policy.
Aim: To explore relatives' experiences and needs when a family member was dying during the COVID-19 pandemic.
Design: Interpretative qualitative study using semi-structured interviews. Data were analysed thematically.
Setting/participants: A total of 19 relatives whose family member died during the COVID-19 pandemic in the United Kingdom.
Results: In the absence of direct physical contact, it was important for families to have a clear understanding of their family member's condition and declining health, stay connected with them in the final weeks/days of life and have the opportunity for a final contact before they died. Health and social care professionals were instrumental to providing these aspects of care, but faced practical challenges in achieving these. Results are presented within three themes: (1) entering into the final weeks and days of life during a pandemic, (2) navigating the final weeks of life during a pandemic and (3) the importance of 'saying goodbye' in a pandemic.
Conclusions: Health and social care professionals can have an important role in mitigating the absence of relatives' visits at end of life during a pandemic. Strategies include prioritising virtual connectedness and creating alternative opportunities for relatives to 'say goodbye'.
Keywords
End of life, COVID-19, experience, support, dying, relatives, health professionals, palliative care, qualitative study
What is already known about the topic?
*• The final weeks and days of life is a stressful period for the whole family.
*• Families cope and adjust better in bereavement when they are involved in the end of life experience of a dying family member, and are provided with detailed information from health and social care professionals about their relative's condition.
What this paper adds?
*• As a result of restricted visiting to hospital and care home settings during the pandemic, relatives relied on connecting virtually with their family in their final weeks of life, which could only happen when they were facilitated by health and social care professionals.
1Department of Psychiatry, University of Oxford, Warneford Hospital, Oxford, UK
*These authors are joint senior authors for this manuscript.
2Palliative Care Institute Liverpool, North West Cancer Research Centre, University of Liverpool, Liverpool, UK
3
4Department of Oncology and Metabolism, University of Sheffield, Sheffield, UK
Corresponding author:
Warneford Hospital, Oxford OX3 7JX, UK.
Jeffrey R Hanna, Department of Psychiatry, University of Oxford,
Email: email@example.com
Department of Psychology, University of Liverpool, Liverpool, UK
Palliative Medicine 2021, Vol. 35(5) 843–851 © The Author(s) 2021
https://doi.org/10.1177/02692163211004210 Article reuse guidelines: sagepub.com/journals-permissions DOI: 10.1177/02692163211004210 journals.sagepub.com/home/pmj
*• Due to visiting restrictions imposed during the pandemic, relatives reported increased communication needs, such as more holistic information about their dying family member's wellbeing, and psychological support.
*• Relatives highlighted their need for practical and emotional support when a family member was at end of life, however for some families this need often outweighed observing the lockdown restrictions that were in place as a result of COVID-19.
Implications for practice, theory or policy
*• Health and social care professionals were perceived to be instrumental to ensuring connectedness between patients and relatives at end of life during a pandemic.
*• Despite the challenges and unpredictability of the pandemic, opportunities to 'say goodbye' to a family member who is dying is even more important for families, and should be facilitated if and where possible.
*• Proactive measures such as facilitating video and telephone calls between family members and providing detailed information reflecting holistic aspects of care should be prioritised.
Introduction
Aims and objectives
COVID-19 is likely to have a major impact on the experience of death and dying for families bereaved during the pandemic in the United Kingdom. To help avoid the spread of the virus and protect public health, access to general hospital settings, specialised palliative care units and residential care homes has been limited, including restrictions to the number of family members permitted to visit. 1 Social, emotional and practical support has been constrained by the prohibition of individuals from different households mixing and controls on travel outside localities. Health and social care professionals are also heavily burdened by the current situation with pressures related to high numbers of seriously ill patients, equipment shortages, and moral distress regarding provision of appropriate person-centred care. 2
Exploration of relatives' experiences will provide valuable insight as to how families managed and adapted when a family member was dying during the COVID-19 crisis. This will aid our understanding about how the needs of families can be facilitated during a pandemic and have direct ongoing relevance for clinical practice and policy. Additionally, lessons learned may have bearing on other situations where direct visiting may not be possible at end of life such as relatives being abroad or other infectious disease outbreaks.
The current study aims to explore the experiences and needs of relatives when their family member was dying during the COVID-19 pandemic in the United Kingdom. The objectives of this study are to investigate:
- How relatives managed the final weeks of life when a family member was dying during the COVID-19 pandemic.
- Communication between relatives, their family member and health and social care professionals when a family member was dying during the COVID19 pandemic.
- Relatives' perceptions of how best they could have been supported when a family member was dying during the COVID-19 pandemic.
Methods
An interpretative qualitative design using semi-structured interviews. 7 This study is reported following the Consolidated Criteria for Reporting Qualitative Research (COREQ) guidelines. 8
Context
This study was embedded within a national UK survey of bereaved relatives' views about end of life care experiences. The wider national study is part of an international collaborative project, involving 20 countries, and led by Erasmus University, Rotterdam.
Participants
A total of 19 relatives participated in the study between July and December 2020. Convenience sampling identified participants from a database of individuals who expressed an interest to be interviewed after completing
When the needs of relatives are met at the time a family member is dying, they are reported to cope and adjust better in bereavement with improved psychological outcomes and satisfaction with end of life care. 3 This includes clear and honest communication from health and social care professionals regarding a family member's illness and declining health 4 ; involvement in decision-making and other aspects of patient care 5 ; and the opportunity for final contact with their family member before they die. 6 Thus, the practical implications of the pandemic may have consequences for relatives' physical and mental health, as well as their general wellbeing after their family member has died.
Table 1.Semi-structured topic guide used to guide the conduct of the study.
Initial topics based on the study aims and objectives
Exploration of how relatives managed the final weeks and days of life
Perceptions of how the pandemic impacted the final weeks and days of life
Communication between the relative, their dying family member and healthcare team in the final weeks and days of life Perceptions of how best the relative/family could have been supported at end of life
Sample of additional topics as categories were identified
Staying connected with the dying family member in the final weeks and days of life
Virtual technology and connecting with the dying family member
The role of support networks
Saying goodbye to the dying family member during a pandemic Family-centred care a COVID-19 questionnaire within our wider study. Individuals were considered eligible if they had experienced the death of a family member during the COVID-19 pandemic, were aged 18 + , and resided in the United Kingdom. Purposive sampling techniques were used in later interviews to include a wide range of family members (in terms of age, gender and relationship to the deceased). Eligible participants were contacted by 1 of the researchers [RH] via email, of which 28 potential participants did not respond to the invitation and 1 declined. It is unclear why eligible participants did not respond to the invitation, as from an ethical perspective no follow-up took place following the invitation. Interested and willing relatives confirmed participation [with RH]. Written consent was obtained prior to the interview.
Data collection
Semi-structured interviews were carried out. This method was considered most appropriate for providing rich data surrounding an individual's experience. A topic guide was developed, informed by the research aims and objectives and the research team who have a wealth of combined palliative care and bereavement research and clinical experiences. The topic guide was iteratively modified as necessary to ensure follow-up with categories in subsequent interviews (Table 1). Interviews were completed by two authors [RH, TM], neither of whom had prior relationships with the participants. To demonstrate reflexivity, both researchers [RH, TM] recorded reflections after each interview. These were discussed at regular team meetings with all authors throughout the data collection period. Interviews were conducted on Zoom (n= 4) or telephone (n= 15), audio-recorded and lasted between 20 and 98 min (mAvg= 56.3 min). Interviews were completed when no further categories were identified.
Data analysis
Audio-recordings were transcribed verbatim and managed using NVivo V.12. Transcripts were not returned to the participants but were verified by one researcher [RH]. Braun and Clarke's 9 thematic analysis framework was used to analyse the data. This framework was considered most appropriate as it is a flexible method useful to exploring individual experiences, perspectives and opinions. Initially, the first author [JRH] read and reread the transcripts to gain a sense of each relative's story. To ensure rigour, credibility and trustworthiness, three authors [ER, LD, RH] also read the transcripts. Following line by line scrutiny of the transcripts, the first author [JRH] manually coded the data, detailing inductive descriptive codes by marking similar phrases or words from the relatives' narratives. The first author [JRH] collated the codes and identified where some of them merged into themes using mind maps. Due to overlap of data in some themes, all codes and themes were independently analysed by two co-authors [ER, LD], which resulted in the removal of one broad theme and inclusion of one subtheme. Themes were discussed and refined through critical dialogue with all authors.
Ethical considerations
Participants were provided with oral and written information about the study and provided oral and written consent. In view of the potentially emotive subject, participants were aware of their right to withdraw from the study, as well as the option to pause, terminate or reschedule the interview. Correspondence between the researcher [RH] and participants took place via University email, and all emails containing personal information were deleted at the earliest convenience. Participants were provided with information of support organisations as part of the study's debrief. Data protection procedures were observed and assurances of confidentially were provided. Ethical approvals were obtained from University of Liverpool Central University Research Ethics Committee [Ref: 7761].
Results
A total of 19 relatives were recruited, 12 who were female and 7 were male. The relative's relationship with their family member varied, to include spouse/partner (n= 4), adult child (n= 11), son/daughter in-law (n= 2), niece (n= 1) and grandchild (n= 1) of the deceased. Interviews took place between 2 and 6 months after the death. Sample characteristics are reported in Table 2.
Most reported their family member had been living with a chronic illness (including dementia, cancer, heart failure, COPD and renal disease) and coping with the 'ups and downs' of treatment and side-effects at home or a
Table 2.Characteristics of the 19 participants included in the study.
care home for a period of months or years. At a point during the pandemic, the deceased had rapid signs of disease progression and deterioration; the majority also tested positive for COVID-19 (n= 13).
The data below is representative of relatives' experience of the final weeks and days of life, of which the dying family member was receiving care at the care home (n= 9) or hospital [general ward (n= 3), intensive care unit (n= 4), coronavirus ward (n= 3)]. Overall, relatives described both positive and negative perceptions of care delivery. Where negative aspects were described, some relatives framed their responses in the context that the health and social care professionals were 'doing their best given the situation', and reflected on areas they perceived could have been better. Overall, three themes were identified: (1) entering into the final weeks and days of life during a pandemic, (2) navigating the final weeks of life during a pandemic and (3) the importance of 'saying goodbye' in a pandemic.
Theme 1: Entering into the final weeks and days of life during a pandemic
Relatives reported feeling numb when they first learned of the news that their family member was displaying symptoms of COVID-19, with concerns about how the (likely) virus might impact on the family member's underlying condition. While some family members were showing few signs of physical deterioration as a result of their underlying condition, many were admitted to hospital to help with management of their symptoms, which may have been COVID-19 related. Relatives reported this as a distressing period with a conflict between their desire to be with their family member and the COVID-19 restrictions which meant they were unable to do so. Most relatives reported they received a telephone call from the hospital or care home to inform them that their family member's condition had rapidly deteriorated and was expected to die within the next few weeks or days. 19 14 4 1 0 10 9 8 4 3 2
"This was the first time I wasn't able to go in the ambulance with him. I had a bad feeling after he tested positive. His breathing wasn't good at all. I started to worry that this was the beginning of the end" [Relative 01; spouse of the deceased; hospital death]
Theme 2: Navigating the final weeks of life during a pandemic
The time-period between receiving the news that their family member was going to die soon and the death occurring varied for families, but the experience of uncertainty was universal. A number of factors appeared helpful for relatives when their family member was in the final weeks of life during the COVID-19 pandemic. These are discussed further under three sub-themes: (1) staying connected with the family member, (2) the availability of support networks and (3) clear communication and support from health and social care professionals.
Sub theme 1: Staying connected with the family member.Although a few relatives were initially able to stay connected with their family member via a personal mobile phone, most described their family member as 'too poorly' and less able to communicate with them. Nonetheless, it was important for relatives to be part of their family
member's final weeks and days of life, to which the extent and manner of this involvement varied between families. Most families were unable to visit their family member who was dying until their final hours, although some reported being able to spend time with them in the final weeks of life at either the hospital or care home. This enabled relatives to help with personal aspects of care such as combing their family member's hair or simply being able to hold their hand as they slept; relatives reflected on the importance of being able to provide this care to their family member. For others, physical closeness or contact was not possible, leaving relatives only able to see their dying family member from the window of their care home, for example. While some relatives were grateful for this opportunity, others reported this was very upsetting as they were unable to be physically close or touch.
"I was up against the window as close as I could get. He was talking to me which I could hear but he couldn't hear me back, so it became distressing for both of us" [Relative 15, adult child of deceased, care home death]
Health and social care professionals often offered FaceTime or WhatsApp video calls between relatives and with their family member at the care home or hospital in the final weeks of life. Relatives reported these video calls were very important as it enabled the family member to continue to be involved in aspects of everyday life within the family.
"He [family member] was able to see his wee grandson and being quite playful and laughing and joking on a camera phone, which was lovely as it was our only way of seeing him" [Relative 16, adult child of deceased, hospital death]
However, virtual communication often presented challenges for some family members and their relatives, such as difficulties hearing or with WiFi connection. Other relatives reported wanting calls with their family member in the hospital or care home, but these were not facilitated. These relatives perceived that the healthcare setting or care home did not have devices available to facilitate these calls, or health and social care professionals did not have the time to offer these aspects of care.
"I don't think they [care home] had iPads or tablets at that time. They never offered it and we didn't know to ask either. I'm not sure they would have had the time for that" [Relative 04, adult child of deceased, care home death]
Sub theme 2: The availability of support networks.Relatives reported a need for additional assistance for themselves and other family members to help manage day to day tasks when their family member was in the final weeks of life. It was valued when other relatives or neighbours helped with practical tasks such as shopping or collecting medications, particularly those who had other caring responsibilities or had reduced ability to go out themselves. While some relatives, particularly those that lived alone, highlighted a desire for close family members to be with them to provide comfort in those final weeks, others reported some close relatives moved in to provide such support. The need for comfort outweighed the lockdown restrictions that were in place as a result of the pandemic. However, it appeared most relatives had a lack of available support networks and struggled by themselves as a result of shielding, lockdown restrictions or other relatives living too far away.
"It was obvious we were breaking the rules. If we hadn't broken the rules, I don't think my dad [a well parent] would be here. I really don't. He couldn't have coped. [Relative 07, adult child of the deceased, hospital death]
Sub theme 3: Clear communication and support from health and social care professionals.As most relatives were unable to visit the care home or hospital to see their family member in their final weeks of life, they relied on telephone updates from health and social care professionals regarding their condition. While some relatives reported receiving a daily phone call from the care home or hospital regarding their family member's health, most reported they had to seek out this information themselves, which presented them with challenges. This included laborious efforts associated with getting in contact with the hospital ward or the appropriate health and social care professional(s) caring for their family member, which was highlighted as distressing for relatives at an already highly stressful time.
"I was told I would get an update in two hours, and I think three hours passed and still nothing. I just wanted to know how he was doing. Just not knowing was stressful in itself. So, I decided to call, but then I spent so long on the phone and was being passed from pillar to post as they couldn't find somebody who was caring for him to tell me anything" [Relative 18, daughter-in-law of deceased, hospital death]
The level of information provided to relatives varied. Most relatives reported wanting information regarding the decline in their family member's health, estimated timelines of when the death may happen, information pertaining to their symptoms and how these were being managed, as well as updates to aspects of personal care, such as if they had been given a shave or if they had been eating or drinking. However, often relatives were only informed their family member was 'comfortable', with few opportunities provided for them to ask questions to the health and social care team. Some relatives reflected they would have liked guidance and support from health and social care professionals in relation to telling children (<18 years old) that their parent, grandparent or relative
was going to die soon. However, health and social care professionals rarely asked about the patient's family and social network, so children affected by the family member's illness and imminent death were not identified by professionals nor was advice provided from them to support families with these conversations. The main content of communication between health and social care professionals and families predominately focused on the family member's physical care, rather than the emotional implications for their wider network.
"I had a million and one questions about how Mum was doing but I didn't get a chance to ask them. I was no sooner on the phone than I was off it again. Then the rest of the family were looking at me for information and I didn't have anything to tell them. We couldn't see Mum ourselves, so we just felt quite in the dark at that time" [Relative 02, adult child of deceased, care home death]
Some relatives reported it was challenging to understand some of the information shared with them on the telephone from the hospital or care home, as they felt the personal protective equipment (PPE) worn by health and social care professionals impacted their ability to clearly hear what was being communicated, which was highlighted as stressful. Some relatives found it helpful when health and social care professionals included other family members in communication about care, as this helped to ensure consistency of information and understanding, but it seemed this rarely happened.
"I was speaking to the nurse who was looking after him who obviously was wearing PPE to protect themselves, but it was really distressing because I couldn't properly hear her and wasn't really sure of the outcome of the conversation" [Relative 08, spouse of deceased, hospital death]
Theme 3: The importance of 'saying goodbye' in a pandemic
It was important for relatives to have the opportunity to physically be with their family member before they died. Most had not seen their family member for a period of weeks or months due to the pandemic and desired an opportunity to 'say goodbye' before it was 'too late'. Relatives highlighted this was their 'last chance' to see their family member as they were unable to have an open coffin in the funeral parlour or at home during the immediate bereavement period.
"The actual fact that we could go there and see her, because we hadn't seen her for so long. It was important being able to touch her one last time and talk to her" [Relative 11, adult child of deceased, care home death]
Spending time with their family member in the final days and hours of life varied for families. While some relatives reported being able to spend time with their family member in the hospital or care home at the end, others had to make a difficult decision not to visit. Factors contributing towards this decision included fears of 'catching the virus' in the hospital or care home and perceptions that wearing PPE would impact the quality of their interaction with the family member. The requirement to selfisolate for 10–14 days after a visit to see a family member prohibited some relatives who had caring responsibilities or other commitments from visiting their family member.
Relatives who were unable to be with their family member when they were recognised to be actively dying reported it helpful when the hospital or care home facilitated a telephone call between them and their loved one, often with a health or social care professional holding the phone to the family member's ear as the relative 'said goodbye'. It appeared this call only took place when relatives asked for them, but rarely happened and was sometimes discouraged by health and social care professionals because the dying family member 'would not respond', or perceptions it would be too distressing for the dying family member who had cognitive decline. Families found it comforting to know that someone was with their family member as they were dying, such as a health or social care professional or chaplain within the hospital or care home.
"It was four days before he died, and I said to Mum 'why don't you ask the nurses if they can put the phone to his ear and you can say the things you want to'. So, she did and the nurse on the telephone basically said, 'there's no point in doing that [I'm] sure he won't be able to hear you', which we both were quite upset by" [Relative 03, adult child of deceased, hospital death]
It was reported in the days leading up to the death relatives often expressed to the hospital or care home their desire to be with the dying family member, but were frequently informed by healthcare professionals 'we're not at the end yet', 'it's not the time yet to come in and say goodbye' or 'we still have time'. Despite these requests, most participants reported by the time they were informed their family member was going to die soon, they had 'not made it to the hospital or care home in time' and were not able to say goodbye to their family member.
"We got the call saying, 'how quick can you get over because your dad, we don't think he's going to last long'. So, I was halfway on the road, as it's a 10-mile journey and got the call telling me he died" [Relative 17, adult child of deceased, care home death]
Discussion
Findings highlighted relatives' desire and need to maintain a connection to their family member when they were in the final weeks and days of life. Similar findings have been reported in the literature. 10–12 While many families were
unable to physically spend time with their dying family member as a result of the pandemic, it was possible to achieve connectedness through video or telephone calls. However, these necessitated facilitation by health and social care professionals and it appeared from this study that these virtual interactions were rare; this may reflect a lack of devices or available signal in the hospital or care home. 13 Other explanations may reflect the reliance on health and social care professionals who may have lacked adequate time to provide these aspects of supportive care, 14 or underestimated the importance of this communication for relatives when a family member is at end of life. 15,16 Being provided with the opportunity to connect with a dying family member in the final weeks and days of life may facilitate a better adjustment for relatives in their bereavement. 17,18 There is a need for relatives to have contact with their family member in the final weeks of life, particularly when there is a reduced availability of visiting. In this pandemic, the situation was compounded by the pressure on health and social care professionals to provide these aspects of care, and the absence of end of life care volunteers who would otherwise have an instrumental role in enabling this connectedness. 19
It was important for relatives to be provided with clear and detailed information from health and social care professionals regarding their family member's condition throughout the final weeks and days of life. This included information regarding their health decline, 4,22 symptom management, 23,24 and personal aspects of care. 23 It seemed there was a disparity between relatives' desired and required level of information from health and social care professionals about their family member's care and what was provided in practice. It is possible health and social care professionals underestimated how much information families wanted regarding their dying family member, and highlights the importance for professionals to create opportunities to ask questions. It may be that the health and social care team were unprepared or lacked the requisite communication skills to address these often complex and emotionally laden conversations, particularly when not face-to-face. 4 Further, the emotional labour of caring for increased numbers of patients at the end of life during the COVID-19 crisis is likely to have taken its toll on health and social care professionals. 25 Future research could explore how communication between health and social care professionals and relatives when a family member was at end
Relatives reported the importance of support networks available to provide emotional support and help with the practical aspects of daily tasks when a family member was in the final weeks and days of life. Similar findings have been reported in the literature. 20,21 While this may be inhibited or complicated by COVID-19 restrictions, health and social care professionals could encourage relatives to engage with alternative, virtual support networks in the final weeks and days of life, to provide such emotional and practical support.
of life varied between different health and care settings, to better understand best practices surrounding communication at end of life during a pandemic. 26,27
Literature highlights that relatives' desire the opportunity for time with their family member in the final weeks and days of life. 6,10 Alongside this, other studies have reported that providing personal aspects of care or holding a family member's hand has provided comfort and enabled connectedness between relatives and a dying family member at end of life. 33–35 The findings of this study highlighted it was especially important for relatives to spend some time with their family member at the end of life as most had not seen them for a period of weeks or months due to the pandemic, and they would not have the opportunity to view the body in the immediate bereavement period. Most relatives did not have the chance for this time with their family member before they died as the findings suggest death approached rapidly at the end. It is possible that due to the unpredictability of COVID-19, health and social care professionals did not expect death would be so imminent and there would be 'more time'. 36,37 Alongside this, the government restrictions of visiting at end of life in institutional settings as a result of COVID-19 may have presented health and social care professionals with a dilemma of balancing the importance of relatives wanting to be with their dying family member and the unpredictability as to when is the time to enable this to happen. Families cope better long-term when they have an opportunity to say goodbye to their dying family member 18,38 ; this indicates that health and social care professionals should consider offering a family visit at an earlier opportunity, rather than waiting until death is expected within hours or days. The absence of this final contact for many relatives can lead to poorer outcomes for families, 39 and therefore has implications for post-bereavement services for relatives.
Some relatives reflected that they would have welcomed guidance from health and social care professionals surrounding how to prepare children for the death of a relative. It appeared from the findings that such familycentred care was lacking as communication from healthcare teams was predominately focused on clinically-driven care. This may reflect health and social care professionals' perception that providing families with advice and guidance in relation to dependent children when a relative is at end of life does not constitute part of their role, or that another professional was providing it. 28 Children cope and adapt better when they are prepared for death. 29,30 It is important that health and social care professionals engage in family-centred conversations with relatives at end of life. 28,31,32
Strengths and limitations of the study
This is a timely study that reports recommendations for health and social care professionals as they provide end of
life care during a pandemic from the perspective of bereaved relatives. Findings are limited to relatives whose family member died in a care home or hospital and do not represent the experience and needs of families when a family member died in other settings such as home or hospice, even though attempts were made to include these relatives. While this study did not identify differences between those relatives whose family member died in the hospital or care home, future research could explore this phenomenon further. Also, most of deceased had an underlying chronic condition and the findings do not account for the experience of families when someone previously well died of COVID-19. Alongside this, most of the deceased would be considered within a frail elderly category. 40 This study is limited to the relatives' experiences whose family member died during the COVID-19 pandemic in United Kingdom. There did not appear to be any challenges in relation to conducting sensitive interviews with bereaved relatives using virtual platforms, and the researchers did not find any differences between conducting the interview on Zoom or telephone. Findings are limited to an ethnically homogenous white British population. Future research could focus on the experiences of end of life for families from Black, Asian and Minority Ethnic communities.
Conclusion
Through the lens of bereaved relatives, this research has provided insight into the experience of families when a family member was dying during the COVID-19 pandemic. In the absence of physical contact, health and social care professionals can have an important role to ensuring connectedness between patients and their families. This includes facilitating video and audio calls between relatives and their dying family member and providing the family with detailed updates regarding their dying family member's physical condition. Also, it is pertinent for health and social care professionals to provide psychosocial and other aspects of care such as whether the family member has been eating or drinking, or other information important to the relative. Especially during periods of social distancing and lockdown restrictions, there is a need for health and social care professionals to create opportunities for relatives to 'say goodbye' to their family member at end of life before it is 'too late'.
Acknowledgements
The authors would like to express our sincere thanks and gratitude to the 19 relatives that participated in this study.
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: There was no direct funding award for conducting this study. Data analysis and manuscript preparation was supported by funding from the Westminster Foundation awarded to University of Oxford. Dr. Catriona R. Mayland is funded by Yorkshire Cancer Research.
ORCID iDs
Jeffrey R Hanna https://orcid.org/0000-0002-8218-5939
Rosemary Hughes https://orcid.org/0000-0003-4390-8097
Kate M Bennett https://orcid.org/0000-0003-3164-6894
Warren J Donnellan https://orcid.org/0000-0002-0224-9155
Stephen R Mason https://orcid.org/0000-0002-4020-6869
Catriona R Mayland https://orcid.org/0000-0002-1440-9953
Data Availability Statement
The data that supports the findings of this study are available at the University of Oxford, University of Liverpool and University of Sheffield's Repositories and available on request from the first and last authors. The data are not publicly available due to privacy and ethical restrictions. The study passed ethical committee review from University of Liverpool [Ref: 7761].
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ROSS
Environmental Management in the Broiler House
Contents
43
Helpful Conversion Factors
Acknowledgment
The main content of this publication was written by Professor James O. Donald, of Auburn University. Professor Donald is an agricultural engineer widely recognised as an authority on poultry housing and environmental management, and appreciation is expressed to him for permission to use these materials.
Introduction: Economic Value of Proper Environmental Management
Whether producing meat, eggs, milk or other animal products, it is well established that effectively managing environmental conditions reduces the total cost of production. In the broiler meat production business, all components of the production process from parent stock broiler breeders to broiler progeny benefit from effective environmental control. Given the economic benefits of effective environmental control it is imperative for managers and technicians to understand the basic concepts of this topic. This publication has a threefold purpose:
* To clarify what environmental criteria and conditions are necessary to achieve the genetic potential of the modern broiler.
* To outline the most important factors in the design of modern broiler housing to be able to provide optimum environmental conditions.
* To provide basic operational guidelines for this housing.
Key Point
* It is well established that effectively managing environmental conditions reduces the cost of production.
Overview: Environmental Management Objective and Methods
The objective is to provide an environment to maximise flock performance, achieving optimum and uniform growth rate and feed efficiency in meat yield while ensuring that bird health and welfare are not compromised.
Supplemental heating systems play an important role in environmental management, especially during the brooding phase. However, in many locations for a portion of the growout supplemental heating may not be needed. On the other hand, proper ventilation is needed throughout a growout, even during times when supplemental heat is being provided, for control of air quality if not for cooling. Ventilation is therefore the most important tool in managing the in-house environment for best bird performance.
Ways of providing supplemental heat in poultry houses around the world vary far more than do ventilation methods, relying on a wide variety of fuels and heat-delivery methods, including radiant and hot-air systems, direct in-house combustion and indirect heat-exchange, etc. Examination of the details of particular heating systems is beyond the scope of this publication, which focuses primarily on the most widely applicable principles of in-house environmental management.
Except with very young birds and/or in very cold weather, temperature control is the primary goal of ventilation. At each stage of a bird's development, there will be a certain temperature zone in which a surplus of feed energy above the requirements of body maintenance allows the bird to gain weight, as shown in Figure 1. Within this broad "thermal comfort zone" there will be a narrow temperature range (within 1 or 2°C) in which the bird makes best use of feed energy for growth. This is the optimum performance zone. Providing this optimum temperature - along with adequate feed and water - assures that the bird's welfare and economic performance are maximised.
Note that, although there is a broader temperature range in which the birds will be more or less comfortable (the "thermal comfort zone"), this publication, as is common in the industry, uses "comfort zone" to mean that narrower range of maximum comfort, the temperature that is the bull's-eye of the performance target.
If the temperature is too low, birds increase their feed intake but have to use more of that feed energy to keep their bodies warm. If temperature is too high, they reduce feed intake to limit heat production. Adequate ventilation prevents heat build up and keeps birds in their optimum performance zone, first by exhausting warm air from the house and replacing it with cooler outside air, and in most well equipped modern housing by effective (wind-chill) cooling through tunnel ventilation, and by lowering the actual air temperature through evaporative cooling.
The target temperature for best broiler performance changes during a growout, typically from around 30°C on day one to near 20°C or lower at harvest time, depending on bird size and other factors. Ventilation therefore must be adjusted accordingly to maintain optimum temperature. The temperature experienced by the bird is dependant upon dry bulb temperature and humidity. If RH is outside the ideal range of 60-70%, the temperature of the house at bird level should be adjusted. For example, if RH is closer to 50%, the dry bulb temperature on day one may need to be increased to 33°C. At all stages, monitor bird behaviour to ensure that the bird is experiencing adequate temperatures.
Ventilation is the only practical way to lower too high humidity, which is most often a winter problem and can affect bird health. Even when ventilation is not needed for heat removal, maintain at least a minimum rate of ventilation to prevent wet, caked litter and ammonia problems.
By breathing, birds take oxygen out of the air and breathe out carbon dioxide, so fresh air must be brought into the house to replace that oxygen and exhaust the excess carbon dioxide. Ventilation to provide fresh air is needed in all seasons and in hot and cold weather.
The most common air quality problem, however, is ammonia coming from too wet litter, which leads to health problems and lowered performance. Proper ventilation heads off build up of ammonia by controlling relative humidity.
All of the above factors are important. Fortunately, in most situations bringing in fresh air and exhausting toxic fumes are accomplished by ventilation aimed primarily at controlling temperature and moisture.
Important: proper in-house environment must be distributed evenly throughout the house. Pockets of dead air, drafts, cold spots, or hot spots can lower flock performance and even cause mortalities.
Figure 1: Optimum performance temperature zone
Increasing
Cold Stress
Cold
Cooler
Warmer
Hot
Temperature
Increasing
Heat Stress
Thermal Comfort Zone
Total Metabolisable Energy
M
aintenance Energy Requireme
n
t
s
Amount of
Energy Deficit
Amount of Energy
Surplus Available
for Growth and
Weight Gain
Amount of
Energy Deficit
Optimum
Performance
Zone
At each stage of a bird's development, there is one narrow temperature range where maintenance energy requirements are lowest and the bird can make maximum use of feed energy for growth. If temperature goes just a few degrees outside the optimum performance zone, cooler or warmer, birds will be using a higher proportion of their feed energy for body maintenance and less for growth.
Key Points
* Ventilation is the most important tool in managing the in-house environment for best bird performance.
* At each stage of a bird's development, there is one optimum performance temperature zone in which the bird makes best use of feed energy for growth.
* The target temperature for best broiler performance changes daily during a growout, ventilation must be adjusted accordingly.
* In-house environment must be uniform: pockets of dead air, drafts, cold spots or hot spots can lower flock performance.
Economic Benefits of Environmental Control
Birds most efficiently convert feed to meat when they are given consistently optimum environmental conditions, with temperature being the most critical factor. Small temperature differences can have a significant effect on returns to the owner. This has been well confirmed by research and by experience worldwide. Figure 2 below shows differences in total cents per bird value resulting from on-target vs. off-target temperatures, based on a computer study of temperature effects on bird performance. The study is based on, and figures given solely for, the growing stage after brooding, when the target temperature has levelled off at about 22°C. Under these conditions, consistently missing target temperature on the high side by only 2.2°C would mean a one cent loss in value per bird.
During the brooding phase, even brief chilling can seriously hurt flock performance. For example, university research in the United States showed that exposing day-old chicks to an air temperature of 13°C for only 45 minutes reduced 35 day weights by about 110 grammes. After the brooding phase, bird performance is more quickly hurt by high than by low temperature. For example, Figure 2 shows the cost of being consistently too high by 4.5°C is about half again as much as the cost of being consistently too low by the same number of degrees. Since maintaining optimum temperature is even more critical during the brooding phase, the reward for being consistently on target would be even higher for an entire growout.
Since costs and selling prices vary, the exact reward for on-target temperature control (or the "cost of being wrong") will also vary. What research and on-farm experience demonstrate is the principle that consistently maintaining target temperature yields significant returns.
Figure 2: The "Cost of Being Wrong" - cost advantages of consistent on-target temperature control
Deviation from Ideal Temperature ºC
Being just a few degrees off target temperature in the growing phase can hurt grower income significantly. The above graph shows cents per bird differences in total returns for consistent on-target vs. off-target temperature control for non-brooding phase birds. Conditions: Broilers grown to 49 days, meat sold for $0.89 per kg, no dockage for nonuniformity; feed costs $278/tonne Starter, $270/tonne Grower, $258/tonne Finisher. Source: Veng, Hot climate ventilation.
Key Points
* During the brooding phase, even brief chilling can seriously hurt flock performance.
* Consistently maintaining target temperature yields significant returns.
Climatic Factors in Housing and Ventilation Decisions
The major factor influencing type or style of housing is climate. Different climatic conditions call for different ventilation and heating strategies and affect the possible or desirable bird stocking density. Generally, extreme conditions require more and more sophisticated inside environmental control equipment and management. Where seasonal variations in weather are pronounced, a house may require ventilation systems for hot and cold weather.
In a given situation, housing and ventilation choices must be based on calculating the benefits of providing technology to cope with:
* Prevailing weather, or prevailing seasonal weather - that is, conditions which generally persist over at least several months;
* Weather extremes likely to be encountered.
The following is an outline of typical climatic and/or weather conditions and their effects on ventilation decisions. It is impossible to give specific regional advice in the limited space available here, so these are very general recommendations. Elements of more than one climate may have to be applied to a given production facility.
Key Point
* Extreme climates require more sophisticated inside environmental control equipment and management.
Extremely Cold Climate
In locations that produce broilers where extremely cold situations may exist for periods of time during the production cycle, some particular cautions in regard to the design and operation of poultry houses should be noted.
In regard to direct effects on bird health and performance, extremely cold air is also extremely low in moisture content, so that when this air is heated and mixed with air in the house it is often possible to have conditions that are extremely dry and can affect bird health. Extremely low relative humidity in winter time production means that birds will respire more heat than those grown in higher relative humidity conditions, thus their heat loss is greater. To compensate for this greater bird heat loss, often the temperature set points must be increased. At the same time, managers are often tempted to reduce ventilation time to reduce fuel costs. This can be a serious mistake, since performance losses caused by inadequate cold weather ventilation can outweigh additional fuel costs.
In extremely cold conditions we must also take into account issues with the structure that are not common in more temperate climates. When the outside air temperature is well below freezing it becomes more important and more difficult to avoid putting cold outside air directly on the birds, so a pre-warming plenum or heating room to condition air before entry to the house may be needed. Also, extremely cold outside air, despite its relatively low moisture level, can cause serious condensation problems and even cause air inlet doors to freeze up. Preventing such problems requires special attention to insulation and to sealing prevent outside air leakage into the house, as well as possibly installing pre-warming plenums for incoming air.
Key Points
* In extremely cold climates, dry conditions may cause birds to lose more heat; temperature set points may need to be higher, but minimum ventilation must be maintained.
* Extremely cold conditions may require use of a pre-warming plenum to condition outside air before it enters the house.
Cold Climate
In high altitude locations and in high northern or southern latitudes with prolonged winter temperatures consistently below 10°C and with moderate summer temperatures, tunnel ventilation and evaporative cooling are not usually needed to cope with bird heat.
Negative pressure powered ventilation is needed to keep birds comfortable and maintain optimum flock performance, especially by preventing excessive moisture from building up inside the house. Houses typically will need a "minimum ventilation" setup augmented with additional fan (and air inlet) capacity to exhaust bird heat during warm weather. Additional supplemental heating systems and improved insulation may also be needed to handle the effects of extreme cold.
Key Point
* In cold climates ventilation is needed to help prevent excessive moisture build-up in the poultry house.
Moderate Climate
Where temperatures consistently rise above the 24°C range, power ventilation will be required for all but the lowest bird stocking densities in small, naturally ventilated houses. Where temperatures consistently rise into or above the 24-30°C range, tunnel ventilation is usually recommended. Tunnel ventilation provides high–volume, rapid house air exchange and a high velocity "wind-chill" airflow which gives a somewhat lower effective temperature experienced by the birds (Figure 16). As temperatures rise into the 35°C range, the wind-chill effect begins to disappear and evaporative cooling must be added to provide actual air temperature reduction.
Key Point
* Even in moderate climates, tunnel ventilation is usually recommended if temperatures consistently rise into or above the 24-30°C range.
Hot Climate
Generally, hotter weather makes it more difficult to increase house size and bird density. Air exchange alone can only keep inside air temperature from rising more than a few degrees above outside air temperature. However, if relative humidity is not too high, higher bird densities can usually be maintained reliably even in very hot weather by tunnel ventilation with evaporative cooling.
In tropical or subtropical areas where temperatures are consistently in the 35-38°C range, high density housing and open-sided, naturally ventilated housing are generally not feasible. In hot climates with low humidity (such as high altitude desert facilities) the low humidity contributes to ascites and lowers growth rate.
The combination of high humidity and high temperature is particularly difficult for birds because a major way they expel excess body heat is through breathing (or panting) which evaporates moisture from their lungs and airways. The higher the air humidity, the less self cooling they are able to achieve. However, in properly designed tunnel ventilated houses the effects of humidity are minimised over naturally ventilated housing.
Key Point
* Higher bird densities can usually be maintained reliably even in very hot climates by tunnel ventilation with evaporative cooling.
How Birds Work and What They Need
Very young chicks have little ability to regulate their internal temperatures and they need warmth; an air temperature around 30°C. As the birds grow, their "comfort zone" temperature range widens a bit and drops so that at catch time they're most comfortable at around 20°C. This means that early in a growout, our main concern is usually making sure the birds are warm enough. As the birds grow, too much warmth, which can happen even in winter, is a more common problem. Our goal in ventilation is to maintain in-house temperatures within the birds' comfort zone not too warm and not too cold at all times during the growout. To do this, we need to understand how birds, heat and humidity interact.
Key Point
* Early in a growout, the main concern usually is keeping birds warm enough. As the birds grow, too much warmth is a more common problem.
Birds Produce Heat and Moisture
Birds convert feed and water into energy they use for body maintenance (operating their organs and muscles and keeping themselves warm) and for growth to produce weight gain. However, they aren't 100% efficient, so they generate quite a bit of excess heat along with quite a bit of moisture (in faecal matter and by breathing).
Typically birds will produce about 11.6 kJ/hour/kg. This means that the larger the birds grow, the more heat they put out. If we have 20,000 birds at 1.8 kg, for example, they will add around 417,600 kJ/hour to the house, or as much heat as two or three forced air furnaces running continuously. If we have 20,000 birds at 3.6 kg, they will produce 835,200 kJ/hour. Worldwide the trend is toward bigger bird production. The amount of moisture produced also varies with age. The same flock of 1.8 kg birds may produce 3,785 litres of water per day, depending on the temperature. Other things being equal, in-house air temperature and humidity both tend to rise as the growout progresses.
During the brooding phase, young chicks will need supplemental heat. However, as a growout progresses, especially in cooler weather, the birds increasingly help keep themselves and the house warm with the heat they generate. As birds grow larger, ventilation is essential for heat removal, especially in warm weather, to keep the in-house temperature from rising to a point where birds cannot continue getting rid of their excess heat and their internal temperature goes too high.
Key Points
* 20,000 1.8 kg birds will add around 417,600 kilojoules per hour of heat to the house.
* 20,000 1.8 kg birds will add around 3,785 litres of water to the house per day.
Effects of Temperature and Relative Humidity on Birds
Temperature and humidity work together to determine bird comfort, but for simplicity in the following paragraphs we'll look at temperature first, then humidity and then explain how their interaction affects birds.
Birds are basically air-cooled. That is, air moving over the birds picks up their body heat and transfers it to the environment. Birds do not sweat, and so do not enjoy this kind of built-in evaporative cooling system. They do get some evaporative cooling effect through breathing and panting (Figure 4). However, they rely mainly on direct body-to-air heat transfer for cooling. If you see birds lifting their wings, they're feeling hot and exposing more of their bodies to the air to get rid of the excess heat.
For fully feathered birds to stay comfortable, there has to be a substantial difference between house air temperature and their own internal temperature, which normally is above 37.8°C. As the in-house air temperature rises higher and higher, the birds' heat shedding mechanisms become less and less effective. The birds' internal temperatures then begin to rise, and they slow down or stop eating and growing. If the situation isn't controlled, they eventually will die.
Starting Heat Stress
Under most conditions as birds give off heat, the house temperature can be kept from rising too high by exhausting warm air and replacing it with cooler outside air. Since birds get rid of excess heat mainly by warming the air around them, the more rapidly that air is replaced the more excess heat they can lose. In most poultry houses, for outside air temperatures up to approximately 27°C, the ventilation system can be operated so that the warmed-up in-house air is removed at the proper rate to maintain overall house temperature within the birds' comfort range.
In addition to simply changing house air, getting wind on the birds can help them cope with high temperatures. The wind-chill effect of moving air creates a lower effective temperature for them. For example, if you have air in the house at 32°C (and average humidity) moving at 2.54 m/s, it will feel to fully-feathered birds like about 27°C air. The effect is even greater for younger birds, which may be chill-stressed. Tunnel ventilation creates the most effective wind-chill cooling. In non-tunnel houses, stirring or circulation fans can help.
In very hot weather, evaporating water into the air can provide additional cooling. Very fine droplets are sprayed into the air, or water is evaporated by airflow through a wetted pad. As the water evaporates, the air temperature is reduced. Evaporative cooling depends on fans providing proper airflow in the house, and works best when relative humidity is not too high.
Birds can tolerate higher temperatures during the day if night time temperatures drop 14°C or more below daytime highs. During the cool night time birds can get rid of excess body heat built up during the day. Running fans to get air moving over the birds during the night can help by reducing the "effective" night time temperature. The birds then can start the next day fresh, which helps keep performance up and lessens the risk of possible mortalities if daytime temperatures are very high.
Birds also lose some body heat through breathing. This is why you'll see birds begin to pant when they feel over-heated. It's like a back-up cooling system, that usually starts working when temperatures rise around 4-6°C above their current "comfort zone" temperature. What's happening is the birds are trying to maximize the evaporative cooling effect they get from the air passing over the moist linings of their air-ways and lungs. This cooling method works best when the air is relatively dry. If the air is already holding a great deal of moisture, it can't readily evaporate the birds' moisture and the evaporative cooling effect doesn't work as well.
The following section on heat stress is taken directly from Dr Jim Donald's original imperial document and therefore the heat stress index calculation cannot be converted into metric values, i.e. degree Centigrade.
An old rule of thumb used by many poultry producers and managers in the US says that in non-tunnel conventional houses if the in-house air temperature is in the 80's (°F) or above and the temperature and relative humidity numbers add up to 160 or more, birds begin to have trouble shedding their excess body heat. That is, temperature plus humidity gives you a heat stress index. For example, if air temperature is 85°F at 70% humidity (85 + 70 = 155) the birds will be reasonably comfortable. But if the relative humidity goes to 80% (85 + 80 = 165), you're likely to be losing feed efficiency because of overheating. Note that this rule works only in conventional open-sidewall ventilation or in cold weather power ventilation when air is not moving over the birds. It does not apply to tunnel ventilation because of the wind-chill effect.
In cold weather when direct combustion heaters are being used, not only the birds but the house heaters add moisture to house air, since water vapour is one of the combustion products from burning most fuels. This is a small amount compared with the moisture coming from the birds, but the combination can produce high house humidity if the ventilation rate is too low. This means you can have a heat stress problem with the birds when you would least expect it, if the temperature (°F)/humidity index goes above 160. Too much moisture contributes to litter caking and ammonia problems. (If a heat exchange system is used so that combustion products are not released into the house, heating will not add moisture to house air.)
Figure 8: A rough guide to whether the combination of temperature and relative humidity will stress birds is to add the numbers. If the temperature is above 80°F and the temperature and relative humidity add up to 160 or more, birds are likely to be stressed.
In warm weather, humidity is not often a problem, except in connection with rainstorms on hot days. For example, after an afternoon thunderstorm on a hot summer day the air temperature may reach 90°F, with relative humidity above 90%. You must have maximum air exchange and air movement under these conditions.
Key Points
* Birds do not sweat; they shed excess body heat primarily to air circulating around their bodies.
* If you see birds lifting their wings, they're trying to expose more of their bodies to the air to get rid of excess heat.
* For air temperatures up to the low 27°C range, ventilation usually can remove warmed up in-house air at the proper rate to keep birds within their comfort range.
* The wind-chill effect of moving air can keep birds comfortable in hot conditions; evaporating water into the air provides additional cooling.
* Keeping birds cool at night helps them stand high daytime heat.
* Panting indicates birds are over-heated and are trying to shed additional body heat.
* Temperature and relative humidity work together; high relative humidity can cause problems even at relatively low air temperatures.
* Too much moisture in a house contributes to litter caking and ammonia problems.
How Relative Humidity Works
When water evaporates, it passes into the air as water vapour. You can't see it, but litres and litres of water are floating around in the air all the time. In the poultry house, what matters most isn't simply how many litres of water are in the air, but how close the air is to holding all it possibly can – that is, to being saturated with water vapour. The idea of "how close to saturation," stated as a percentage, is what we mean by the term relative humidity.
If the air is holding half its maximum water vapour capacity, that's 50% relative humidity. If the air is holding three-fourths of its capacity, that's 75% relative humidity. When the air is saturated with water vapour, holding all it can, that's 100% relative humidity.
The key thing to realise is the saturation amount (in litres per so many cubic metres of air) changes depending on the air temperature. This is why we use the term relative humidity. Warm air can hold a lot more moisture than cold air. This means that warmer air can absorb a lot more moisture from the birds and the litter without approaching saturation than would be possible with colder air. Also, if you have cold air at high relative humidity, warming that air automatically lowers its relative humidity. This is what makes winter ventilation possible. When your ventilation system brings cold winter air into the house, this air gets warmed up once it's in the house. That means its relative humidity drops, which in turn means its water-holding capacity goes up, so it is able to pick up moisture from the litter and carry it on out of the house.
Figure 9: As air temperature rises, the amount of water a given amount of air can hold increases. An approximate rule of thumb is that an 11°C rise in air temperature cuts relative humidity in half. That is, raising the air temperature increases the absorbency of the air. At 27°C the air is more absorbent and can hold almost twice as much water vapour as the same air at 16°C.
Air at 27ºC and 100% relative humidity
Air at 27ºC and 50% relative humidity
Holds 61 litres water
- Maximum capacity
Holds 114 litres water
- Maximum capacity
Holds 61 litres water
- 50% of maximum capacity
Key Points
* Relative humidity indicates how close the air is to holding all the moisture it can before condensation occurs.
* Warmer air holds much more moisture. An 11°C change in temperature can double (or cut in half) the relative humidity of air.
Ventilation Basics
Because ventilation is so important in providing an optimum in-house environment for broiler rearing, understanding basic ventilation principles is essential for proper house design and management. There are two basic ventilation types: natural ventilation and fan-powered ventilation.
Natural Ventilation
Natural ventilation relies on opening up the house to the right extent to allow outside breezes and inside convection currents to flow air into and through the house. This is often done by lowering (or raising) sidewall curtains, flaps or doors. Sidewall curtains are most common, and natural ventilation is often referred to as "curtain ventilation".
In curtain ventilation, the curtains are opened to let in outside air when it gets warm; when it gets cold, they are closed to restrict the flow of air. Opening house curtains allows a large volume of outside air through the house, equalising inside and outside conditions. Curtain ventilation is ideal only when outside temperature is close to the target house temperature. The air exchange rate depends on outside winds. On warm to hot days with little wind, circulation fans may be used to provide some wind-chill cooling effect. Foggers or misters can be used with circulation fans to add a second level of cooling.
If curtain ventilation is used in cooler weather, it is essential to have curtain machines operated on frequent on-off timers and with bird-level safety thermostats and curtain drops (or fail-safes) in case of high temperatures or power outages. Circulation fans can help mix incoming cold and in-house warm air. In the absence of stirring or circulation fans, small curtain openings cause heavy outside air to enter at low speed and drop immediately to the floor, which chills the birds and creates wet litter. At the same time, warmer air escapes from the house, resulting in large temperature swings. Even in moderate weather however, normal fluctuations in air temperature and winds during the day (or night) can call for frequent adjustments in curtain settings. Natural (curtain) ventilation requires constant, 24-hour management.
Natural ventilation as a system does not allow a great deal of control over in-house conditions. In the early days of the industry it was commonly used, especially in mild climates, and houses were specifically designed to facilitate natural air convection currents for ventilation purposes. In more recent times, managers of more modern curtain sided houses equipped with fan-powered ventilation systems have used natural ventilation as an "in between" option, when outside air temperature is close to desired in-house temperature and neither heating (and minimum ventilation) nor cooling is needed.
Figure 10: Natural (curtain) ventilation works well only when outside conditions are near what is needed inside the poultry house. In hot weather, strong winds are needed to achieve an acceptable air exchange rate; in cool weather, cold outside air is likely to drop directly onto the birds.
However, full-time fan-powered ventilation has proven worldwide to provide better flock performance and returns in most cases, even in houses still equipped with curtain sidewalls. Natural ventilation therefore will not be further discussed in this publication.
Inside circulation or stirring fans are often used in curtain ventilation setups and can help with mixing of outside and inside air, preventing temperature stratification in cool weather, and to some extent cooling birds with direct breezes. This type of fan setup however, does not move outside air into the house, so a curtain-ventilated house with stirring fans is not considered a power-ventilated house.
Key Points
* Natural (curtain) ventilation works well only when outside conditions are near desired in-house conditions.
* Curtain ventilation requires constant, 24-hour management.
* The curtain ventilation house air exchange rate depends on outside winds; in cold weather, cold outside air is likely to drop directly onto the birds.
* Stirring fans can help improve conditions in a curtain-ventilated house.
Fan-Powered Ventilation
Fan-powered ventilation uses fans to bring air into and through the house. Powered ventilation generally allows much more control over both the air exchange rate and the airflow-through pattern, depending on the configuration of fans and air inlets and the type of control used.
Fan-powered ventilation systems can use either positive or negative pressure. Positive-pressure wall-mounted fan systems, which push outside air into the house, are most often seen in setups used for cooler weather. However, most poultry house fan-powered systems now use negative-pressure ventilation. This means that the fans are exhaust fans, pulling air out of the house. This creates a partial vacuum (negative pressure) inside the house, so that outside air is drawn into the house through inlets in the house walls or under the eaves.
Achieving a partial vacuum inside the house during ventilation allows for much better control of the air-flow through pattern in the house and for more uniform conditions throughout the house. That is, both dead air areas and hot or cold spots are minimised.
Figure11: Negative-pressure ventilation creates a partial vacuum that pulls air into the house evenly through all inlets, creating more uniform conditions in the house.
Key Point
* Negative-pressure fan-powered ventilation creates a partial vacuum in the house, allowing control of the ventilation airflow pattern.
Need for Tightly Sealed House
Modern negative-pressure ventilated houses must be tightly sealed. In naturally ventilated houses, tightness is not at all critical. But in using negative-pressure ventilation, the key is to take total control of how and where air enters the house, so house tightness has paramount importance. During cool weather operation, air coming under foundations, around doors or through cracks only serves to chill or discomfort birds, create moisture problems and detract from optimum rearing temperature environments. Air leaks during tunnel ventilation destroy the needed single-air path from one end of the house to the other, causing reduced wind velocity and wind-chill cooling.
A house tightness test used in the poultry industry for many years for 12 m x 122 m or 12 m x 152 m houses is to turn on two high-quality 91 cm fans or one high-quality 122 cm fan with all inlets and doors completely sealed. The differential static pressure reading from the house interior to the outside will give an indication of the level of negative pressure achieved by the fans. The higher the negative pressure achieved, the tighter the house. The goal for a house should be a minimum of 37.5 Pa negative pressure; for newer houses, static pressure should far exceed 50 Pa.
Key Point
* Having a tightly sealed house is critical for successful control of in-house conditions in negative-pressure ventilation.
Types of Negative-Pressure Ventilation Operations
Fan-powered, negative-pressure poultry house ventilation can be operated with different fan and air inlet setups in three different modes, according to the ventilation needs to be addressed:
* Minimum ventilation (also called just "power ventilation" or even "power vent") - operated on a timer and used for cooler weather and/or smaller birds.
* Transitional ventilation – operated on thermostat or temperature sensor and used for heat removal when wind-chill (tunnel) cooling is not needed or desirable.
* Tunnel ventilation – used for warmer weather and/or larger birds; operated on thermostat or temperature sensor.
All three of these ventilation modes of operation use the negative pressure principle, but operate at different static pressures. Static pressure, in areas using metric units measured in Pascals, indicates the difference between in-house and outside air pressure, or the degree of partial vacuum achieved in the house. Minimum-ventilation setups operate at higher static pressure (greater vacuum), usually between 17.5 Pa and 30 Pa. Tunnel ventilation may produce static pressures ranging from 10 Pa to 25 Pa, depending on whether pad-type evaporative cooling is installed, and the type of evaporative cooling system used.
Important distinctions sometimes get overlooked in the way we talk about houses. We'll talk about a "tunnel house", for example, as though there was only one kind or mode of ventilation used. The tunnel setup is used only in warm to hot weather, and the "tunnel house" for cool weather or small birds is probably equipped for and switched either to minimum or transitional ventilation as weather and the size of the birds dictate. The changing needs of birds as they grow and the variability of weather, especially in autumn and spring, requires managers to be ready to switch their ventilation system from one mode or setup to another when needed.
The following are brief descriptions of how these basic fan-powered ventilation setups work. For more detailed information on systems and management considerations, see Keys to Managing a Modern Tunnel House (Page 32).
Key Points
* Different fan and air inlet setups are used in negative-pressure ventilation to achieve different purposes, according to prevailing conditions.
* The different negative-pressure ventilation modes work in certain static pressure ranges.
* The changing needs of birds and changing weather requires managers to be ready to switch ventilation modes as needed.
How Minimum Ventilation Works
The purpose of the minimum ventilation setup is to bring in just enough fresh air to exhaust excess moisture and ammonia fumes during cold weather conditions and/or when birds are very small, without chilling the birds. Typically, from two to six 91 cm exhaust fans are used, with the location of fans and air inlets varying as described below.
The key to successful minimum ventilation is creating the proper partial vacuum so that air comes in with sufficient speed and at the same speed through all inlets. With air inlets distributed evenly along the whole length of the house, airflow is then uniform throughout the house. Just as important, cool outside air comes into the house at a high enough velocity to mix with warm in-house air above the flock, rather than dropping directly onto and chilling the birds.
Several variations of negative pressure ventilation set ups are used for minimum ventilation in different regions (and for non-tunnel heat removal in transitional ventilation, as described later). The most commonly seen are illustrated in Figure 12.
A. Exhaust fans on sidewalls and air inlets around the perimeter (high on sidewalls or in ceiling). This setup works well in cool weather and for use in tunnel ventilated houses operating in transitional mode.
B. Exhaust fans on one side of building and air inlets on the other. Commonly called "cross ventilation", this setup is most popular in areas where tunnel ventilation is not needed.
C. Exhaust fans in the roof and air inlets in the sidewalls. Often called "ridge extraction", this type of setup is also most used in cooler climates.
D. Exhaust fans in sidewalls and air inlets in the apex of the roof. Often called "reverse flow" ventilation, this setup is similar to setup A above except for the location of the air inlets.
For convenience in presentation and because it is commonly used worldwide, setup A (fans on sidewalls and perimeter air inlets) is used in this publication. Readers should understand that while negative-pressure configurations around the world vary widely in their details, the same basic principles apply to all of the above fan/inlet setups, and all can and must be capable of running properly in the minimum ventilation mode.
The airflow pattern created in a minimum ventilation setup is illustrated in Figure 13. To get this needed airflow pattern, the air inlet area must be matched to the fan capacity being used. If the air inlet area is too small (for the number of fans running), fans will have to work against too-high static pressure and will not deliver the air exchange rate needed. If air inlets are opened too wide, static pressure drops too low, and air will come in mostly or only through inlets closest to the fans, creating non-uniform airflow and poor conditions for birds. Using cool-weather adjustable perimeter inlets actuated by a static pressure controller makes the inlet area adjustment automatic. Curtain cracks and fixed board inlets are more likely to allow too-wide openings and dump cool incoming air onto the birds. Minimum ventilation also requires a tight house: air leaks will tend to spoil the desired airflow-through.
Figure 13: The goal of minimum ventilation is to bring air in evenly and at high velocity through inlets spaced around the house above bird level, so that cold outside air mixes with in-house air, as shown in this plan view diagram. This airflow pattern prevents cold outside air from dropping onto the birds.
Minimum ventilation is timer-driven, and may be set to operate as little as one-half minute in five early in a growout or in very cold weather. As birds grow larger and/or weather warms, thermostats override the timer to provide an adequate ventilation rate.
Note that in cold weather the need to remove moisture from the house means that some minimum ventilation rate must be maintained even when the thermostat doesn't call for ventilation and even if a small amount of house heat must be removed in the process.
Key Points
* The purpose of minimum ventilation is to bring in just enough fresh air to exhaust excess moisture and ammonia in cold weather or during brooding.
* Negative-pressure fan and air inlet configurations around the world vary widely, but the same basic principles apply to all.
* All minimum ventilation setups bring outside air in high in the house to avoid putting cold air directly onto the flock.
* To get the airflow pattern needed in minimum ventilation, the air inlet area must be matched to the fan capacity being used.
* Using cool-weather adjustable perimeter air inlets actuated by a static pressure controller gives best minimum ventilation airflow.
* Minimum ventilation is timer-controlled, not temperature-controlled.
How Transitional Ventilation Works
The change from minimum to transitional ventilation is basically a switch from timerdriven to temperature-driven ventilation. This is true no matter what the particular fan/inlet setup is. That is, whenever temperature sensors or thermostats override the minimum ventilation timer to keep fans running, the minimum ventilation setup will be running in the transitional ventilation mode. Additional sidewall or other fans (and air inlets) may be added as outside temperature increases.
An additional stage in transitional ventilation is a "hybrid" setup, illustrated in Figure 14, using some of the large tunnel fans to bring air into the house through perimeter air inlets instead of through the tunnel inlets, which are kept closed. Outside air enters and mixes with in-house air in much the same way as in a minimum-ventilation negative pressure system using sidewall fans. The big difference over the minimum ventilation setup is that the increased fan capacity gives a larger volume of air exchange. Running four tunnel fans in the transitional setup, for example, gives the same ventilation rate as running four fan tunnel ventilation, but without putting any wind directly on the birds. In some locations, tunnel fans are not used for transitional ventilation because of concern for uniformity. Use of tunnel fans for transitional ventilation is based on climate and the ability to mix and stir the incoming air.
Figure 14: The transitional ventilation mode begins whenever temperature sensors override the minimum ventilation timer. When the need for heat removal requires a higher air exchange rate than the minimum ventilation fans/inlets setup can handle, some of the tunnel fans can be used to bring large amounts of air in through perimeter inlets, as shown in this diagram of the "hybrid" transitional mode, without putting air directly on the birds.
Sidewall Air Inlets
Brooding Area
Tunnel Fans
Tunnel Air Inlets (Normally closed)
Sidewall Exhaust Fans (Also may be used in Transitional Ventilation)
As with minimum ventilation, the air inlet area during transitional ventilation must be matched to the fan capacity used. Enough sidewall inlet area should be provided to operate at least half of the installed tunnel fans in the hybrid transitional mode without creating excessive static pressure. For most efficient operation, air inlets are controlled by static pressure-operated machines, as in minimum ventilation.
Key Points
* Transitional ventilation is temperature driven, when heat removal is needed but without putting cold air onto birds.
* When the need for heat removal requires a higher air exchange rate than the minimum ventilation setup can handle, tunnel fans can be used to bring large amounts of air in through perimeter inlets.
* As with minimum ventilation, transitional ventilation inlet area should be matched to fan capacity and inlet opening adjustments made by an automatic static pressure-operated controller.
How Tunnel Ventilation Works
The goal of tunnel ventilation is to keep birds comfortable in warm to hot weather by using the cooling effect of high-velocity airflow. The tunnel setup is especially suited to warmer areas and where larger birds (1.8-3.6 kg) are being grown. Tunnel systems are designed first to handle the expected need for heat removal, providing the air exchange rate needed to exhaust excess house heat in hot weather. Full tunnel mode operation, with all fans running, may produce a complete house air exchange in under one minute.
The tunnel setup also provides wind-chill cooling, moving air as in a wind-tunnel through the length of the house. A velocity of at least 2.54 m/s is needed for most effective wind-chill cooling.
The wind-chill effect created by high-velocity air can reduce the effective temperature felt by fully-feathered birds by as much as 5.5-7°C. Figure 16 shows estimated effective temperatures that result with different air velocities, for four week and seven week birds.
As Figure 16 shows, caution must be used in tunnel ventilating with younger birds, since they experience greater wind-chill effect for a given air velocity. Note that the "effective" temperature can only be estimated, not read from a thermometer or calculated. Bird behaviour must be the guide to judging the right number of fans to turn on to create the air velocity and air exchange rate that is needed to keep birds comfortable.
The high-velocity airflow of the tunnel setup makes it well suited to adding evaporative cooling. This can be done either with in-house foggers or with evaporative cooling pads placed outside the air inlets. This real cooling of incoming air, on top of the "effective" cooling produced by wind-chill, can keep birds performing well even in very hot weather. Used alone, the wind-chill effect of tunnel ventilation becomes less pronounced as air temperatures rise much above 32°C; above 38°C the air begins to warm instead of cool the birds.
Adequate tunnel inlet area is essential. More area is needed for pad cooling (as explained below). Tunnel houses also must be tight, since any air leaks will spoil the desired airflow pattern.
Key Points
* The purpose of tunnel ventilation is to achieve maximum cooling by the wind-chill effect of high-velocity airflow.
* The "effective" temperature created by the wind-chill effect must be estimated and varies according to bird age/size and actual air temperature.
* The wind-chill effect becomes less pronounced as air temperatures rise above 32°C; above 38°C the air begins to warm instead of cool.
How Evaporative Cooling Works
When water evaporates, whatever it is in contact with gets cooled. Evaporating just 3.8 litres of water into the air takes 9,179 kJ of heat out of that air. Evaporative cooling (EC for short) is therefore an effective tool for poultry production in hot weather.
The simplest application of EC for broilers is the use of fogging nozzles mounted overhead in curtain-ventilated houses. The most efficient and effective modern systems however, are designed to complement and work in conjunction with tunnel ventilation. By adding some actual temperature reduction on top of the wind-chill cooling effect of tunnel, properly designed and operated tunnel-house EC systems can keep birds performing well in very hot weather.
The two major setup choices for tunnel-house EC are in-house foggers and wetted pads (spray-on or re-circulating) mounted over the tunnel air inlets. Either setup can do a good job, but recirculating pad systems are becoming predominant. These high-efficiency systems demand less management attention and do not risk wetting birds or litter.
How well EC works - that is, how much cooling it produces - depends on three factors:
* The starting outside air temperature - the higher this is, the more degrees of cooling are possible, other things being equal.
* The relative humidity (RH) of the outside air - the lower the better.
* How efficient the system is in evaporating water - typical systems range from 50% - 75% efficient.
Table 1 shows the in-house air temperatures that result given higher or lower starting air temperature, system efficiencies and relative humidity. For example, if it is 35°C outside at 50% relative humidity, a 75% efficient EC system will give 7°C of cooling, to 28°C. If the tunnel wind-chill gives another 5.5-7°C of effective cooling, fully-feathered birds will feel like they are in 21-22.5°C air.
Table 1: Evaporative Cooling Possible Under Different Conditions
| Starting Air Temperature (°C) | System Efficiency | Resulting Air Temperature (°C) for Given Relative Humidity | | |
|---|---|---|---|---|
| | | 40% RH | 50% RH | 60% RH |
| 38.7 | 50% | 32.2% | 33.3% | 34.4% |
| | 75% | 28.9% | 30.6% | 32.2% |
| 35 | 50% | 29.4% | 30.6% | 31.7% |
| | 75% | 26.7% | 28.3% | 29.4% |
| 32.2 | 50% | 27.2% | 28.3% | 28.9% |
| | 75% | 24.4% | 26.1% | 27.2% |
Evaporative cooling can provide useful cooling even in areas usually considered quite humid. In many areas of the world, for example, RH may reach 90% during a summer night, but typically drops to 50% or even lower by midday. The reason is that night time air temperature is usually in the low 20°C range, so that an 11°C rise to the low 32°C range cuts the RH in half. A rule of thumb is that EC is very practical if there is at least an average 11°C difference between night time low temperatures and day time highs.
Figure 17 illustrates the basic principles of tunnel-house cooling through lowered effective temperature by high wind speed plus lowered actual temperature by evaporative cooling.
Figure 17: Basic principles of tunnel plus evaporative cooling are shown here, representing typical results possible with a well-designed high-efficiency evaporative cooling and tunnel ventilation system with wind speed at 2.54 metres per second or more.
Key Points
* Evaporating just 3.8 litres of water into the air takes 9,179 kilojoules of heat out of that air.
* How well evaporative cooling works depends on air temperature, relative humidity and efficiency of the cooling system.
* Evaporative cooling is very practical if there is at least an average 11°C difference between night time low temperatures and day time highs.
Making Good Ventilation Decisions
In making decisions on how to design and equip a broiler production house, it is important to understand the capabilities of, and the kind of benefits that can be expected from, modern environmental control technology.
Figure 18 shows actually monitored temperature variations recorded by data-logging monitors in curtain-ventilated vs. environmentally-controlled broiler houses in the U.S. Southeast in autumn. While the conventional curtain-ventilated house allows very little, if any, temperature control, the environmentally-controlled house tracks the target temperature line fairly closely. That these results were recorded for the first 28 days of a growout is particularly significant.
For later stages of a growout and for warmer weather, especially when birds are grown to larger sizes (1.8-3.6 kg), tunnel ventilation with evaporative cooling has been shown to give a definite performance advantage. Table 2 shows actual infield data recorded by a commercial broiler operation during summer growouts in the Southeast U.S., comparing conventional curtain and tunnel ventilated houses with evaporative cooling.
Another study showing the potential of the modern tunnel house to deliver better bird performance was done by U.S. Dept. of Agriculture researchers, comparing the effects on bird weight and feed conversion efficiency of different tunnel wind speeds in hot conditions (Table 3).
Figure 18: Temperature monitoring shows the environmentally-controlled house maintains close-to-target temperature; curtain-ventilated house allows wide temperature swings. Shaded lines show target temperature.
Age (Days)
22
Table 2: Performance factors recorded for tunnel and EC vs. conventional curtain ventilation Houses in U.S. Southeast in summer
| 58 Day Broilers | Broiler Weight (kg) | Feed Conversion | % Liveability | % Condemnations |
|---|---|---|---|---|
| Tunnel and EC | 3.27 | 2.18 | 92.4 | 1.71 |
| Conventional | 3.11 | 2.24 | 88.1 | 1.9 |
Table 3: U.S. Department of Agriculture research study effects of different wind speeds on bird weight and feed conversion in hot conditions
| Air Velocity | Bird Weight (kg) | Gain in Preceeding Week (kg) | Feed Conversion for that Week |
|---|---|---|---|
| After 4th Week | | | |
| 3.05 m/s | 1.28 | 0.58 | 1.495 |
| 2.03 m/s | 1.27 | 0.57 | 1.482 |
| Still Air | 1.23 | 0.53 | 1.521 |
| After 5th Week | | | |
| 3.05 m/s | 1.94 | 0.66 | 1.712 |
| 2.03 m/s | 1.92 | 0.65 | 1.698 |
| Still Air | 1.79 | 0.55 | 1.804 |
| After 6th Week | | | |
| 3.05 m/s | 2.60 | 0.66 | 1.966 |
| 2.03 m/s | 2.52 | 0.60 | 2.080 |
| Still Air | 2.20 | 0.41 | 2.469 |
| After 7th Week | | | |
| 3.05 m/s | 3.21 | 0.60 | 2.277 |
| 2.03 ms | 3.02 | 0.50 | 2.610 |
| Still Air | 2.54 | 0.33 | 3.026 |
It must be stressed that the potential payoff from investment in ventilation technology is only realised where systems are properly designed for the purpose and setting, with careful attention given to choosing component parts, and equally important are managed properly.
Key Points
* Research studies and industry experience show modern environmental control technologies can provide a significant performance advantage.
* Data-logging monitors in commercial poultry houses document the ability of environmental control equipment to maintain close to target temperature.
* In the U.S. Southeast in summer, tunnel ventilation with evaporative cooling improved performance.
* Research under controlled conditions has shown that high wind speed is especially beneficial for performance of larger birds.
The following sections outline key decision factors for the most important ventilation system components.
Choosing Fans
Having good fans is essential for a successful ventilation programme. The key consideration is airflow capacity – that is, the m3/hr (cubic metres per hour) a fan delivers. Fans are the air-moving muscle of a ventilation system and you want to be sure the fans you install deliver the m3/hr that is needed.
Fan Performance Factors
Fan capacity (m3/hr) varies according to the static pressure the fan is working against. In free air (as with a stirring fan), with zero static pressure, a fan will move the greatest amount of air. In negative-pressure ventilation fans have to pull air from the inlets through the house and exhaust it to the outside, and so have to work against a certain amount of resistance, which we call static pressure. As static pressure goes up, fan airflow capacity goes down. A fan's airflow ratio (m3/hr at 50 Pa ÷ m3/hr at 12.5 Pa) indicates how well it maintains airflow capacity at higher static pressure. Airflow ratios range from around 0.65 - 0.90. Higher is better.
Fan efficiency (m3/hr per watt), matched with the utility cost per kilowatt-hour, tells us how much it costs to run a fan to get a given airflow in m3/hr. Fan efficiency also usually goes down as static pressure goes up.
Fan performance curves are very useful in comparing fans and judging which fan would be best for a given situation. Fan curves show either fan capacity or fan efficiency. That is, they plot or graph how a fan's m3/hr capacity changes as static pressure increases, or tell us what a fan's m3/hr/watt efficiency will be at different static pressures. The example fan curves shown in Figures 19 and 20 show the performance differences between typical direct drive low-efficiency and high-efficiency belt-drive 122 cm fans.
Fans are usually advertised or rated for m3/hr output at a static pressure of 10 or 20 Pa. This is the standard customarily used for ventilation design purposes and is a typical operating static pressure. If static pressure in a house rises too far beyond the design operating range – which is likely to happen if shutters or cooling pads are allowed to get dirty or there is insufficient tunnel inlet area – fans will not deliver the desired airflow. The high-efficiency fan shown in Figure 19 for example, delivers 39,105 m3/hr at 12.5 Pa static pressure. But if through improper design, management or maintenance of the poultry house we allow static pressure to rise to 37.5 Pa, the airflow drops to only 32,984 m3/hr, a 16% decrease.
Key Points
* The key fan performance factor is airflow capacity under static pressure load.
* "Airflow ratio" indicates how well a fan maintains airflow capacity at higher static pressure - higher is better.
* Fan efficiency is measured in m3/hr per watt. A more efficient fan with a high airflow ratio costs more but performs better and saves on long-term electricity costs.
* Fan airflow capacity and efficiency curves should be consulted to judge performance over the range of static pressure it will be used in and to estimate operating costs.
Fan Shutter Factors
Shutters should give little or no airflow resistance when open, but should completely block airflow when closed. Recent testing has shown even high-quality, new and clean louver-type shutters on 122 cm tunnel fans not to be closing tightly. The supposedly closed shutters allowed enough air leakage to cause several hundred dollars in heat losses per house during cool-weather minimum ventilation. Even more important, the air leakage also disrupts the needed airflow pattern, which can hurt bird performance.
If louvre-type shutters are used, a commitment must be made to keep them clean. Enough dirt can accumulate on these shutters in a week to reduce airflow by 25%. One reason for considering cone or slant wall fans is that shutters are mounted inside the house where they are much easier to clean.
Key Point
* Fan shutters must close tightly to avoid air leakage and must be kept clean to maintain rated fan capacity.
Integrated Control System Decision Factors
An integrated electronic control system provides consistent control of the in-house environment 24 hours a day, seven days a week. Such systems add significant cost, but can pay off in improved bird performance by limiting temperature swings above and below the target optimum to a much narrower range. As shown in Figure 21, an electronic controller is capable of plus or minus 1.1°C control, where typical mechanical thermostats allow swings of plus or minus 3-4°C. An integrated controller also eliminates the labour of changing individual settings on separate controls such as thermostats. However, a good human manager is still needed to oversee and operate the integrated control system.
A good system will be easy to learn, which usually means having a good display screen and being menu-driven. It should be capable of keeping heating and ventilation systems from fighting each other and moving the house automatically from heating to minimum ventilation to transitional to tunnel and evaporative cooling (and back). It also should have enough data channels so you don't have to add extra contactors. An important part of a good integrated controller is adequate built-in protection against power line voltage spikes and surges.
A good control system also will include zoning capability, allowing the manager to place temperature sensors in various parts of the house and set up the controller to use different sets of sensors for different conditions. For example, if half-house brooding is used, the controller would work only off sensors in the brood area for early growout minimum ventilation, but work only off sensors at the fan end of the house for hot weather tunnel ventilation.
Figure 21: As the graphic of recorded temperatures shows, integrated electronic controllers achieve far better in-house temperature control than thermostatoperated systems. Controller costs are usually fully justified by the improvement in flock performance.
The better controllers incorporate data collection and display, so that a manager can, for example, look at house temperatures at different intervals for the past 24 hours, or for the entire growout. This capability is extremely useful for troubleshooting. Remote monitoring and control, usually through networking through a personal computer, is a desirable option in controllers, allowing a manager or owner to check on house conditions from his separate office or residence and take care of troubles as they arise.
Key Points
* Modern electronic controllers can save a great deal of management time, such as in resetting thermostats.
* A good controller will have a range of capabilities – being operator-friendly is a must.
* A good controller will be able to keep in-house temperature on target plus or minus 1.1°C.
* A controller with data collection and display can be very helpful in troubleshooting and improving management practices.
Air Inlet Design Considerations
Design of air inlets used during minimum and transitional ventilation is very important for achieving good mixing of cool incoming and warm in-house air, without allowing cold outside air to flow directly onto birds. As mentioned earlier, there are several variations in placement of fans and inlets that can accomplish these goals; the fundamental principle is to bring air in high and at high velocity. Adjustable hinged-door inlets mounted high around the perimeter of the house (on sidewalls or in ceiling openings) have been found superior in producing the airflow pattern needed. Figure 22 shows the desired airflow pattern achieved by adjustable perimeter inlets, as contrasted with curtain ventilation inlet arrangements.
Figure 22: During minimum or transitional ventilation, it is important to avoid putting cold outside air directly on the flock. Adjustable inlets located high around the perimeter of the house accomplish this goal, directing air into the house above bird level so it mixes with warm in-house air before contacting birds.
Adjustable Perimeter Inlets
The size of the opening is critical, and this varies with the number of fans running and changes in static pressure. Manually adjusting these inlets to consistently maintain proper airflow, however, is next to impossible. Cool-weather inlets actuated by static pressure sensors accomplish proper adjustments automatically, providing much better conditions for birds than would otherwise be possible. For more information on inlet management, see page 36.
Key Point
* Adjustable hinged-door perimeter air inlets have been found superior in producing the airflow pattern needed for minimum and transitional ventilation.
Benefits of Using Stir Fans
Even with the best management of adjustable air inlets to provide good air mixing during minimum ventilation, minimum ventilation fans run only a fraction of the time. When the fans are turned off, mixing of warmer air in the upper part of the house with cooler air towards the floor stops. Stirring (or, circulating) fans mounted inside the house can help prevent this temperature stratification, keeping young chicks warmer and helping remove more moisture from the litter.
Another increasingly important effect of using stirring fans is to reduce heating fuel costs. Well insulated, well managed houses with adjustable air inlets have been found to experience somewhere between 15% and 20% fuel savings. Older houses often achieve higher fuel savings, although the total fuel cost will probably stay higher than for a well-managed and insulated modern house. A house with convective heating and/or a high-ceiling house would experience the greatest fuel savings, sometimes as high as 40%.
Both paddle (Casablanca-type) and axial vane fans have been found useful. Paddle fans usually work best in the up-draft mode. Axial fans are mounted along the centre-line of the house and blow air horizontally. The air circulation patterns achieved and installation details (typical for Southeast U.S.) are shown in Figures 23 and 24.
Key Points
* In-house circulation or stirring fans can help reduce temperature stratification and save on heating fuel bills during minimum ventilation.
* Both axial vane and paddle (Casablanca) type stirring fans have proven useful for mixing in-house air layers. Paddle fans work best in the up-draft mode.
Evaporative Cooling: Foggers or Pads?
Pad cooling has become much more common than in-house fogging, primarily because pad systems are easier to manage and do not risk wetting the house down. Evaporative pad systems also provide more cooling capability. However, a properly designed in-house fogging system with or without tunnel ventilation can be very efficient and effective in suitable climates if operated properly.
The difficulty with in-house fogging is that if more water is put into the air than it can absorb, water drops on the birds and litter. A fogging system must be managed so that just the right amount of water is fogged into the air to get maximum cooling, but staying just this side of wetting the house. This can be very difficult and requires a vigilant and active manager. Clogging of nozzles is also common, requiring frequent checking. Water quality can be an issue and the supply for the system must be filtered.
Key Point
* Recirculating pad evaporative cooling systems provide more cooling than fogging systems, are easier to manage and do not risk wetting the house down.
Evaporative Pad Cooling: How much pad is needed?
A reasonable goal is to achieve the desired cooling efficiency with the least pad area required, and at the same time keep house static pressure from rising above 25 Pa. The most common mistake made in pad EC systems is not having enough total installed pad area. This forces static pressure too high, which reduces the output of the fans below the rated m3/hr we are counting on. Not having enough pad area also means lower cooling efficiency because air velocity through the pad will be too high. The lower the air velocity through a wetted pad, the higher the cooling efficiency.
Note that the air velocity through cooling pads is not the same as the velocity through a house, or the velocity through the tunnel inlets. It is the cross-sectional area of the house that determines the air velocity after the air moves into the house. The pad area almost always must be larger than the house cross-section, because a lower air velocity is needed through the pads in order to achieve adequate cooling efficiency. The formula for determining the pad area, assuming we know the installed fan capacity and the design air velocity needed through the pads is:
Pad area required (m 2 ) Installed tunnel fan capacity (m 3 /hr) Recommended air velocity through pads (m/s) = ÷
Manufacturers recommend that optimum air velocity through the pads be obtained from test data.
Key Point
* A critical factor in achieving effective evaporative pad cooling without excessive loading of fans is to have an adequate installed pad area.
Need for Backup and Fail-Safe Systems
The more environmental control a house has the more need it has for backups or fail-safes to prevent catastrophic losses from failure of the controls. In a curtain-ventilated house, there should be a thermostat wired to a curtain drop device which will drop the curtain if temperature goes too high. In a fan-ventilated house, curtain drops also must operate in case of power failure. A backup generator is essential in modern poultry houses. It can not only prevent catastrophe but keep the system going and the birds performing during an outage. Integrated control systems also must be backed up with an independent controller that allows the main system to operate only within a "window" of acceptable conditions, usually plus or minus 5.5°C. The controls backup must have its own independent sensor, usually placed mid-house.
Alarms are needed to signal problems with various functions, such as temperature, power, water pump activation, etc. In addition to a local alarm, remote signalling capability is valuable, including connection through phone diallers and beepers. One very useful alarm is built into static pressure actuated air inlet controllers. It senses and signals static pressure variations, and since it is independent of the main controller it can act as a sentry on the primary system. All backup or fail-safe systems should be as independent as possible; that is, not subject to failure because another system failed.
Key Points
* The more environmental control a house has, the more it needs backups and fail-safes to prevent catastrophic losses from failure of the controls.
* All backup or fail-safe systems should be as independent as possible; that is, not subject to failure because another system failed.
House Orientation
How a poultry house is placed on the land in respect to sun angle is important. The best house orientation for optimum in-house conditions is with the roof ridge (long axis of the house) running at least approximately east-west. In winter this allows the low winter sun to hit the sun-facing sidewall in the middle of the day and contribute to house heating. In summer, when you want to minimise heat build-up, the mid-day sun is much higher in the sky, so the eave overhang keeps the sun from hitting the sun-facing sidewall for most of the day. The midday sun hits only the roof, which is typically the best insulated part of the house. Houses lined up more than 10-15 degrees off east-west are likely to use more fuel in winter and need a higher summer ventilation rate and closer ventilation management.
Key Point
* The best house orientation for optimum in-house conditions is with the roof ridge running at least approximately east-west.
Insulation Requirements
The value of insulation in saving heating fuel costs is widely recognised in moderate and cold climates. Houses with attic space above a ceiling should have at least U = 0.053 W/(m2K) (R-19) insulation above the ceiling. Open-truss houses without an attic should have at least U = 0.125 W/(m2K) (R-8) insulation under the roof, which can be accomplished with 38 mm polyurethane foam board or 50 mm polystyrene beadboard. Neither foil-type reflective insulation nor reflective roof coatings have proven adequate when used alone in poultry houses, without batt, board or loose-fill insulation. Any exposed insulation material must be robust enough to withstand regular cleaning and bird damage. Special attention must be paid to preventing absorption of water into insulating materials.
In warmer areas, managers sometimes feel insulation to be unnecessary and uneconomical. What must be realised is that regardless of the location, birds must be protected during the warm season from solar heat radiating down from an uninsulated roof. This is confirmed by studies in the U.S. Southeast in fan-ventilated open-truss broiler houses, identical except for having or not having under-roof insulation. With outside temperature at 33°C, temperature in the insulated house ran around 33.3°C, with negligible mortalities. In the uninsulated house, inside temperature ran to 37°C with 14% mortality.
Heat radiated from an uninsulated roof or ceiling can add more heat than is produced by an entire flock of six-week old birds. Ventilation systems, even with evaporative cooling, cannot be expected to handle such an additional heat load. Radiant heat is especially dangerous because it goes directly to the birds without directly warming the inside air. It is only after the birds have already absorbed this extra heat load that house air temperature starts to rise and the problem becomes evident. If no other insulation alternative is possible, foil-type reflective insulation or reflective roof coatings may provide some relief from radiant heat.
Key Points
* Insulation to save heating fuel is essential; batt, board, and loose-fill insulation are superior.
* Insulation under the roof or above the ceiling is essential in warm weather to keep solar heat from radiating down onto the flock.
Keys to Managing a Modern Tunnel House
Tunnel ventilation was invented to provide growers with a tool to keep birds eating and gaining weight in warm to hot weather. The method has become so popular and the setup is so distinctive that houses with this setup are usually called "tunnel ventilated houses", although they are operated in the tunnel mode for only part of the year. Tunnel ventilation is not needed in all climates, but is widely used in many poultry-producing regions. For basics on how ventilation modes work, refer to pages 16-21.
There are actually three basic ventilation modes used in most "tunnel" houses. Terminology used to describe these ventilation modes varies; for convenience in this publication we describe them as: minimum mode for cold weather and small birds (brooding), transitional mode for moderate weather and medium-size birds when heat removal is needed, and tunnel mode for additional cooling in hot weather.
Managing a modern tunnel house year-round for top bird performance (and a good return on the investment) first of all requires being able to judge which ventilation mode is best for the birds at any given moment; and then making the fine-tuning adjustments to keep temperature and other air quality factors as close to optimum as possible. Integrated electronic control systems now make the management job easier, since they can automatically switch modes and adjust ventilation rates as conditions change. However, even the smartest controller is not infallible and must be monitored. Even more important, the controller settings themselves must be determined by a knowledgeable human. There is just no substitute for a good poultry stockman who is in the house frequently, watching the birds and making the control adjustments they need for best performance and welfare.
Key Point
* Modern controls reduce management labour time but do not eliminate the need for a good manager.
Which Ventilation Mode Is Needed?
The key to making the right ventilation mode decision is knowing how much, if any, heat needs to be removed from the house, and whether outside air should be allowed to flow directly over the birds. The basics:
Minimum Ventilation:
* We do not need to remove heat from the house and do not want outside air to contact the birds directly. Either the birds are too small and/or outside air is too cold.
* Fans are on a timer, not a thermostat, and the ventilation goal is to prevent moisture build-up and provide fresh air.
* We want to stay in minimum ventilation as long as it is possible to keep birds comfortable this way.
Key Point
* Maintain minimum ventilation until there is a need to exhaust heat from the house.
Transitional Ventilation:
Starts when birds grow larger and/or outside air gets warmer so that in-house air temperature rises and we begin to need to exhaust excess heat from the house. We need a higher air exchange rate. But we still do not want outside air to contact the birds directly.
* The first stage of transitional ventilation is often simply by a temperature sensor overriding the timer to run the minimum ventilation fans, and in some systems by bringing additional (non-tunnel) fans and air inlets on.
* Even more heat removal can be accomplished by using tunnel fans to bring air in through sidewall air inlets (hybrid transitional mode).
* Transitional mode should be maintained as long as we can adequately remove the excess heat from the house in this way.
Key Point
* Transitional mode removes excess heat but keeps cold air off birds.
Note
One common alternative description lumps minimum ventilation and transitional ventilation under the term "power ventilation." The distinctions between timer-driven and temperature-driven ventilation on the one hand, and between non-wind-chill heat removal and wind-chill cooling on the other, are very important and are maintained by the terminology used here.
Tunnel Ventilation
* Start tunnel ventilation when birds need cooling; air exchange will no longer keep in-house temperature from rising above birds' comfort zone.
* We switch to tunnel mode only when it is no longer possible to keep birds comfortable using the transitional setup. That is, we need to be cooling the birds by the wind-chill effect of tunnel ventilation.
* We have to be very careful in switching from transitional to tunnel mode when birds are under four weeks old, because they experience a greater wind-chill and may be stressed by the sudden drop in the effective temperature.
* We want to be in (and stay in) tunnel only when birds need wind-chill to stay in their comfort range.
Importance of Staying on Target Temperature
Each given day during a growout, the operator needs to know what the target temperature should be for that day, and manage the ventilation system to maintain that temperature. Maintaining optimum temperature is most critical early in a growout. Performance losses in young birds cannot be made up later. It's a good idea to post the target temperature on the wall by the controller every day. For broilers, the optimum temperature typically starts near 32°C on day one and drops gradually to around 21°C by the 6th week (Figure 25). Someone should be comparing actual and target temperatures at regular intervals throughout each day of the growout and making adjustments as needed.
Figure 25: The temperature at which birds make best use of feed to gain weight begins at near 32°C on day one and declines to around 21°C toward the end of a seven week growout, but for best flock performance managers should strive to keep actual in-house temperatures within 0.5-1.0°C of the target until tunnel ventilation is started, when the effective wind-chill temperature is what matters.
49
Days
What matters is what is being experienced by the birds, not by the manager or even by a thermometer, especially one mounted one metre above bird level. All thermometers, thermal sensors or thermostats need to track temperature at bird level. Further, when a house is switched into the tunnel ventilation mode, the temperature the birds will experience is NOT the same as the thermometer reading. In the tunnel mode, the management goal is to keep the equivalent temperature on target. We do not need to and do not want to lower the thermometer temperature to target if the birds are experiencing wind-chill. This is especially important to remember early in a growout. It can be disastrous to wind-chill stress young birds that need to feel higher temperatures than fully-feathered birds.
Key Points
* During tunnel ventilation the goal is to keep the effective temperature on target – what the birds feel, not what the thermometer says.
* We do not want to lower the thermometer temperature to target if the birds are experiencing wind-chill.
Keys to Managing Minimum Ventilation
The goal of minimum ventilation is to maintain air quality during any time when it is not necessary to exhaust heat from the house. This means bringing in just enough fresh air to provide adequate oxygen and to prevent moisture build-up and ammonia problems.
1 - It is imperative as long as birds are present to ventilate at least some minimum amount of time, no matter what the outside weather is, and even when there is no need to remove heat from the house.
The amount of house heat lost during proper minimum ventilation is insignificant compared with the benefits gained in bird performance. Even when ammonia is not an issue (as with new litter), failure to provide adequate fresh air and to break up in-house air stratification can be very costly in terms of bird health and performance. One research study in the U.S., for example, found that just twelve hours of mild to moderate oxygen deficiency on day one caused a significant increase in ascites ("water bellies") and reduced weight gain at the end of the growout.
It's also important to realise there is no need to worry about moisture coming into the house during minimum ventilation. Cold air can't hold that much moisture to start with and as it is warmed by mixing with house air its relative humidity drops drastically. This enables the ventilation airflow through the house to absorb and exhaust excess moisture. We can and must operate minimum ventilation even when an all-day cold rain is falling outside.
Key Points
* Even when heat removal is not needed, ventilation is essential to maintain air quality.
* House heat lost during minimum ventilation is insignificant compared to the benefits gained.
2 - While air quality must not be sacrificed to save heating fuel, it is extremely important to keep young birds from being chilled.
Even mild chilling during brooding results in decreased weights and increased feed conversion, vaccine reactions and mortalities. Monitoring thermometers and thermostats must be set at bird level and outside cold air must not be allowed to flow directly onto birds.
Key Point
* Young birds especially must be kept warm; pre-heat house and litter before chick placement and monitor temperature at bird level.
3 - It is critical to pre-heat the house and litter before chick placement.
Placing chicks on cold litter will hurt performance. A good rule of thumb is that litter should ideally be at least 30°C at the time of placement. This can only be achieved if brooders are lit 24 hours ahead of placement. If convective heaters are the sole source of brooding heat, they should be turned on 48 hours before placement. The costs of not pre-heating are illustrated by one poultry company study which found that the best ten flocks for lowest early (seven day) mortality, at 0.7%, placed chicks on litter at recommended temperatures. The worst ten, which placed chicks on litter averaging 22.5°C, experienced 4.0% seven day mortalities.
4 - Minimum ventilation should be operated on a five-minute timer. As birds grow larger and put out more moisture and heat, system on-time and/or number of fans on needs to be increased.
Using a five-minute timer provides short (frequent) on-off cycles, which result in much better uniformity and consistency of house conditions. Using a 10 minute or longer timing cycle allows house temperature and air quality conditions to swing widely between extremes. Although average conditions may be the same as for the five-minute cycle, the birds will not be experiencing consistently optimum conditions. A rule of thumb for determining timer settings is that the minimum ventilation rate needed for starting chicks is about 0.047-0.094 m3/s per 1,000 chicks, depending on outside air temperature. In-house relative humidity and litter moisture, along with bird behaviour, serve as guides in setting the minimum ventilation rate.
Key Point
* Operating minimum ventilation on a five-minute timer minimises temperature and RH extremes and provides a better rearing environment.
5 - A critical factor for successful minimum ventilation is making sure that incoming cold air mixes uniformly with, and is warmed by, in-house air before coming in contact with the birds.
Adjustable perimeter air inlets operated by static pressure-sensing controllers are by far the best way to accomplish this on a consistent and continuing basis. If the inlet area is not adjusted properly according to the fan m3/hr being used, either the ventilation rate will be choked down below what is needed, or incoming cool air is likely to fall directly to and chill-stress the birds (Figure 26).
6 - The switch to transitional ventilation mode comes when birds are producing too much heat for the minimum ventilation fans to cope with.
The cooler the outside air and the younger the birds, the longer it takes to get to the point where ventilation must be switched from minimum to transitional mode. The warmer the outside air and the larger the birds, the sooner we will need to switch.
Key Point
* Switch to transitional mode only when heat removal is needed and minimum ventilation cannot keep birds comfortable.
Keys to Managing Transitional Ventilation
The goal of transitional ventilation is to exhaust enough heat to keep the house temperature within the birds' comfort range, while at the same time not allowing outside air to flow directly onto the birds.
1 - To be successful with transitional ventilation, it is essential to have the sidewall inlets on a static pressure controller.
It is very difficult or impossible to manually adjust the size of the inlet openings to keep the proper static pressure as the number of fans running changes.
2 - We never want to switch to tunnel ventilation while it is still possible to maintain bird comfort in transitional ventilation mode.
As birds get older and give off more heat per kilogramme of body weight, or as outside weather gets hotter, we must get rid of more and more heat from the house. For large birds in a well-designed house, if the outside temperature is more than 5.5°C cooler than the inside target, then we should be able to maintain target temperature with transitional ventilation. We should not be using tunnel ventilation. If birds are smaller, we should be able to maintain target temperature with transitional when there is even less than 5.5°C spread between inside and outside temperature. Switching into tunnel mode too soon is also likely to produce a large temperature difference from one end of the house to the other, which will hurt flock performance.
Key Point
* Switching from transitional to tunnel ventilation too soon can hurt bird performance severely.
3 - There is no problem with switching from one ventilation mode to another, minimum, transitional or tunnel, as conditions change.
A flock may need transitional ventilation during the night and in the early morning, but some form of tunnel during the heat of the day. The question is, what will keep the birds performing best?
4 - In judging the time and need to switch to tunnel, we must keep the wind-chill effect in mind.
If we are using maximum transitional ventilation capacity – running, say, four tunnel fans and switch into tunnel mode, the birds will experience a drop in the "equivalent" or "effective" temperature, which may be quite a bit lower than the thermometer reading. When birds are younger and more sensitive to wind-chill, the effective temperature drop may be difficult for them to cope with.
Keys to Perimeter Inlet Management
In both minimum and transitional ventilation, achieving proper airflow through the perimeter air inlets is essential. Inlets control direction of air movement and affect the velocity of air entering the house, and thus air mixing. In cold weather, inlets are the tool to help blend cold outside air with warm inside air to save fuel and maintain precise temperatures. Good inlet management prevents all the hot air from being in the top of the house. In houses with poor inlet management, as much as 8-11°C difference in floor and ceiling temperature are observed. Good inlet management can keep this temperature difference to 3°C.
Key Point
* In cold weather, perimeter air inlets are the tool to help blend cold outside air with warm inside air.
Good inlet management also saves fuel costs. Houses with poor air mixing will use 20-25% more fuel. In addition, the combination of temperature and air quality from day one is probably the most significant factor in broiler flock performance. Extreme temperatures can be devastating during the brooding period especially. Too cold
conditions dramatically impact the ability of young birds to get adequate feed and water, and if early growth is slowed the performance losses cannot be made up during the life of the flock. Proper management of air inlets to provide birds the temperature and air quality they need is absolutely essential.
Key Point
* Proper perimeter inlet management can cut heating fuel bills by as much as 20%.
1 - Inlet management starts with making sure the house is tight, with no air leaks around doors, curtains, torn insulation, etc. to rob from the inlet air stream.
2 - The next step is to make sure inlets are opening properly. The size of the inlet openings must be set so as to achieve both the static pressure desired and the airflow "throw" needed (Figure 26).
For perimeter inlets to flow air properly they must open a minimum of 5-7.5 cm for a sidewall inlet or 2.5-4 cm for a ceiling inlet. Inlets opened beyond the "fully open" position (opening at tip of board equal to inlet throat opening) don't increase airflow. Too wide board openings tend to direct air downward towards the birds. The right airflow happens only with the right amount of inlet opening.
Key Point
* Sidewall air inlets should open at least 5-7.5 cm and ceiling inlets 2.5-4 cm to provide good airflow.
3 - Use a static pressure-operated controller to operate air inlets.
Managing inlets manually is a well-nigh impossible job. Each time a fan came on and went off an inlet opening adjustment would need to be made. The static pressure control senses the static pressure in the house and then opens or closes the inlets to achieve the proper opening that will produce the static pressure desired - and thus produce the airflow pattern desired. These machines work very well and have greatly benefited our industry.
4 - The number of air inlets allowed to operate must be matched to the total fan capacity being used.
Deciding how many of the installed inlets will actually be used is one aspect of inlet management that does need to be taken care of manually. A typical broiler house will have enough inlets installed to handle half the total installed fan capacity, but when only one or two fans are being used, as in brooding, we also need to cut back on the number of inlets that will open. The reason for this is that if too many inlets are operating for the number of fans running, the static pressure machine will have to choke the inlet openings down too far in order to maintain static pressure and the airflow "throw" needed will not be achieved.
With all inlets in use, running only one 122 cm fan results in the static pressure machine opening the inlets only about 0.5-1.5 cm, and the air barely leaks into the house at the inlets and then falls to the floor. In this situation, proper air mixing cannot happen because there is no real air stream with any air velocity. This leads to wet litter, high humidity, ammonia, high fuel usage and poor air quality. The key is to match the number of inlets in use to the fan capacity that will be used during a given day or period of the growout.
To get good airflow during the early days of a growout when using only one 122 cm fan (or two 91 cm fans) in half-house brooding, we usually need to latch closed every other inlet in the brood chambers (and all the inlets in the growout end). This allows 15 evenly distributed inlets in the brood chamber to respond to the inlet machine. We would unlatch more inlets in the brood chamber only if there was need to run additional fans. After turnout, more inlets in the growout end are unlatched as more fans are used.
A good rule of thumb in a tunnel house is to have about 15 operating inlets for each 122 cm fan that will be brought on during that phase of the growout or that prevailing weather.
Key Points
* The number of air inlets allowed to operate must match the total fan capacity being used.
* A rule of thumb is to have about 15 operating perimeter air inlets for each 122 cm fan being used.
5 - Avoid having any obstructions to airflow being placed directly in the air stream from the inlet.
Water lines and electrical conduit are often strapped to the ceiling right in the path of airflow from the inlets. When the airflow stream hits such an obstruction it breaks up and drifts downward. This defeats the goal of having a high-velocity air stream flowing smoothly along the ceiling to the centre of the house.
Figure 26: Correct and incorrect air inlet openings
The goal of tunnel ventilation is cooling. We are in the tunnel mode only when it is no longer possible to keep birds comfortable by removing heat from the house. They need the wind-chill effect; and in hotter weather, the real temperature reduction of evaporative cooling.
1 - Success in managing tunnel ventilation depends on understanding effective or equivalent temperature produced by the wind-chill effect.
To determine effective bird temperature, you must take the in-house thermometer reading and subtract the number of degrees of wind-chill cooling you estimate the birds are experiencing. Determining equivalent temperature is not an exact science. The felt temperature is very much affected by bird age (that is, feathering and body size) and the speed of the air. Other things being equal, the effective temperature drop will be:
* Greater for younger birds, less for older birds.
* Greater for lower temperatures, less for higher temperatures.
The wind-chill effect decreases as we approach 35°C and completely goes away as we approach 38°C.
Key Point
* Wind-chill effect depends most of all on bird age and air velocity.
2 - Extreme caution should be exercised when tunnel ventilating young birds.
The effect of wind-chill on four week birds may be double that for seven week birds. Growers often get into trouble when trying to tunnel ventilate young birds when the weather is too cold. But under extremely hot conditions it may be necessary to ventilate day old birds using two or three tunnel fans.
3 - To determine the wind-chill effect in a given situation, you must observe the birds' behaviour to pick up any signs of their being too warm or too cool.
There is no way to predict or calculate exactly what the wind-chill effect will be. The key signs of bird discomfort to look for are:
* When birds are too warm they migrate to cooler or higher airflow areas, hold feathers closer to the body, droop or lift their wings to get more air cooling, drink more and eat less. If they stop eating and begin panting, and especially if normally pink skin areas turn dark red, they are definitely getting over-heated.
* When birds are too cold, they tend to go to the floor to try to avoid the cool air stream, move away from the direction of air movement and huddle together, and "fluff" feathers to increase their insulating value.
4 - It can be very helpful to develop guidelines for using tunnel ventilation based on your situation and experience.
The following are some example guidelines for judging whether you should be in tunnel or transitional mode. These are general guidelines only, and must be checked against bird behaviour.
* If the outside temperature is less than 21°C and birds are four weeks old, stay in transitional mode.
* If the outside temperature is 18°C and the birds are between five and eight weeks old, stay in transitional mode.
* If the outside temperature is 15.5°C or lower and the birds are eight weeks old, stay in transitional mode ventilation. The fact is, if it's too cold outside, tunnel ventilation hurts rather than helps.
* Under normal conditions with fully-feathered birds, don't consider running in tunnel mode with fewer than half of your tunnel fans. This has more drawbacks than benefits, especially regarding temperature uniformity. If you can do the job with fewer than half of the fans, stay in transitional ventilation mode.
Key Point
* If it is cool outside, tunnel can hurt more than it helps; bird age is the critical factor.
5 - Monitor the temperature difference in the house from inlet end to fan end. This can indicate two different things, depending on the situation:
* During tunnel in hot weather, a temperature difference much greater than 3°C (normal) can indicate insufficient airflow or air leaks letting hot air into the house. In this situation, check air velocity and look for dirty fans, shutters and/or pads, and for open doors or other leaks.
* In cooler weather with smaller birds, a more than 3°C rise in temperature from one end of the house to the other during tunnel ventilation may indicate you should be in transitional ventilation, not tunnel. Under these conditions, the temperature rise from one end of the house to the other may be telling you that the incoming air is too cold and as it passes through the house is picking up more heat than is desirable. You don't experience this with transitional ventilation because the air is coming in uniformly through the perimeter vents all around the house.
Key Point
* End to end temperature difference can indicate poor airflow, or the need to be in transitional, not tunnel ventilation.
6 - Migration fences should be installed as soon as we move from the brooding phase to full house ventilation.
When using tunnel ventilation for cooling, birds will tend to move toward and crowd into the cooler, inlet end of the house. Migration fences will keep them spread out. Keeping birds uniformly spread out ensures conditions for growth are the same throughout the house. Properly installed fences are vital for the proper operation of tunnel houses. Fences must be constructed 45-60 cm high and allow air to pass through the fence to allow good air circulation around birds.
Key Point
* Using migration fences keeps birds spread out and ensures conditions for growth are uniform throughout the house.
7 - If you see any sign of birds being too warm during full tunnel ventilation (and the system is operating properly), it's time to turn on evaporative cooling. However, on any day when the temperature is expected to go at least into the 32°C range, it may be best to turn on evaporative cooling before getting to the point where all tunnel fans are running.
See more explanation of this issue in the next section.
Key Point
* Turn on evaporative cooling before birds begin to feel heat stress, and before reaching full tunnel (all fans).
Keys to Managing Tunnel and Evaporative Cooling
The goal of evaporative cooling in a modern tunnel broiler house is to work in combination with wind-chill cooling to keep birds in or near their comfort temperature zone. Evaporative cooling extends the range of conditions under which we can get top performance from birds. An evaporative cooling system does not have to lower the air temperature to the actual target thermometer reading – it only has to get it into the range where the added effective temperature drop produced by the tunnel airflow will do the job.
For example, if it is 35°C outside and we can get 7°C of evaporative cooling from our system, the real air temperature coming into the house is 28°C. If the wind-chill effect from the 2.54 m/s air velocity is another 6°C, the effective temperature felt by the birds will be 22°C – very close to optimum for fully-feathered birds.
Key Point
* Evaporative cooling only needs to lower thermometer reading to range where wind-chill can keep birds comfortable.
1 - Evaporative cooling should be turned on or programmed to come on before birds begin to feel heat discomfort.
For fully-feathered birds, this may be in the 27-29°C air temperature range. It is easier and better to keep heat build-up from happening in a house than it is to reduce the heat load after it has progressed too far.
2 - Evaporative cooling does not have to be delayed until we are in full tunnel and running all fans.
Running, say six of eight fans with evaporative cooling on can be especially beneficial to younger birds, which are more sensitive to wind-chill. Using fewer fans reduces the wind speed, and evaporative cooling is more efficient when run with slower air speed, so that you can get the same effective cooling at lower cost.
Key Point
* Turning on evaporative cooling with less than all fans running is economical and can help younger birds.
3 - A good rule of thumb is that evaporative cooling systems should not be used when the relative humidity is above 80%, which in many locations includes after dark or before 9 a.m.
Night time temperatures usually drop significantly, and in many areas humidity during night time hours may be so high in summer that almost no cooling will be experienced. On the other hand, there is rarely high enough relative humidity during a hot summer day in most regions to necessitate turning off properly staged foggers or pads. Evaporative cooling does little good if the relative humidity is much over 80%. However, as a warm day progresses and air temperatures increase, the cooling we can get from evaporative cooling also increases.
Key Point
* Rule of thumb: Do not run evaporative cooling after dark or before 9 a.m.
4 - Pad cooling systems work well only when all incoming air goes through a completely wetted (and clean) pad – which means it is especially important to properly maintain and monitor the system and the house. No doors can be open or any air leaks permitted. Side curtains must fit tight against the house. Water pumping rates must be right and pads must not be allowed to clog. Reducing the number of on-off cycles helps, as does allowing pads to dry out completely during the night, turning the water off but keeping fans on.
Key Point
* Good maintenance is especially important for successful evaporative cooling.
Management Includes Monitoring
Probably the hardest part of doing ventilation right is that you can't usually see air movement. Bird behaviour is the first and most important item to monitor. If birds are eating and drinking normally and distributed evenly through the house, they're okay. If they aren't, you have a problem to investigate. It's also important to keep watch on other key indicators. Monitoring temperature, air movement, relative humidity and static pressure can show you expensive problems you weren't aware of and help you head off problems before they occur. Here are some ways to keep watch:
Key Point
* Monitoring job 1: watch bird behaviour.
Temperature
* The large dial thermometers seen in most houses are convenient but inaccurate. High/low recording mercury thermometers are more accurate and allow you to see and keep a log of temperature ups and downs. Recording ("data logging") thermometers and humidistats print out a record of temperature or humidity swings in the house, which can be extremely valuable.
* Mount thermometers high and low in the house to see how much air/temperature stratification you have. The critical reading is the temperature where the birds are. You need at least three thermometers at bird level: at the front, at the middle and at the rear of the house.
* Handheld digital thermometer/humidistat combinations are not too expensive, are fast reacting and can be used to calibrate mercuries.
* An infrared thermometer shows you the temperature of any surface you point it at, not the air temperature. These are more expensive but can show up expensive problems you might otherwise miss, such as ceiling insulation breaks, cold floors, overheating motors or circuit breakers, etc.
Key Points
* Temperature is extremely important: invest in good thermometers and put them in the right places.
* An infrared thermometer helps spot a number of different kinds of problems.
Air Movement
* Simple to use, accurate and affordable airspeed meters are now available. These electronic gadgets are not too expensive and are accurate enough to be useful. A handheld model that includes a thermometer is especially useful and convenient for surveying house conditions.
* Strategically placed lengths of light ribbon, like surveyor's flags, are useful airflow indicators. Generally you want them along the ceiling and at bird level. A fluttering streamer does not tell you that air movement at that place is perfectly ok, just that there is some air moving. A streamer hanging still when it should be fluttering definitely signals a problem.
Key Point
* Airspeed meters and streamers take a lot of the guess-work out of ventilation management.
Relative Humidity
* Monitoring relative humidity also requires some instrumentation. There is no way you can "feel" relative humidity differences that can spell loss of bird performance if they continue. To easily check relative humidity trends up or down, use an inexpensive digital relative humidity meter (humidistat), accurate to about +/-5%. A high-accuracy digital costs more but is accurate to about +/-2%. Again, you want to know what's going on at bird level, so get down with the birds to make your checks.
Static Pressure
* Monitoring static pressure over time and in given conditions is especially useful to spot problems such as air leaks, shutters not opening fully, declining fan performance etc. Easy to use and inexpensive hand-held or wall-mounted manometers are available. Magnehelic type meters are slightly more expensive but also more accurate.
Key Points
* A static pressure meter helps spot air leaks, shutter problems, poor fan performance and more.
* Get expert help wherever you can. Company service personnel, consultants, and university specialists (where available) will have, or have access to, good monitoring equipment. They can give advice, help you check your house periodically and show you how to do it all yourself.
Helpful Conversion Factors
Following are approximate Imperial (English) to metric and metric to Imperial (English) conversion factors for measurements and units commonly encountered in discussions of commercial poultry house environmental management.
| Air Velocity | |
|---|---|
| Area | |
| Airflow | In cu In cu |
| Static Pressure | |
| Volume | |
| Heat | |
| Heat Loss | In |
| Length | |
| Weight | |
| Light Intensity | |
Measurement Units Conversion Table
| Celsius to Fahrenheit 1.8°C + 32 | |
|---|---|
| °C | °F |
| 40 | 104 |
| 35 | 95 |
| 30 | 86 |
| 25 | 77 |
| 20 | 68 |
| 15 | 59 |
| 10 | 50 |
| 5 | 41 |
| 0 | 32 |
| -5 | 23 |
NOTE
In converting temperature differences or intervals, the +/-32° constant is not used. For example, a 15°F interval equals an 8.3°C interval: 15 (F) ÷ 1.8 = 8.333 (C)
Notes
Notes
Notes
Every attempt has been made to ensure the accuracy and relevance of the information presented. However, Aviagen accepts no liability for the consequences of using the information for the management of chickens.
For further information, please contact your local Technical Service Manager.
|
Article
The EvoDevoCI: A Concept Inventory for Gauging Students' Understanding of Evolutionary Developmental Biology
Kathryn E. Perez,* Anna Hiatt, † , ‡ Gregory K. Davis, § Caleb Trujillo, ∥ Donald P. French, † Mark Terry, ¶ and Rebecca M. Price #
*Department of Biology, University of Wisconsin La Crosse, La Crosse, WI 54601; † Department of Zoology, Oklahoma State University, Stillwater, OK 74074; § Department of Biology, Bryn Mawr College, Bryn Mawr, PA 19010; ∥ Department of Biological Sciences, Purdue University, West Lafayette, IN 47907; ¶ Northwest School, Seattle, WA 98122; # School of Interdisciplinary Arts and Sciences, University of Washington, Bothell, Bothell, WA 98011
Submitted April 5, 2013; Revised June 1, 2013; Accepted July 1, 2013 Monitoring Editor: Diane Ebert-May
The American Association for the Advancement of Science 2011 report Vision and Change in Undergraduate Biology Education encourages the teaching of developmental biology as an important part of teaching evolution. Recently, however, we found that biology majors often lack the developmental knowledge needed to understand evolutionary developmental biology, or "evo-devo." To assist in efforts to improve evo-devo instruction among undergraduate biology majors, we designed a concept inventory (CI) for evolutionary developmental biology, the EvoDevoCI. The CI measures student understanding of six core evo-devo concepts using four scenarios and 11 multiple-choice items, all inspired by authentic scientific examples. Distracters were designed to represent the common conceptual difficulties students have with each evo-devo concept. The tool was validated by experts and administered at four institutions to 1191 students during preliminary (n = 652) and final (n = 539) field trials. We used student responses to evaluate the readability, difficulty, discriminability, validity, and reliability of the EvoDevoCI, which included items ranging in difficulty from 0.22–0.55 and in discriminability from 0.19–0.38. Such measures suggest the EvoDevoCI is an effective tool for assessing student understanding of evo-devo concepts and the prevalence of associated common conceptual difficulties among both novice and advanced undergraduate biology majors.
INTRODUCTION
The integrative field of evolutionary developmental biology, or "evo-devo," enhances our understanding of evolution. Evo-devo builds on the modern synthesis by considering the developmental mechanisms of evolutionary change. For example, evo-devo biologists have identified specific genetic
DOI: 10.1187/cbe.13-04-0079
Address correspondence to: Kathryn E. Perez (firstname.lastname@example.org). ‡ Present address: Department of Ecology and Evolutionary Biology, University of Kansas, Lawrence, KS 66045
and developmental changes that played key roles in the loss of abdominal appendages in insects and in the modification of hind wings to balancing organs in flies (Ronshaugen et al., 2002; Hersh et al., 2007). By considering ways in which development can influence the evolutionary process, evo-devo also sheds light on evolutionary patterns that cannot be explained solely by natural selection. Examples include the extreme conservation of the number of cervical vertebrae in mammals or the fact that all centipedes have odd numbers of leg-bearing segments (Arthur and Farrow, 1999; Galis, 1999).
c ⃝ 2013 K. E. Perez et al. CBE—Life Sciences Education c ⃝ 2013 The American Society for Cell Biology. This article is distributed by The American Society for Cell Biology under license from the author(s). It is available to the public under an Attribution– Noncommercial–Share Alike 3.0 Unported Creative Commons License (http://creativecommons.org/licenses/by-nc-sa/3.0).
"ASCB R ⃝ " and "The American Society for Cell Biology R ⃝ " are registered trademarks of The American Society for Cell Biology.
The insights of evo-devo present opportunities to enhance student understanding of evolution in general and are thus relevant to all biology instructors. For example, teaching evo-devo has been promoted as an important counter to the creationist claim that evolutionary novelties and other macroevolutionary changes cannot be explained by current evolutionary theory (Gilbert, 2003; Brigandt and Love, 2010). That evo-devo could potentially play this role is supported by the finding that student acceptance of evolution is more by guest on January 2, 2014
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Table 1. Overview of the EvoDevoCI development process a
1. Identify core concepts in evo-devo and associated supporting concepts by literature review and expert surveys.
2. Evo-devo experts review core and supporting concepts for scientific accuracy and completeness.
3. Conduct student interviews and open-ended surveys to identify conceptual difficulties in evo-devo and quantify prevalence of conceptual difficulties.
Preliminary testing and revision of CI
4. Write scenarios and item stems that are based on actual biological examples but have altered details, such as gene names, organisms, or experiments performed.
5. Split 34-item test into subsets of 7–10 items. Administer 502 subtests to 421 students (field test 1).
6. Evaluate, eliminate, and revise items. Administer 17-item test to 63 students (field test 2).
7. Evaluate, eliminate, and revise items. Administer 11-item test to 168 students (field test 3).
8. Adjust wording of distracters slightly based on field test 3 results.
Final validity and reliability testing
9. Experts review final 11-item test.
10. Adjust wording of distracters slightly in response to feedback from experts.
11. Administer 11-item test to 539 students (from novice to advanced) at four institutions. Includes test/retest, redacted vs. unaltered, and paper vs. online tests.
a Steps 1–3 are reported in more detail in Hiatt et al. (2013).
strongly correlated with instruction in macroevolution than instruction in population genetics or microevolution (Bishop and Anderson, 1990; Sinatra et al., 2003). More widespread teaching of evo-devo is likely with the increasing availability of materials for teaching evo-devo concepts, including explanatory material for teachers (Understanding Evolution, 2012a–c), online virtual labs (Howard Hughes Medical Institute, 2012), case studies (Platt, 2009), and textbooks (Schlichting and Piggliucci, 1998; Carroll et al., 2001; Wilkins, 2001; Arthur, 2011; Stern, 2011; Hall, 2012; Zimmer and Emlen, 2012).
While evo-devo holds promise for enhancing understanding of evolution, it is challenging for students to learn. This is due, in part, to students' limited exposure to the foundational knowledge required to understand higher-order concepts in evo-devo. For example, many students lack the foundational knowledge of developmental biology, genetics, and molecular biology, with the result that both novice and advanced undergraduates face conceptual difficulties in understanding evo-devo (Hiatt et al., 2013). To address conceptual difficulties, instructors need to be able to efficiently and accurately identify their presence. Compounding these obstacles is the fact that many biology instructors were not exposed to contemporary evo-devo concepts during their own formal educations. In light of these challenges, efforts to integrate evo-devo into undergraduate life sciences curricula will require tools that effectively assess student understanding of evo-devo concepts.
student understanding of evo-devo concepts for undergraduate biology majors, the EvoDevoCI. We built upon previous work (Hiatt et al., 2013), in which we identified core concepts in evo-devo that experts agree ought to be taught at the undergraduate level, as well as common conceptual difficulties students encounter when trying to learn these concepts. In this paper, we describe the EvoDevoCI, its validation by experts, and extensive field-testing on undergraduate students at four institutions.
METHODS
Sources of Data
We collected data at four different universities in the United States: a public master's degree–granting comprehensive university in the Midwest (MCU), a private university in the Northeast (PU), and two large research-intensive public universities in the Midwest (RIM) and the mid-South (RIS). All test administration was deemed exempt by institutional review boards and performed with informed consent (PU, IRB #R11-033; RIM, IRB #1210012864; RIS, IRB #AS125; MCU's IRB approved, but no IRB number was assigned).
Concept inventories (CIs) are powerful, research-based tools for quickly assessing student understanding of science concepts (Hestenes et al., 1992; Garvin-Doxas et al., 2007; Adams and Wieman, 2010; Smith and Tanner, 2010). Several existing CIs assess conceptual understanding of evolution (Anderson et al., 2002; Baum et al., 2005; Nadelson and Southerland, 2010; Novick and Catley, 2012) but do not assess most evo-devo concepts. Although a few tools are available to evaluate developmental biology concepts, they either include only a few items that touch on evolution (e.g., Knight and Wood, 2005) or have not been validated for use as a general diagnostic assessment tool (e.g., Darland and Carmichael, 2012). Our goal was to develop an easy-to-use CI that assesses
We field-tested multiple-choice items from January 2012 to January 2013 among biology majors ("life sciences" at RIS; Tables 1 and 2). The manner in which students progressed through the curriculum at each institution ensured that each student in our study took the EvoDevoCI only once, unless he or she participated in a test/retest trial, in which case the participant took the CI twice.
Development of Scenarios and Items
We designed the EvoDevoCI to assess understanding of the core concepts of evo-devo (Table 3) that we previously identified by surveying evo-devo experts and educators about which concepts are central to the field and taught at the undergraduate level (Hiatt et al., 2013). We wrote several items to target each core evo-devo concept, with each item comprising a question stem and four possible responses: one correct response and three distracters (e.g., Figure 1). Initially, by guest on January 2, 2014
Table 2. Summary of final validity and reliability testing of the EvoDevoCI a
a Shown are the number of students who took the CI, as well as response rates for novice (<5 biology courses) and advanced (≥5 biology courses) students. All tests were administered online and in a fixed order (Crayfish/Centipede/Minnow/Lizards), except for P EvoDevoCI, which was administered in paper form, and R EvoDevoCI, for which the scenario order was randomized. Only students identified as biology majors were included in the final analyses and listed here.
we used biological examples from plants, invertebrates, and vertebrates to develop scenarios and stems. Although the scenarios were inspired by actual biological examples, gene names were fictionalized to avoid triggering rote recall of common classroom examples, and organisms were sometimes changed to species that are familiar to students. Following Nehm and Ha (2011), we included examples from both sides of the following dichotomies: within versus between species differences, gains versus losses of traits, animals versus plants, and familiar versus unfamiliar taxa.
When writing and revising items, we weighed the plausibility, language, consistency, and breadth of each response to remove any temptation for students to guess or otherwise select a response without considering the associated scenario or stem. The distracters for each item represent the conceptual difficulties we previously identified as common in student answers to questions targeting particular core concepts (Hiatt et al. , 2013; Table 4). To illustrate the relationships between the core concepts and the associated conceptual difficulties used to write distracters, we constructed a diagram (Figure 2; descriptions of concepts and conceptual difficulties can be found in Tables 3 and 4) using the network diagram visualization function in Many Eyes (IBM, 2010). For the conceptual difficulty "Lack of development" (see Table 4, DV1), which includes an exclusive reliance on natural selection, we found it difficult to write distracters that were clearly implausible. Thus, for some of these distracters, we took the approach of making them implausible in some other
a Items targeting each concept are indicated by either their position in the CI (question code) or their position within each scenario: Crayfish (C1, C2), Centipedes (N1), Minnows (M1, M2, M3, M4), and Lizards (L1, L2, L3, L4).
b We intend "developmental process" to refer to any process that is part of the development of a sexually mature adult.
c While we recognize that features of development (e.g., gene expression patterns) are often considered to be part of an organism's phenotype, for purposes of clarity we use "phenotype" here to refer only to traits (e.g., behavioral, morphological, physiological, biochemical) of the adult organism.
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Figure 1. CI item targeting CC4: "Development can bias evolutionary change." Each of our questions followed a similar format, with a short scenario inspired by an actual biological example but for which some details (e.g., gene names, the organism, or experiments performed) may have been altered, followed by a question stem and four response options. Each distracter (incorrect response) is written to reflect one of the conceptual difficulties most often associated with that evo-devo concept. Although the biological example in this case is real, the fitness data have been imagined to suggest an explanation that does not rely on natural selection.
way. For example, the distracter might contradict additional information given in the scenario or stem (e.g., question 3, response D, as shown in Figure 1; see Supplemental Material for additional examples).
We evaluated the quality of distracters included in the final EvoDevoCI by administering an unaltered version (n = 54) and a version consisting only of item responses (n = 50), with the scenario and question stems redacted, to students at RIS. In the redacted version, students were asked to select the correct response for each item and provide an explanation for their choice. Both groups of students were in the same lecture course and should represent similar student populations. This test served two purposes: 1) to determine whether either the correct response or distracters for each item were detectable by students on the basis of "clues," such as the length of the response or the inclusion of absolutes in the case of distracters (e.g., "never" or "all") (Novick and Catley, 2012); and 2) to determine whether any responses were perceived by students to be inherently more or less plausible relative to one another. If item responses possess neither clues nor differences in inherent plausibility, then the percentage of students choosing each response should approximate the probability of selecting a response by chance (0.25). We used a Mann-Whitney U-test to compare response rates for the unaltered and redacted versions of the CI against a random distribution.
phrasing of preliminary items (overall response rate = 31.3%). For field tests 1 and 2, we asked participants to circle or describe unfamiliar vocabulary (Patton, 2002). Using the data from each field test (1–3), we calculated the difficulty and discriminability of each item. Difficulty (P) was calculated as the overall proportion of students choosing the correct response for a particular item, while discriminability (D) was calculated by subtracting an item's difficulty among lowperforming (bottom half, PL) students from an item's difficulty among high-performing (upper half, PU) students (D = PU − PL; Crocker and Algina, 1986). Ideally, all items have a difficulty greater than chance (P > 0.25 for items with four responses) and discriminability greater than 0.20 (D > 0.20), indicating the item successfully discriminates between highand low-performing students (Crocker and Algina, 1986; Haladyna, 2004). Furthermore, all distracters should be chosen by at least a few respondents (> 0.05) (Crocker and Algina, 1986; Haladyna, 2004). Easy items (e.g., P > 0.8) are undesirable, in that they are both less likely to discriminate between high- and low-performing students and less likely to detect conceptual difficulties associated with the target concept (Haladyna, 2004). Thus, items not meeting these measures of readability, difficulty, discriminability, and minimal selection of all distracters were eliminated or revised.
Initial Assessment and Revision
Field tests 1–3 evaluated how novice and advanced students respond to different scenarios, how often they select particular responses, and how they respond to the wording and
For field test 1, 34 preliminary items were divided into four subsets of 7–10 items each and administered (502 question sets taken by 421 students; some students at MCU took two question sets). As a follow-up, we asked select students to explain their answers to confirm that chosen responses truly reflected the understanding of the student (Patton, 2002). Based on these criteria, the 34 items were narrowed to 17, which together addressed each core concept two or three times. For by guest on January 2, 2014
Table 4. Conceptual difficulties used as the basis for distracters and the prevalence of the associated distracters in the final validation test a
a For each item, we used the conceptual difficulties most commonly associated with the targeted core concept. Background information on the prevalence and descriptions of the conceptual difficulties are given in Hiatt et al. (2013). Most conceptual difficulties were used in only one of the items targeting any particular concept; a few were used in both items, and in these cases, mean prevalence is shown and marked with an asterisk.
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Figure 2. Network showing the relationships between each core concept (black circles) and the associated conceptual difficulties (gray circles) used to construct distracters for questions addressing that core concept.
field test 2, we divided these 17 items into two subsets of 8 and 9 items for administration (n = 63). Again, items not meeting minimal criteria were eliminated or revised, resulting in 11 items in field test 3 (n = 168). A few minor changes were made to this version prior to expert assessment.
Final Validity
The final EvoDevoCI (see Supplemental Material) comprises four scenarios and 11 items—Crayfish (C1, C2), Centipedes (N1), Minnows (M1, M2, M3, M4), and Lizards (L1, L2, L3, L4)—which together target six core evo-devo concepts (see Table 3). Before the final 11-item CI was administered to students, it was subdivided into three surveys and subjected to scrutiny by experts. We solicited the opinions of experts who both held a PhD and were actively publishing in the field of evo-devo (defined as socially determined experts and taskoriented experts, respectively, by Ericsson et al., 2006). Experts were asked to review scenarios, items, and all responses according to their expertise: Crayfish/Centipede (C1, C2, N1; n = 3), Minnow (M1, M2, M3, M4; n = 2), and Lizards (L1, L2, L3, L4; n = 4). In particular, we asked experts whether items were plausible, accurate, and clear and whether the item addressed the target concept (Table 5). Experts also had the option to add commentary to each question and provide feedback on the targeted core concepts. The percent agreement for each criterion was calculated across individual items and combined for each scenario (Table 5). We then made final revisions designed to address problems or concerns raised by experts and administered the 11-question EvoDevoCI to students ( n = 539) at MCU via Desire2Learn (Desire2Learn, Kitchener, Ontario, Canada) and at PU, RIM, and RIS via Qualtrics (Qualtrics Labs, Provo, UT). The CI and a key that identifies correct answers and describes distracters are provided in the Supplemental Material.
To determine whether the EvoDevoCI measures the intended construct among biology majors, we grouped results by the number of biology courses taken (0, 1–2, 3–4, 5–10, and more than 10). Cronbach's alpha coefficient (Cronbach, 1951) was calculated for each group using IBM SPSS Statistics (IBM Corp., Armonk, NY). For all other analyses, the students were categorized as "novice," having fewer than five biology courses, or "advanced," having five or more biology courses. As none of the institutions surveyed had a fixed course sequence, we did not know precisely the exposure each student had to evo-devo concepts. Categorizing them into novice and advanced, rather than course sequence or class standing, was thus a useful, but rough categorization. The point biserial correlation coefficient was also calculated for individual test items (Anderson et al., 2002; Smith et al., 2008).
On the suggestion of reviewers, two small changes were made to the CI postvalidation: the figure caption for the Minnow scenario was edited to more accurately describe the image provided and, in question 6, one word in a distracter (response D; see Supplemental Material) was changed to ensure the response directly contradicted the stem.
Final Reliability
Following methods used to develop similar concept inventories (Anderson et al., 2002; Rutledge and Sadler, 2007), we conducted a test/retest trial to test the reliability of items (Table 2). In this trial, we administered the 11-question EvoDevoCI to both novice (0–4 biology courses) and advanced (≥5 biology courses) students at RIS. We administered the same test 3 wk later, giving no evo-devo instruction between test administrations. To test for any effects of question order or test format (paper vs. online), we selected a portion of students from a single course to take a paper version of the survey (n = 27), while the remaining students took an online survey with randomized question order (n = 25). These data were normally distributed and unskewed. We were thus able to use t tests to compare scores on online versus paper and random-order versus unaltered-order versions of the CI.
RESULTS
Initial Field Tests and Revisions
We subjected early versions of the EvoDevoCI to three separate field tests involving 733 undergraduate students at four institutions. After each field test, scenarios and items in the CI were eliminated or revised in order to increase readability and to ensure appropriate difficulty and discriminability of all items and optimal selection of all distracters (steps 4–8, Table 1; see Methods for more details). This process yielded by guest on January 2, 2014
Table 5. Experts were given a subset of questions on concepts most aligned with their expertise with each expert evaluating 3–4 questions a
a n indicates the number of experts that evaluated each scenario.
an 11-item CI, which we describe here in terms of its general features, item quality, validity, and reliability.
General Features of the EvoDevoCI
The CI comprises four scenarios and 11 multiple-choice items that target six core concepts in evo-devo (Table 3). Although the list of concepts targeted is by no means exhaustive, we focused on the core concepts generally considered essential to undergraduate instruction in evo-devo (Hiatt et al., 2013). Importantly, distracters for each item are based on common conceptual difficulties associated with the concept targeted by the item (Hiatt et al., 2013). Although early versions of the CI used a broader range of organisms, the final version relies upon bilaterian animals that are familiar to students: crayfish, centipedes, minnows, and lizards. To the extent possible, we followed the recommendations of Nehm and Ha (2011) by including items that reference within- (Q1–4, 8–11) as well as between- (Q5–7) species differences and items that reference evolutionary loss (Q1) as well as gain (Q2), although most items reference character state changes that are neither gains nor losses (Nehm and Ha, 2011). The items in the Lizard scenario that target concepts involving phenotypic plasticity (Q8–Q10) reference within-species differences generated within a single generation in order to force students to consider plasticity, as opposed to rapid evolutionary change. Of the two items targeting the concept "Mutations that are less pleiotropic are more likely to contribute to evolution" (CC3), one references within-species differences (Q2), while the other references between-species differences (Q7). Consistent with Nehm and Ha (2011), this instance suggests that between-species differences are more difficult for students, as a higher percentage of students answered Q2 correctly (novice = 52.3%; advanced = 57.1%) as compared with Q7 (novice = 32.7%; advanced = 32.4%).
Item Quality
The EvoDevoCI has an average difficulty index (P) of 0.37, with items ranging in difficulty from 0.22 (Q5/M2) to 0.55 (Q2/C2); see Table 6. There was no significant difference in item difficulty between novice (¯ x = 0.34) and advanced (¯ x= 0.35) students (t(10) = 0.96, p = 0.52, two-tailed; Figure 3). In fact, for three items (Q3, Q5, and Q10), novice students actually performed better than advanced students.
A discrimination index (D) was calculated for each item, and these values range from 0.19 to 0.38 (Table 6), indicating that items are generally able to discriminate between those students who score high overall and those who score low overall.
a n indicates the number of students who took the EvoDevoCI.
b Point biserial correlations, item difficulty, and item discriminability are calculated for each item and reported as a range.
c Cronbach's alpha is reported for novice students (0 biology courses; α = 0.31) as well as highly advanced students (10+ biology courses; α = 0.73).
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To ensure that student responses relied on the information provided in the scenarios and item stems rather than on any inherent plausibility of correct responses versus distracters or other clues among item responses, we field-tested a redacted version of the CI that included only item responses without scenarios or stems. The mean proportion of students who chose the correct answer across all items on the redacted version was close to chance (P = 0.26) and not significantly different from a random distribution (p > 0.05, Mann-Whitney U-test; Table 6). In contrast, the mean proportion of students who chose the correct answer on the unaltered version (P = 0.34) was significantly different from a random distribution (p < 0.001, Mann-Whitney U-test; Table 6). For example, items targeting the concept "Mutations that are less pleiotropic are more likely to contribute to evolution" (CC3) showed a 20– 23% increase in the correct response rate in the unaltered as compared with the redacted version. These results indicate that the scenarios and question stems are essential for gathering responses that indicate specific conceptual difficulties with particular concepts, for eliciting evo-devo thinking, and for ensuring item responses do not provide clues or hints that would result in students choosing the correct response more often than by chance.
Validity
To validate the CI, we solicited feedback from a group of evodevo experts. To a reasonably high degree, experts agreed on the overall plausibility (86.5%), clarity (73.0%), and accuracy (66%) of the scenarios and items (Table 5). In addition, 78.1% agreed that, overall, scenarios and items did indeed target the intended concept, while 81.1% agreed that distracters could not be considered correct. In almost all cases of disagreement, experts provided explanations, and these open-ended comments were scrutinized and used for revision. Revisions included changing words and phrases that experts found problematic; rewording some distracters so as to make them clearly implausible given the scenario and stem; and targeting the concepts "A small number of mutations can make a large evolutionary difference" (CC1) and "Evolution can occur by changes in regulation" (CC2) with three items within the same scenario (Minnows) in response to feedback that these two concepts are intertwined.
Internal consistency measured by Cronbach's alpha ranged from 0.31 to 0.73 (Table 6). Students having taken a greater number of biology courses (≥5) showed higher inter-item consistency (α = 0.73) than students having taken only one or two courses (α = 0.41). Point biserial correlation values (Rpbi) for items in the CI (range 0.27–0.52) all exceeded the value of 0.20 recommended by Thorndike (1997).
Reliability
Student scores from test and retest administrations at RIS (n = 81) show consistent performance among the testing instances (R = 0.96, p < 0.01) when receiving no specific evo-devo instruction. Alternate forms of the 11-item EvoDevoCI also show no significant difference in ability to measure evo-devo understanding: the fixed-order EvoDevoCI version (C1, C2, N1, M1, M2, M3, M4, L1, L2, L3, L4; ¯ x number correct = 3.16) given to students does not significantly vary compared with a randomized version (¯ x number correct = 2.88) given to students (t(49) = 0.70, p = 0.49, two-tailed). Additionally, the fixed paper version did not significantly vary from a fixed online version (¯ x number correct = 2.92 and 3.16, respectively; t(58) = 0.63, p = 0.53, two-tailed).
DISCUSSION
The results of the final field test indicate the EvoDevoCI is a valid and reliable measure of student understanding of evo-devo, with test items that reference plausible biological scenarios validated by evo-devo experts. Cronbach's alpha is low for undergraduate students having taken few biology courses, and the tool has increased reliability among students who have taken five or more biology courses.
The difficulty range for items is high (0.22–0.55; lower numbers indicate more difficult items), and the overall difficulty of the CI is not significantly different for students having taken less than five biology courses, as compared with students having taken five or more biology courses (Figure 3). This latter result is disappointing, but expected, based on our previous work indicating that both novice and advanced students lack the foundational content knowledge needed to answer evo-devo questions correctly (Hiatt et al., 2013). As evo-devo instruction gains a larger foothold in mainstream biology courses, we expect student performance on the EvoDevoCI to improve. We are currently undertaking additional research to examine learning gains after specific instruction, asking whether evo-devo understanding improves when a student possesses developmental biology or other foundational knowledge.
Student Reasoning and Item Context
Nehm and Ha (2011) have identified a number of contexts that affect how students reason about evolutionary situations: plants versus animals, familiar versus unfamiliar species, gain versus loss of traits, and evolution within versus among species. These dichotomies are notable, because, while they do not usually affect how experts interpret questions, students often view the opposing contexts as fundamentally different. In the EvoDevoCI, all of the scenarios referenced animals familiar to biology majors. With regard to gains versus by guest on January 2, 2014
losses, most items in the CI reference character-state changes that are neither straightforward gains nor straightforward losses. With regard to within- versus between-species differences, the CI contains a mix of both. In a case in which a shared target concept allowed for comparison, we found the pattern observed by Nehm and Ha (2011), namely, that items referencing between-species differences are more difficult, particularly for novices. By either controlling for contexts that provoke differences in students' reasoning (i.e., for animals vs. plants and gains vs. losses) or including a mix of both sides of the dichotomy (i.e., for within- versus between-species differences), we have attempted to minimize unwanted variation in student reasoning, while examining a diversity of potential contexts when possible.
Prevalence of Evo-Devo Conceptual Difficulties
Our previous research revealed that students often fail to master evo-devo concepts because they lack foundational concepts from developmental biology, genetics, and molecular biology (Hiatt et al., 2013). Because distracters for any particular item in the CI were based on conceptual difficulties empirically associated with the concept targeted by the item (Hiatt et al., 2013), more broadly associated conceptual difficulties have greater representation among distracters. The conceptual difficulty with the greatest representation, associated with four concepts, is "Lack of development" (DV1), followed by "Gene expression evolves only when genes appear or disappear" (ED2), which is associated with three concepts (Figure 2). In contrast, three of the conceptual difficulties associated with the concept "Mutations that are less pleiotropic are more likely to contribute to evolution" (CC3) are exclusively associated with that concept and thus are represented less among distracters.
Although advanced students did not perform significantly better on the EvoDevoCI than novice students, generally speaking, advanced students did choose specific distracters/conceptual difficulties at lower frequencies than did novice students (Table 4), in some cases, much lower (8.55% lower for DV1 in an item targeting CC2; 11.4% lower for EV2 in a CC1 item; and 8.95% lower for ED2 in a CC4 item). This trend is expected if indeed students overcome the conceptual difficulties associated with evo-devo concepts as they progress from novice to advanced. Exceptions to this trend identify conceptual difficulties for which current modes of instruction have either no effect or a reverse effect. For example, the percentage of students choosing the distracter "Lack of development" (DV1) in an item targeting CC5 did not change much. In the cases of "Changes in gene expression result only from mutations in said gene" (ED1) in a CC4 item and "Inheritance of acquired traits" (EV2) in a CC5 item, advanced students chose the distracters 6.1% and 4.4% more frequently than novice students, respectively.
advanced students likely hold a larger repertoire of evo-devo content knowledge than novice students, they still seem to lack the ability to apply this knowledge to particular problems and instead may incorrectly associate more sophisticated concepts or supply factually correct but unlikely solutions. A caveat here is that our categories of "novice" and "advanced" are based merely on the number of biology courses taken and likely include students that have had an array of different course experiences. More precise data on prior concept exposure would be useful for any future studies of students' conceptual difficulties with evo-devo.
Limitations
An instrument such as the EvoDevoCI has intrinsic limitations. For one, our goal of a short instrument that takes little class time required that our assessment be based on relatively few multiple-choice questions targeting only the most essential core concepts. This necessarily limited the breadth of the instrument, precluding the inclusion of more sophisticated evo-devo concepts that are nonetheless arguably of great evolutionary importance. These included canalization, genetic assimilation and accommodation, gene–environment interactions, epigenetic modification of DNA, gene duplication and genome evolution, serial homology, modularity, facilitated evolution, and the evolution of multicellularity. Supplementing the EvoDevoCI with 1) questions on additional topics, 2) reasoning contexts, and 3) two-tiered (Treagust and Haslam, 1986) or open-ended questions (Nehm and Schonfeld, 2008) ought to increase breadth when assessing student understanding of evo-devo.
The utility of this particular tool lies in its ability to assess understanding of a range of evo-devo concepts, all considered vital for undergraduate biology majors, rather than exhaustively assessing a single knowledge construct. While, in theory, a maximally reliable CI would examine only a single knowledge construct, the EvoDevoCI includes items examining five distinct evo-devo concepts, all of which are interdisciplinary in nature. This predictably results in a lower Cronbach's alpha value, which is typical of similar CIs, such as the Genetics Concept Assessment (Smith et al., 2008). The construction of a CI requires balancing the reliability of the instrument to capture student understanding on the one hand with practicality and usability on the other (Adams and Wieman, 2010).
Finally, in constructing the EvoDevoCI, we have no desire to canonize any part of evolutionary developmental biology. Instead, we recognize that, as our scientific understanding of evo-devo improves, our inventory of evo-devo concepts and attendant conceptual difficulties, along with the tool we designed to assess them, must also change. Our hope is that future tools designed to assess student knowledge of evodevo will benefit from and build upon the EvoDevoCI.
The fact that some conceptual difficulties in understanding evolution are encountered only or more commonly among advanced students has been reported (Andrews et al., 2012). In these cases, it could be that some conceptual difficulties actually require more knowledge and are not encountered until students have some exposure to developmental biology or evo-devo. An expert is able to apply a subset of his or her knowledge to particular problems with less effort than a student (Bransford et al., 2000). In our study, however, while
Uses for the EvoDevoCI
The EvoDevoCI is a diagnostic test designed to assess conceptual understanding of a set of core concepts in evo-devo among undergraduate biology majors. Given that the CI has been validated with a geographically and institutionally diverse student population, ranging from freshmen to seniors, the tool has different potential applications.
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At RIS, faculty members currently use the EvoDevoCI pre- and postinstruction to assess the knowledge students gain from an evo-devo unit taught in upper-level courses in evolution and embryology and lower-level courses in animal biology. In these applications, the CI is taken online with a 2- or 3-wk interval between pre- and postadministrations. Similarly, faculty members at MCU have administered the CI during the first and last weeks of courses in organismal biology to assess newly implemented evo-devo instruction in these courses.
Our hope is that the EvoDevoCI can be used to complement the growing number of diagnostic instruments, allowing instructors to capture a more complete snapshot of student understanding of evolution. As per the recommendations of Vision and Change (Bauerle et al., 2011), the EvoDevoCI marries disciplines and focuses on assessing concepts. Because of the exclusive focus on concepts, however, we advise using the EvoDevoCI in conjunction with assessments designed to assess competencies. In this way, student knowledge of both evo-devo concepts and the practices used to arrive at them can be fully assessed.
ACKNOWLEDGMENTS
We thank the National Evolutionary Synthesis Center (NESCent), which funded the EvoCI Toolkit working group, making this work possible, and other members of the EvoCI Toolkit working group. We thank the following faculty who surveyed their biology courses to gather student-response data: Anita Baines, Tim Gerber, Rick Gillis, Gretchen Gerrish, Jennifer Miskowski, David Bos, David Eichinger, Michi Tobler, Jason Belden, Arpad Nyari, Andy Dzialowski, Stephen Gardiner, Joy Little, and Mary Towner. We thank the students who participated in this study. We also thank our panel of expert reviewers, which included, among others, Alexa Bely, W. Anthony Frankino, Brian Hall, Dayalan Srinivasan, David L. Stern, and Matt Wund. Their contribution should not be seen as an endorsement of either this article or the EvoDevoCI itself. The centipede image was used with permission from www.gutenberg.org; crayfish images were modified from an image in the Wisconsin Water Resources Clip Art Collection; other images were drawn by Caleb Trujillo. G.K.D. is supported by the Elizabeth B. Jackson Fund at Bryn Mawr College and award IOS1051643 from the National Science Foundation (NSF). NESCent is supported by award EF-0905606, also from the NSF. Any opinions, findings, conclusions or recommendations expressed in this article are those of the authors and do not necessarily reflect the views of the NSF.
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Stern D (2011). Evolution, Development, and the Predictable Genome, Greenwood Village, CO: Roberts.
Thorndike RM (1997). Measurement and evaluation in psychology and education, Upper Saddle River, NJ: Merrill/Prentice-Hall.
Treagust DF, Haslam F (1986). Evaluating secondary student's misconceptions of photosynthesis and respiration in plants using a twotier diagnostic instrument, San Francisco, CA. Paper presented at the 59th Annual Meeting of the National Association for Research in Science Teaching.
Understanding Evolution (2012a). Bringing Homologies into Focus. http://evolution.berkeley.edu/evolibrary/search/lessonsummary .php?&thisaudience = 9-12&resource_id = 203 (accessed 27 March 2012).
Understanding Evolution (2012b). Eye Evolution. http:// evolution.berkeley.edu/evolibrary/eye_evolution.pdf (accessed 27 March 2012).
Understanding Evolution (2012c). Why the Eye? http://evolution .berkeley.edu/evolibrary/article/1_0_0/eyes_01 (accessed 27 March 2012).
Wilkins AS (2001). The Evolution of Developmental Pathways, Sunderland, MA: Sinauer.
Smith JI, Tanner K (2010). The problem of revealing how students think: concept inventories and beyond. CBE Life Sci Educ 9, 1–5.
Zimmer C, Emlen D (2012). Evolution: Making Sense of Life, Greenwood Village, CO: Roberts.
by guest on January 2, 2014
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LEGISLATIVE GENERAL COUNSEL
Approved for Filing: R.H. Rees
6
6
6
02-25-13 12:19 PM
6
2nd Sub. (Salmon)
Senator Scott K. Jenkins proposes the following substitute bill:
PRISON RELOCATION AND DEVELOPMENT AMENDMENTS
2013 GENERAL SESSION STATE OF UTAH
Chief Sponsor: Scott K. Jenkins
House Sponsor: Brad R. Wilson
6
- 1 -
Senate 2nd Reading Amendments 3-4-2013
26 ÖÖÖÖº specified costs; 27 <<<< modifies the distribution of some local option sales tax revenues; and] »ÖÖÖÖ 28 < provides a repeal date for the Prison Land Management Act. 29 Money Appropriated in this Bill: 30 None 31 Other Special Clauses: 32 This bill provides an immediate effective date. 33 This bill provides revisor instructions. 34 Utah Code Sections Affected: 35 AMENDS: 36 ÖÖÖÖº [ 59-12-205, as last amended by Laws of Utah 2012, Chapter 9] »ÖÖÖÖ 37 63I-1-263 (Superseded 05/01/13), as last amended by Laws of Utah 2012, Chapters 38 126, 206, 369, and 395 39 63I-1-263 (Effective 05/01/13), as last amended by Laws of Utah 2012, Chapters 126, 40 206, 347, 369, and 395 41 63J-1-602.4, as last amended by Laws of Utah 2011, Chapters 18, 303, 338, and 438 42 ENACTS: 43 63H-7-101, Utah Code Annotated 1953 44 63H-7-102, Utah Code Annotated 1953 45 63H-7-201, Utah Code Annotated 1953 46 63H-7-202, Utah Code Annotated 1953 47 63H-7-203, Utah Code Annotated 1953 48 63H-7-204, Utah Code Annotated 1953 49 ÖÖÖÖº [ 63H-7-205, Utah Code Annotated 1953] »ÖÖÖÖ 50 63H-7-301, Utah Code Annotated 1953 51 63H-7-302, Utah Code Annotated 1953 52 63H-7-303, Utah Code Annotated 1953 53 63H-7-304, Utah Code Annotated 1953 54 63H-7-305, Utah Code Annotated 1953 55 63H-7-306, Utah Code Annotated 1953 56 63H-7-401, Utah Code Annotated 1953
- 2 -
Senate 2nd Reading Amendments 3-4-2013
- 3 -
Senate 2nd Reading Amendments 3-4-2013
- 4 -
- 5 -
Senate 2nd Reading Amendments 3-4-2013
(ii) .90.
- 6 -
Senate 2nd Reading Amendments 3-4-2013
181 ÖÖÖÖº (6) (a) Population figures for purposes of this section shall be based on the most recent 182 official census or census estimate of the United States Census Bureau.
- 7 - lp/rhr
Senate 2nd Reading Amendments 3-4-2013
212 Department of Transportation for a right-of-way.
213 ÖÖÖÖº [(8)] (7) »ÖÖÖÖ "Former prison land development project" means a project to develop the
213a former
214 prison land, including:
215 (a) the transfer of the former prison land into private ownership; and
216 (b) the demolition of the former prison after it is vacated.
217 ÖÖÖÖº [(9)] (8) »ÖÖÖÖ "Host city" means the city in which the former prison land is located.
218 ÖÖÖÖº [(10)] (9) »ÖÖÖÖ "Host county" means the county in which the former prison land is
218a located.
219 ÖÖÖÖº [(11)] (10) »ÖÖÖÖ "Master development project" means a former prison land development
219a project
220 and a new prison development project.
221 ÖÖÖÖº [(12)] (11) »ÖÖÖÖ "New prison" means a prison to be built to replace the former prison.
222 ÖÖÖÖº [(13)] (12) »ÖÖÖÖ "New prison development project":
223 (a) means a project to construct a new prison at a suitable location in the state other
224 than the location of the former prison; and
225 (b) includes the acquisition of the land on which the new prison will be built.
226 ÖÖÖÖº [(14)] (13) »ÖÖÖÖ "New prison land" means land on which a new prison is or is projected to
226a be built.
227 ÖÖÖÖº [(15)] (14) »ÖÖÖÖ "Prison programming" means a policy, plan, or program that, if
227a implemented by
228 the Department of Corrections at a new prison, is calculated to reduce recidivism or lead to
229 greater efficiencies or lower costs in prison operations.
230
ÖÖÖÖº º º º
[(16) "Property tax" includes privilege tax and each levy on an ad valorem basis on
231 tangible or intangible personal or real property.
232 (17) "Public entity" means:
233 (a) the state, including any department, division, agency, or other instrumentality of the
234 state; or
235 (b) a political subdivision of the state, including a county, city, town, school district,
236 local district, special service district, or interlocal entity.
237 (18)] (15) »ÖÖÖÖ "Publicly owned infrastructure and improvements" means water, sewer, storm
238 drainage, electrical, telecommunications, and other similar systems and lines, streets, roads,
239
curbs, gutters, sidewalks, w al
kways, parking facilities, public transportation facilities, and
240 other buildings, facilities, infrastructure, and improvements that:
241 (a) benefit the public; and
242 (b) are:
- 8 - lp/rhr
Senate 2nd Reading Amendments 3-4-2013
02-25-13 12:19 PM
243
(i) publicly owned or owned by a utility; or
- 9 -
Senate 2nd Reading Amendments 3-4-2013
274 (b) sue and be sued;
304 Special Service District Act.
- 10 - Senate 2nd Reading Amendments 3-4-2013
(2) Subsection (1) applies:
- 11 - Senate 2nd Reading Amendments 3-4-2013
- 12 - Senate 2nd Reading Amendments 3-4-2013
368
(2) All powers of the authority are exercised through the board.
(3) The board shall appoint
ÖÖÖÖº º º º
a chair
» » » »ÖÖÖÖ
from among its members
- 13 -
ÖÖÖÖº º º º
[: ].
» » » »ÖÖÖÖ
lp/rhr
Senate 2nd Reading Amendments 3-4-2013
- 13a - Senate 2nd Reading Amendments 3-4-2013
lp/rhr lp/rhr
- 14 - Senate 2nd Reading Amendments 3-4-2013
ÖÖÖÖº º º º
(3) The New Prison Development Subcommittee consistsof:
- 15 -
460 ÖÖÖÖº pursuant to a request for proposals, to the extent proposals relate to a new prison development 461 project, whether as a separate project or as a part of a master development project.
462 Section 12. Section 63H-7-304 is enacted to read:] »ÖÖÖÖ
463 63H-7- ÖÖÖÖº [304] 303 »ÖÖÖÖ . Term of board members.
464 (1) Subject to Subsection 63H-7-302(3), the term of board members is four years.
465 (2) A board member shall serve until a successor is duly appointed and qualified.
466 Section ÖÖÖÖº [13] 10 »ÖÖÖÖ . Section 63H-7- ÖÖÖÖº [305] 304 »ÖÖÖÖ is enacted to read:
467
63H-7-305. Compensation and expenses of board members.
ÖÖÖÖ º º º º » » » » ÖÖÖÖ members who are legislators
468 (1) Salaries and expenses of board [or subcommittee] 468a shall
469 be paid in accordance with Section 36-2-2 and Legislative Joint Rules, Title 5, Chapter 3,
470 Expense and Mileage Reimbursement for Authorized Legislative Meetings, Special Sessions,
471 and Veto Override Sessions.
472 (2) A board ÖÖÖÖº [or subcommittee] »ÖÖÖÖ member who is not a legislator may not receive
473 compensation or benefits for the member's service on the board ÖÖÖÖº [or subcommittee] »ÖÖÖÖ , but
473a may
474 receive per diem and reimbursement for travel expenses incurred as a board ÖÖÖÖº [or subcommittee] »ÖÖÖÖ
475 member at the rates established by the Division of Finance under:
476 (a) Sections 63A-3-106 and 63A-3-107; and
477
(b) rules made by the Division of Finance pursuant to Sections 63A-3-106 and
478 63A-3-107.
479 Section ÖÖÖÖº [14] 11 »ÖÖÖÖ . Section 63H-7- ÖÖÖÖº [306] 305 »ÖÖÖÖ is enacted to read:
480 63H-7- ÖÖÖÖº [306] 305 »ÖÖÖÖ . Board member ethics and conflicts of interest.
481 (1) A board ÖÖÖÖº [or subcommittee] »ÖÖÖÖ member is subject to Title 67, Chapter 16, Utah
481a Public
482 Officers' and Employees' Ethics Act.
483 (2) An individual may not be appointed to or serve on the board or
483a ÖÖÖÖº [a subcommittee] »ÖÖÖÖ if
484 the individual:
485 (a) has an ownership interest in or is an officer or employee of an entity that:
486 (i) anticipates submitting a proposal or submits a proposal for a new prison
487 development project, former prison land development project, or master development project;
488 or
489 (ii) anticipates providing material or labor under a contract awarded pursuant to a
490 proposal for a new prison development project, former prison land development project, or
- 16 - Senate 2nd Reading Amendments 3-4-2013
521
master development project
Section [16]13. Section63H-7-402is enacted to read:
- 17 - lp/rhr
Senate 2nd Reading Amendments 3-4-2013;
02-25-13 12:19 PM
522
63H-7-402. Process relating to proposals on projects.
- 18 - Senate 2nd Reading Amendments 3-4-2013
2nd Sub. (Salmon) S.B. 72
- 18a - Senate 2nd Reading Amendments 3-4-2013
- 19 -
2nd Sub. (Salmon) S.B. 72
584
sources of funds the propos al
relieson:
614
Part 5. Authority Budget
- 20 -
02-25-13 12:19 PM
- 21 - Senate 2nd Reading Amendments 3-4-2013
ÖÖÖÖ
- 22 - Senate 2nd Reading Amendments 3-4-2013
677 ÖÖÖÖº º º º
Education, and each taxinge
nt it
ythat levies a tax on property from which the authority collects
- 23 - Senate 2nd Reading Amendments 3-4-2013
708 dissolution:
709 (i) in a newspaper of general circulation in the county in which the dissolved authority
710 is located; and
711 (ii) as required in Section 45-1-101; and
712 (b) all title to property owned by the authority vests in the state.
713 (3) The books, documents, records, papers, and seal of each dissolved authority shall
714 be deposited for safekeeping and reference with the state auditor.
715 (4) The authority shall pay all expenses of the deactivation and dissolution.
716 Section ÖÖÖÖº [25] 20 »ÖÖÖÖ . Section 63I-1-263 (Superseded 05/01/13) is amended to read:
717 63I-1-263 (Superseded 05/01/13). Repeal dates, Titles 63A to 63M.
718
(1) Section 63A-4-204, authorizing the Risk Management Fund to provide coverage to
719 any public school district which chooses to participate, is repealed July 1, 2016.
720 (2) Section 63A-5-603, State Facility Energy Efficiency Fund, is repealed July 1, 2016.
721 (3) Section 63C-8-106, rural residency training program, is repealed July 1, 2015.
722 [(4) Title 63C, Chapter 13, Prison Relocation and Development Authority Act, is
723 repealed July 1, 2014.]
724 [(5)] (4) Subsection 63G-6-502(5)(b)(ii) authorizing certain transportation agencies to
725 award a contract for a design-build transportation project in certain circumstances, is repealed
726 July 1, 2015.
727 [(6)] (5) Title 63H, Chapter 4, Heber Valley Historic Railroad Authority, is repealed
728 July 1, 2020.
729 [(7)] (6) The Resource Development Coordinating Committee, created in Section
730 63J-4-501, is repealed July 1, 2015.
731 [(8)] (7) Title 63M, Chapter 1, Part 4, Enterprise Zone Act, is repealed July 1, 2018.
(a) Title 63M, Chapter 1, Part 11, Recycling Market Development Zone Act,
732 [(9)] (8)
733 is repealed January 1, 2021.
734 (b) Subject to Subsection [(9)] (8)(c), Sections 59-7-610 and 59-10-1007 regarding tax
735 credits for certain persons in recycling market development zones, are repealed for taxable
736 years beginning on or after January 1, 2021.
737 (c) A person may not claim a tax credit under Section 59-7-610 or 59-10-1007:
738 (i) for the purchase price of machinery or equipment described in Section 59-7-610 or
- 24 - Senate 2nd Reading Amendments 3-4-2013
739 59-10-1007, if the machinery or equipment is purchased on or after January 1, 2021; or
740
741
(ii) for an expenditure described in Subsection 59-7-610(1)(b) or 59-10-1007(1)(b), if the expenditure is made on or after January 1, 2021.
742
743
(d) Notwithstanding Subsections [(9)] (8)(b) and (c), a person may carry forward a tax credit in accordance with Section 59-7-610 or 59-10-1007 if:
744
(i) the person is entitled to a tax credit under Section 59-7-610 or 59-10-1007; and
745 (ii) (A) for the purchase price of machinery or equipment described in Section
746 59-7-610 or 59-10-1007, the machinery or equipment is purchased on or before December 31,
747 2020; or
748 (B) for an expenditure described in Subsection 59-7-610(1)(b) or 59-10-1007(1)(b), the
749 expenditure is made on or before December 31, 2020.
750 [(10)] (9) (a) Section 63M-1-2507, Health Care Compact is repealed on July 1, 2014.
751 (b) (i) The Legislature shall, before reauthorizing the Health Care Compact:
752 (A) direct the Health System Reform Task Force to evaluate the issues listed in
753 Subsection [(10)] (9)(b)(ii), and by January 1, 2013 develop and recommend criteria for the
754 Legislature to use to negotiate the terms of the Health Care Compact; and
755
756
757
(B) prior to July 1, 2014, seek amendments to the Health Care Compact among the member states that the Legislature determines are appropriate after considering the recommendations of the Health System Reform Task Force.
758
759
(ii) The Health System Reform Task Force shall evaluate and develop criteria for the Legislature regarding:
760 (A) the impact of the Supreme Court ruling on the Affordable Care Act;
761 (B) whether Utah is likely to be required to implement any part of the Affordable Care
762 Act prior to negotiating the compact with the federal government, such as Medicaid expansion
763 in 2014;
764 (C) whether the compact's current funding formula, based on adjusted 2010 state 765 expenditures, is the best formula for Utah and other state compact members to use for 766 establishing the block grants from the federal government;
767
768
769
(D) whether the compact's calculation of current year inflation adjustment factor, without consideration of the regional medical inflation rate in the current year, is adequate to protect the state from increased costs associated with administering a state based Medicaid and
- 25 -
770 a state based Medicare program;
771
772
773
(E) whether the state has the flexibility it needs under the compact to implement and fund state based initiatives, or whether the compact requires uniformity across member states that does not benefit Utah;
774 (F) whether the state has the option under the compact to refuse to take over the federal 775 Medicare program;
776 (G) whether a state based Medicare program would provide better benefits to the 777 elderly and disabled citizens of the state than a federally run Medicare program;
778
779
(H) whether the state has the infrastructure necessary to implement and administer a better state based Medicare program;
780
(I) whether the compact appropriately delegates policy decisions between the
781 legislative and executive branches of government regarding the development and
782 implementation of the compact with other states and the federal government; and
783
784
(J) the impact on public health activities, including communicable disease surveillance and epidemiology.
785
786
[(11)] (10) The Crime Victim Reparations and Assistance Board, created in Section 63M-7-504, is repealed July 1, 2017.
787 [(12)] (11) Title 63M, Chapter 9, Families, Agencies, and Communities Together for
788 Children and Youth At Risk Act, is repealed July 1, 2016.
789 [(13)] (12) Title 63M, Chapter 11, Utah Commission on Aging, is repealed July 1,
790 2017.
ÖÖÖÖº »ÖÖÖÖ
791 Section [26] 21 . Section 63I-1-263 (Effective 05/01/13) is amended to read:
792 63I-1-263 (Effective 05/01/13). Repeal dates, Titles 63A to 63M.
793 (1) Section 63A-4-204, authorizing the Risk Management Fund to provide coverage to
794 any public school district which chooses to participate, is repealed July 1, 2016.
795
(2) Section 63A-5-603, State Facility Energy Efficiency Fund, is repealed July 1, 2016.
796 (3) Section 63C-8-106, rural residency training program, is repealed July 1, 2015.
797 [(4) Title 63C, Chapter 13, Prison Relocation and Development Authority Act, is 798 repealed July 1, 2014.]
799
800
[(5)] (4) Subsection 63G-6a-1402(7) authorizing certain transportation agencies to award a contract for a design-build transportation project in certain circumstances, is repealed
- 26 - Senate 2nd Reading Amendments 3-4-2013
801 July 1, 2015.
- 27 -
832 recommendations of the Health System Reform Task Force.
833
834
(ii) The Health System Reform Task Force shall evaluate and develop criteria for the Legislature regarding:
835
836
837
838
839
840
841
842
843
844
845
846
847
848
849
850
851
852
853
854
855
856
857
858
859
860
861
862
(A) the impact of the Supreme Court ruling on the Affordable Care Act;
(B) whether Utah is likely to be required to implement any part of the Affordable Care Act prior to negotiating the compact with the federal government, such as Medicaid expansion in 2014;
(C) whether the compact's current funding formula, based on adjusted 2010 state expenditures, is the best formula for Utah and other state compact members to use for establishing the block grants from the federal government;
(D) whether the compact's calculation of current year inflation adjustment factor, without consideration of the regional medical inflation rate in the current year, is adequate to protect the state from increased costs associated with administering a state based Medicaid and a state based Medicare program;
(E) whether the state has the flexibility it needs under the compact to implement and fund state based initiatives, or whether the compact requires uniformity across member states that does not benefit Utah;
(F) whether the state has the option under the compact to refuse to take over the federal Medicare program;
(G) whether a state based Medicare program would provide better benefits to the elderly and disabled citizens of the state than a federally run Medicare program;
(H) whether the state has the infrastructure necessary to implement and administer a better state based Medicare program;
(I) whether the compact appropriately delegates policy decisions between the legislative and executive branches of government regarding the development and implementation of the compact with other states and the federal government; and
(J) the impact on public health activities, including communicable disease surveillance
and epidemiology.
[(11)] (10) The Crime Victim Reparations and Assistance Board, created in Section 63M-7-504, is repealed July 1, 2017.
[(12)] (11) Title 63M, Chapter 9, Families, Agencies, and Communities Together for
- 28 -
863 Children and Youth At Risk Act, is repealed July 1, 2016.
- 29 - Senate 2nd Reading Amendments 3-4-2013
- 30 -
Senate Committee Amendments 2-28-2013
|
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